Compliance Manager Interview Questions

Compliance Manager Interview Questions

April 6th, 2020

Compliance Managers ensure a company’s activities and processes adhere to the law and internal policies. They stay up-to-date with changing laws that affect their industry. Their duties include preparing reports, performing regular audits, responding to violations, and managing control systems.

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Compliance Manager Interview Questions:

1. What process should be followed after an employee disobeys a company policy?

Highlights the candidate’s knowledge of control processes.

2. What are the most popular compliance issues found in a workplace?

Tests the candidate’s knowledge of compliance issues.

3. While performing a site evaluation, you notice that the supervisor is behaving aggressively. How do you respond?

Demonstrates the candidate’s communication and interpersonal skills.

4. In your experience, what five important factors should an effective compliance program have?

Tests the candidate’s experience developing compliance programs.

5. Can you give an example of a procedure you developed to help employees safely report company violations?

Highlights the candidate’s knowledge of effective compliance procedures.

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