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.

1,935 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

Sort: Relevance|Popular|Date
IRS
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

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

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

Goldman Sachs

Why don't you let all your newspaper staff write online articles?!

3 Answers

actualy the best answer is that when articals are published on the internet, people tend to have access without paying for the information therefore the abillity to stay in business becomes very difficult Less

I answered: "Unfortunately our website doesn't work to well so we are confined to the print version of the paper right now." Less

I don't have a news paper staff but if I did I would have to say that the information is best given in person in order to answer any questions Less

Kellermeyer Bergensons Services

I was asked my the manager the position would report to if I was single or married, had children, lived at home with parents, and where I lived.

3 Answers

Truthfully, just wasn't sure how it would have made a difference. I don't think there were bad intentions during the informal questions, thought it was inappropriate. Less

I interviewed with the HR team 11/2019. I was asked the same questions. It seems to be their standard questions. Being a formal recruiter to an aerospace company (industry doesn’t really matter) but the questions are inappropriate and irrelevant. Sadly, if it is used to determine that is wrong practice. Looks like there needs to be compliance training for the HR/Recruiting team especially this person, I believe Magdalia or something. Less

Thank you for your input. KBS takes pride in following all HR interviewing and hiring laws and guidelines. We promote a work environment that encourages diversity and fosters a variety of backgrounds, experiences, insights, and contributions. We deeply value our employees and are committed to creating a best-in-class workplace with competitive salaries and benefits. Less

MetLife

What experience do I have with AML?

3 Answers

No experience required! 200 Park Urban Campus recently promoted an entire department at the same time, regardless of tenure, knowledge or professionalism. Less

I do not have experience with AML. However, I am a fast learner who is willing and eager to learn about AML to enhance my work performance at the job Less

Discussed various projects at current role.

Asmacs

- About experience of Skill Development

2 Answers

Ssc Dae

1992 metric (high school certificate) with science from bise sargodha Dae civil 3years diploma associate engineer from Saifia Polytechnic Institute Jhang Less

Amicorp

What do you know about FATCA process?

2 Answers

I explained about FATCA with HIRE act.

In short, FATCA aims to bring in transparency and curb tax evasion by monitoring the income earned by NRIs living in USA from their non-US investments and assets. Less

Atlanta Network Technologies

What are your experiences doing something related to this position?

2 Answers

My experience in this position right now is that I also make purchase orders and I receive and I make sure that I let the customers know if anything is on backorder and ask for ETA so I can have the correct date Less

I also sent out an email to the employees to inform them on everything that is on back stock so just in case if they have someone else who would like to purchase that same item they will already know in advance that is going to be on backorder so they can let the client know just in case if that's something that they still wanted to do Less

SimplyBiz

tell me about your compliance experience

2 Answers

Told them where i had worked and what was involved/expected from the role

I'm now working as an Asst. Officer - IT at Young One Corporation and my roles are to support users any IT related issues, maintain network, hardware, WiFi network, and also manage active directory etc. Less

UL Solutions

What’s your expected salary range?

2 Answers

$16.50 hr to $22.50 hr

Negotiable in that range!

Block

What private business relationships does Square hold where, if lost, would harm our competitiveness?

2 Answers

I said Apple (if the they lose the app, then they lose their business altogether) I also said UPS (it was released in the news the day before that Square was selling there hardware there). I guess the interviewer hadden't read that news because he looked at me like he didn't know what I was talking about. Less

Visa, definitely. If they loose Visa as partner they will gain it as competitor.

Viewing 1 - 10 of 1,935 interview questions