Compliance manager Interview Questions | Glassdoor

Compliance manager Interview Questions

"When hiring a compliance manager, an employer will look for applicants with the legal knowledge and ethical standards to ensure the company does not violate its rules and regulations. When interviewing for this position, expect to be given behavioral questions meant to determine how you would enforce the company's code of conduct and handle ethical and legal violations in the workplace."

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How do you stay informed on regulatory changes?

3 Answers

I subscribe to email alerts from the regulatory banking agencies (FDIC, OCC, CFPB, FRB) and from two legal firms (Scudder LawGroup and Buckey Sandler).

Search the respective notificatios from the Authorities regularly

It means the changes made or proposed to be made by the regulatory authorities including the Government and the Company

What are your experiences doing something related to this position?

2 Answers

Why do you want to work for our Company?

1 Answer

Why are you here?

2 Answers

Generally, the questions asked related to the ability to apply knowledge and work through problems.

2 Answers

What is your 30, 60 and 90 day plan, I was asked this by 2 of 5 interviewers.

1 Answer

how can you improve student retention?

1 Answer

Have you ever worked with a small sized company?

1 Answer

What do you think will happen at FERC with regards to the Penalty Guidelines.

1 Answer

Describe your greatest weaknesses and greatest strengths

1 Answer
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