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Compliance officer Interview Questions

When hiring a compliance officer, an employer will look for applicants with legal knowledge and ethical standards to ensure that the company does not violate its rules and regulations. When interviewing for this position, expect to be given behavioural questions that are designed to determine how you would enforce the company's code of conduct and handle ethical and legal violations in the workplace.

1,964 Compliance Officer interview questions shared by candidates

Top Compliance Officer Interview Questions & How To Answer

Here are three top compliance officer interview questions and tips on how to answer them:

Question No. 1: How would you handle a situation where an employee violated the company's code of conduct?

How to answer: Not only do interviewers want to know whether you respect the company's code of ethics, but they also want to know whether you have what it takes to confront, and even fire and take legal action against, an employee for their unethical or unprofessional behaviour in the office.

Question No. 2: What is necessary to create an effective compliance programme?

How to answer: Employers want to make sure you understand the laws, rules and regulations of the industry. When asked this question, share your knowledge of the industry-relevant governing bodies.

Question No. 3: If a senior-level employee asked you to violate the company's code of conduct, what would you do?

How to answer: Compliance officers have to make sure that all employees are following the legal requirements of the company, including senior-level executives. When asked this integrity question, assure the interviewer that you would work with all employees, regardless of rank, to make sure that they are educated about the compliance programme and follow the established rules.

Top Interview Questions

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Tax Compliance Officer was asked...21 June 2012

A taxpayer provides you with telephone records that show 60% personal use and 40% business use. His monthly bill is $75. How much of a deduction for business use would you allow on his taxes for the entire year?

3 Answers


$30 ($75 x .40 = $30)

$30 would be the amount for one month. For the entire year, it would be $360?

Bank of China

first take a EQ test then essay then translate the statement from english to chinese and chinese to english. easy and smooth

2 Answers

what type of statement?

follow my heart


How do you handle a taxpayer tht will not stop crying?

2 Answers

From the online assessments, it said that it was important to minimize the number of appointments with the tax payer to make sure you can get through your case load and also to make sure it is still convenient. So rescheduling would likely not be a good answer. I think empathizing with the tax payer (without over sympathizing), maybe giving them a few minutes to collect themselves, and letting them know that there are payment options would be a good solution. Less

Reschedule the appointment.

Magellan Health

Unexpected Q: name of the current head of the regulatory govt agency.

1 Answers

That I did not know.

Texas Comptroller of Public Accounts

How you handle conflicts.

2 Answers

I will first identify the nature of the conflict and then come up with intervention mechanism that could possible resolve the conflict. Less

With poise in order to come to a resolution


Tell me about yourself?

1 Answers

Told them all about my education and family.

NES Fircroft

What role do you play on a team?

2 Answers

Mechaical Piping supervisor

QC welding engineer


Solve a tax math question and tell us how u got to that answer about how much deduction a taxpayer is allowed per the information given

2 Answers

Hard hard hard

Same here


How do you work better, as a team player or as an individual contributor?

1 Answers

I told then I have work in both situations, that I feel either confortable and been succesful in either role. Less



2 Answers


How did you answer the question? What range/what amount?

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