Compliance Officer Interview Questions

Compliance Officer Interview Questions

October 28th, 2020

The Compliance Officer guarantees a company is running its business in full compliance with the law. They are charged with developing, maintaining, and improving a company’s policies to prevent illegal, unethical, or inappropriate behavior.

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Compliance Officer Interview Questions:

1. What process is followed when an employee disobeys a company policy?

Tests the candidate’s knowledge of industry laws and procedures.

2. What important factors should be part of an effective compliance program?

Reveals the candidate’s knowledge of compliance programs.

3. Can you describe the hardest compliance problem you’ve faced in your career? How did you handle it?

Highlights the candidate’s previous experience in a similar role.

4. What is the most common compliance issue facing our company’s industry?

Tests the candidate’s knowledge of compliance risks and issues.

5. If someone in management asked you to overlook a policy violation, what would you do?

Reveals the candidate’s possible weaknesses.

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