Interview Questions to Hire Compliance Manager

Compliance Managers are key to ensuring your company is functioning in line with all regulations, including the company's own policies. Compliance managers work with all departments in a company to ensure they are compliant with local laws. They complete audits and investigations, and provide reports to outside agencies such as law enforcement or Health and Safety executives.

When interviewing a candidate for a Compliance Manager role, it is important to ascertain their industry experience. Many compliance managers specialize in certain areas, such as health and safety, safeguarding, food regulations, etc., so choosing someone with a background similar to that of your company will be key. You should be looking for candidates with strong communication skills and demonstrated time and workload management abilities.

Role Specific Questions

• How often should an audit on a department be completed?
• How would you assist a compliance-failing department? What steps would you take?
• What software have you used to track compliance in your previous roles?
• Who is the local authority that our company should report to for our compliance requirements?
• Why is it important to liaise with third-party companies, such as local authorities, to ensure complete compliance?
• If there has been a change in regulation, how would you communicate and ensure this change is adhered to by the relevant department?
• What industry have you had the most compliance experience in?
• How do you manage a busy and varied workload to ensure you meet strict deadlines?
• How would you present research and findings to a non-compliance technical audience?

Behavioral Questions

• How do you keep up to date with industry trends and initiatives?
• How do you effectively communicate with shareholders and stakeholders?
• Tell me about a project you worked on that was successful. What did you enjoy about it?

Conclusion

Most Compliance Managers will be able to provide comprehensive answers and demonstrate in-depth knowledge of these subject matter questions. Look for answers using the star method and identify where persons are using specific examples from their previous roles/experience to demonstrate their working knowledge.

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