Compliance Specialist Interview Questions

Compliance Specialist Interview Questions

July 23rd, 2020

Compliance Specialists ensure that companies adhere to industry-specific standards and applicable legal regulations. They identify and report compliance issues, administer employee training on compliance-related topics, and liaise with relevant government agencies.

When interviewing Compliance Specialists, the most suitable candidate will demonstrate excellent organizational and analytical skills. Be wary of candidates with poor communication skills or who lack attention to detail.

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Interview Questions for Compliance Specialists:

1. Can you describe your process for investigating a compliance violation?

Reveals the candidate's experience and working methods. Look for candidates who demonstrate attention to detail and strong analytical skills.

2. How would you handle an uncooperative employee who repeatedly violates rules?

Shows how the candidate handles difficult situations and demonstrates their communication and problem-solving skills.

3. How do you stay up-to-date with relevant laws and regulations?

Reveals the candidate's knowledge of relevant laws and how they stay informed of developments in the regulatory landscape.

4. What analytical and compliance software are you familiar with?

Demonstrates the extent of the candidate's technical skills.

5. How do you keep employees informed of relevant regulations and policies?

Shows the candidate's ability to communicate with employees and deliver training on compliance matters.

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