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Compliance Officer Interview Questions

"When hiring a compliance officer, 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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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.

Have you investigated accidents?

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

1 Answer

Unexpected Q: name of the current head of the regulatory govt agency.

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Types of fraud customers would engage in

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What do you like about Compliance?

1 Answer

Tell us about the OWASP Top Ten Vulnerabilities for 2013.

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"Describe what you do in a regular day at your current job"

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How much money do you want?

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How you handle conflicts.

2 Answers
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