Compliance Auditor Interview Questions


Compliance Auditor interview questions shared by candidates

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Goldman Sachs
Internal Auditor Compliance was asked...May 6, 2011

What does Goldman do?

4 Answers

Win win win no matter what

eading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Less

Advising Investments Financing Securities Servers

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Kellermeyer Bergensons Services

I was asked my the manager the position would report to if I was single or married, had children, lived at home with parents, and where I lived.

3 Answers

Truthfully, just wasn't sure how it would have made a difference. I don't think there were bad intentions during the informal questions, thought it was inappropriate. Less

I interviewed with the HR team 11/2019. I was asked the same questions. It seems to be their standard questions. Being a formal recruiter to an aerospace company (industry doesn’t really matter) but the questions are inappropriate and irrelevant. Sadly, if it is used to determine that is wrong practice. Looks like there needs to be compliance training for the HR/Recruiting team especially this person, I believe Magdalia or something. Less

Thank you for your input. KBS takes pride in following all HR interviewing and hiring laws and guidelines. We promote a work environment that encourages diversity and fosters a variety of backgrounds, experiences, insights, and contributions. We deeply value our employees and are committed to creating a best-in-class workplace with competitive salaries and benefits. Less

UL Solutions

What’s your expected salary range?

2 Answers

$16.50 hr to $22.50 hr

Negotiable in that range!

21st Century Oncology

What would you do if you could not complete your work within the assigned deadline?

1 Answers

I stated that I would notify my supervisor and ask for help. The answer that the manager ACTUALLY SAID that she was looking for, was that I would "work late and/or work weekends to get it done." Well...that could happen...occasionally. However, if an qualified, skilled employee is consistently working OT (staying late and working weekends) in order to meet the proposed deadlines, it just MIGHT mean that the deadlines are unrealistic. Less

Legacy Professionals

Why do you want this job?

1 Answers

Explain what motivates you and the way the job appeals to yourself.

UL Solutions

Tell me how you would handle a situation where you see an employee discriminating against another employee.

1 Answers

Ask both parties what happened first, go to HR.


What were you main responsibilities at this organization, or that organization?

1 Answers

Tell me about your QMS audit experience?


What was I looking for when applying to this position?

1 Answers

I explained that I was looking for a company where I will have the opportunity to grow with and that I love having the structure, stability and growth opportunity that Side provides. Less


How many number of rows are there in excel?

1 Answers

How do we do conditional formatting in excel?

Legacy Professionals

Do you have a car?

1 Answers


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