Compliance managers seek to ensure that the law and internal policies are followed. They work in a variety of industries, including finance and healthcare. Certification might be a help throughout the screening process, but experience and extensive understanding are required.
Great applicants will stand out during the interview by questioning regarding your compliance programs, standards, and difficulties. They'll be prepared to discuss the steps they'd take to create a viable compliance program while keeping corporate objectives in mind.
Problem-Solving interview questions
- Have you ever had to deal with a C-suite executive who disagreed with your compliance policy? What went wrong?
- What happens if a corporate policy is broken?
- What would you do if someone asked you to ignore a corporate policy violation?
- What compliance hazards do you think our organization should be concerned about?
- Describe a situation when a new compliance approach helped you avoid lawsuits.
- What steps do take when a manager acted aggressively against you?
Role-specific interview questions
- How can a whistleblower be protected?
- What is the process for developing and implementing an internal control system?
- How can you put together a successful compliance program?
- Which of the following are the most prevalent compliance concerns you've encountered?
- How long have you been reporting to regulatory bodies?
- What is your background in compliance training?
Behavioral interview questions
- What have been the most challenging compliance or ethics challenges you've faced? What went wrong?
- In your previous position, what contribution are you most proud of?
- Describe a procedure for reporting violations that you've implemented.
- How do deal with subordinates who caused you problems?
- Describe a period when you were the subject of a formal investigation.
Conclusion
Conscientiousness, communication, preparation, and proactive thinking should all be addressed in your own questions. This can be accomplished by posing behavioral and situational questions. Candidates should ideally be familiar with your sector and its rules. If you want them to lead a team of compliance experts, look at their leadership skills as well.
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