Compliance Manager Interview Questions

Compliance managers make sure everyone sticks to the law.

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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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