Compliance Manager

Compliance managers make sure everyone sticks to the law.

Compliance Manager interview questions

Your next team player is proactive, experienced, knowledgeable and inquisitive. They’ll also be super methodical, conscientious, organized and have awesome communication skills. 

Top tips: 

  • Look out for curiosity: Top candidates will ask questions about your compliance programs, your requirements and the problems you face. 
  • And look for knowledge: They’ll also understand the need to keep biz goals in mind when creating an effective compliance program.
  • Think diversity: Diversity is key for a thriving workplace. Keep an eye out for management and exec-level candidates from varying backgrounds and aim to eliminate bias from your hiring process.

Problem solving interview questions

  • Have you ever dealt with a C-suite executive who didn’t agree with your compliance program/policies? What happened?
  • What happens when someone violates company policy?
  • If someone asks you to overlook a company policy violation, what would you do? 
  • What compliance risks would you advise our company to deal with?
  • Describe a time you avoided litigation by introducing a new compliance initiative.
  • What would you do if a manager behaved aggressively towards you?

Role-specific interview questions

  • How do you protect a whistleblower?
  • How do you create/implement an internal control system?
  • How do you create an effective compliance program?
  • Which are the most common compliance issues you’ve faced?
  • What’s your experience reporting to regulatory bodies?
  • How do you prioritize?
  • What’s your compliance training experience?

Behavioral interview questions

  • What are the most difficult compliance or ethics issues you’ve dealt with? What happened?
  • What contribution are you proudest of in your last role?
  • Describe a procedure you’ve implemented for reporting violations.
  • Have you ever had to deal with difficulties from your subordinates? What happened?
  • Describe a time you were involved in an official investigation.

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