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.
- 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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