Compliance officer Interview Questions in United States

"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."

Compliance officer Interview Questions in United States

Compliance officer Interview Questions in United States

When hiring a compliance officer, an employer will look for applicants with 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.

1,816 Compliance Officer interview questions shared by candidates

Top Compliance Officer Interview Questions & How To Answer

Here are three top compliance officer interview questions and how to answer them:

Question #1: How would you handle a situation where an employee violated the company's code of conduct?

How to answer: Not only do interviewers want to know if you respect the company's code of ethics, but they also want to know if you have what it takes to confront, and even fire and take legal action against, an employee for their unethical or unprofessional behavior in the office.

Question #2: What is necessary to create an effective compliance program?

How to answer: Employers want to make sure you understand the laws, rules, and regulations of the industry. When asked this question, share your knowledge of the industry-relevant governing bodies.

Question #3: If a senior-level employee asked you to violate the company's code of conduct, what would you do?

How to answer: Compliance officers have to be sure all employees are following the legal requirements of the company, including senior-level executives. When asked this integrity question, ensure the interviewer that you would work with all employees, regardless of rank, to be sure they are educated about the compliance program and follow the established rules.

Top Interview Questions

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JPMorgan Chase & Co
Compliance Officer was asked...July 27, 2016

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

1 Answers

Attention to detail is important because most issues would be caught.

TD

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 Answers

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. Less

OSHA

Have you investigated accidents?

1 Answers

I had, up to 2006 when this took place, investigated numerous highway and forklift accidents, as well as personal injuries and was (still am) a Level I Accident Investigator. I investigated near-misses, minor injury incidents, and fatalities, working with various police, fire, and other related organizations. Less

Goldman Sachs

How would you advise a hedgefund manager with a large portfolio who is about to announce at a conference that a Greek exit from the euro is inevitable?

4 Answers

Th

How would you advise a hedge fund manager with a large portfolio of WHO is about to announce at a conference That a Greek exit from the euro is Inevitable? sorry sir, this time we should be able to take the euro, or else we will have a big loss in the company. to avoid the losses we have to equate with the euro, because this is the only way to save the company. thank you sir .. Less

Given that this is a compliance interview question, not a financial analyst interview question, I would address the significant issues, laws, and regulations surrounding market manipulation. Additionally, I'd probably ask the hedge fund manager his strategy, his purpose in making the announcement, and how his portfolio would be affected if his statement were to come true. I'd address the idea of "inevitability," and probably have him back away from bold or harsh words that almost sound like he's guaranteeing the direction of the market. I'd wonder who would be in attendance at this conference and what regulations are involved with a portfolio manager making a public appearance. I'd address any disclosures that would need to be made in conjunction with the public appearance. Less

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Goldman Sachs

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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Schroders

What does the risk team do? Name 2 strengths and 2 weaknesses you have. Name some interests and how you pursue them.

4 Answers

hey have you had a reply after the personality questionnaire yet?

no, they said i had passed the video interview stage but nothing after the personality questionnaire. I think they might be just arranging assessment centres because on the interview stage they said the next stage is assessment centre? Less

Yeah, good point. Don't suppose you've heard anything yet have you? No one I know seems to have done Less

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Block
Compliance was asked...October 22, 2020

Why Square, Behavioral Questions, Information about your background and experience.

4 Answers

Thanks - appreciate you responding! Ha ha :)

Same thing happened to me, as well. I followed up several times but no reply. I wanted to send them a strongly worded email, telling them how much of my time they wasted but it would do no good, so I didn't. Less

Same thing happened to me - did you ever hear back?

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IRS

A taxpayer provides you with telephone records that show 60% personal use and 40% business use. His monthly bill is $75. How much of a deduction for business use would you allow on his taxes for the entire year?

3 Answers

$30

$30 ($75 x .40 = $30)

$30 would be the amount for one month. For the entire year, it would be $360?

Weswap

Why don't you micro manage?

3 Answers

As this question was building up I could feel the tension in the room completely change, had I taken the role I would have had to deal with a power seeking Director, glad I didn't Less

Hi, I'm the person who got offered this position just before the date of your post. I was never asked this question, nor did I ever sense any tension in any of my interviews. I'm still at WeSwap over a year later and have nothing but positive things to say about my Direct Manager. At no point in time have I ever been even remotely micro managed by him. Less

Hi, hey look, sometimes they work out and sometimes they don't, this clearly wasn't for me and I am sure glad it didn't work out, I am now in a more senior role with an amazing organisation. Good luck ;-) Less

Saudi Aramco

Wanted to know about my industrial safety background.

3 Answers

Not a felon. That was the bad part, they would only say something on your background. Nothing specific, even when I tried to press them. My passport was already in Houston to have my work permit attached last time. Less

I hope you did not resign from your position & lost it.

Are you a felon? Why did they withdraw the offer?

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