Compliance Interview Questions | Glassdoor

Compliance Interview Questions

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What do you do when you have a client who does not agree with your assessment and you have to please him but also comply with the rules and regulations?

1 Answer

First of all, I will ask him regarding on the practices that currently being practiced by him. I will discuss with him on the posibilities of risk that can be occurred and how he can manage and control it. If the control is adequate enough, I will highlight and report it to the Management regarding his best practices and controls. But if he cannot answer me on the controls on how to mitigate risks that we highlighted before, I will highlight to him the implications and the consiquences of my assessment/finding. Or I will put it in the report and recomend to him whether he will require to comply the procedures or change the company's procedure.

Provide a process improvement example. Which skill set is more important? Critical thinking, effective communication or attention to details

1 Answer

Have you investigated accidents?

1 Answer

Wanted to know about my industrial safety background.

5 Answers

What private business relationships does Square hold where, if lost, would harm our competitiveness?

2 Answers

What does Goldman do?

3 Answers

I was asked if I had ever intentionally done something to spite a manager. I can't imagine why they would be worried about that.

1 Answer

What can you bring to DMAS that will have a positive result while addressing the mandated requirements in place.

1 Answer

Tell me how you handle a difficult staff member.

1 Answer

So what do you know much about ADP?"I am somewhat familiar and she went on to tell me more"

1 Answer
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