Compliance Manager

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.