Senior Compliance Analyst Interview Questions


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Senior Compliance Analyst was asked...2 March 2020

Tell me the scenario where you were wrong and how did you overcomed with it?

2 Answers

This question is based on "Are right, a lot". Be sure to have clarity on all the principles Less

As an Amazon employee who interviewed and hired a lot of people here, I've created a guide that has all the questions and winning answers from an Amazonian recruiter perspective. Please check it out at . Pls also check the positive feedback at the bottom of that page! Thanks Less

Homespire Mortgage

Why do you want to be an auditor

1 Answers

I love helping prod and making a difference in someone life. Home buying can be a frustrating process. The only thing I would change is the best way to get the best way to get the best way to. Less


Explain why my years of experience didn't include any management experience.

1 Answers

Early in my career I had thought I wanted to take the road to management but over the years I chose not to pursue it. Less

Intertrust Group

If you want to transfer money from Switzerland being a Switzerland citizen from Swiss bank to Iran will it be acceptable to transfer as per AML compliance.

1 Answers

It is acceptable as sanctions are applicable based on country of transactions as US sanctions are applicable only to financial services operating from US or US based entities.- ans given by vice president of compliance team. Less

Zoom Video Communications

First interview with HR involved mostly a narrative about the team and their needs and then high level inquiry into my background. During the second interview, the first question was a simple inquiry into my overall experience. The 3-4 questions that followed were were all multi-question asks that were pretty long---versus single, direct concise questions based off a proposition, issue, challenge, and so forth.

1 Answers

Over Zoom due to the pandemic, I answered all questions giving them examples of my success stories in my various roles. The pre-screen with HR went very well, he was engaged, interested, communicative, and answered all of my questions thoroughly. The second interview, which was the determining interview to move me forward, did not go as well as the first one with HR. Immediately after the interview I knew that I wasn't going to be recommended because the gentleman was not quite personable or seemed interested in me once the Zoom video started, he made minimal eye contact or wouldn't look at me (he was looking at his screens more than half the time), made a comment that he didn't read my resume and that it was quite long, and that when I asked for feedback (i.e., was there any additional information that I can provide you? do you think I'd be a good fit for the team? and next steps) he was very short . Granted I was confident I demonstrated adequate skills, qualities, and expertise, I was concerned that the second interviewer had already made their mind up prior to us engaging based off his body language, lack of interest, and the aforementioned. But I am still interested in Zoom opportunities and would probably make better impression with a different team member. Less


What is your background and how do you believe it fits this role?

1 Answers

Described background in government contracts and how it could convert to compliance. Less


To share on my experiences and what kind of task been handle

1 Answers

Able to explain in detail the task I have done in previous team and what kind of challenges been handle Less


Simple and basic AML questions?

1 Answers

Study and know AML and the 3 stages of money laundering


Do you know what a subpoena is?

1 Answers

Essentially a court order.

MoneyGram International

Describe your role as an IT governance, risk, and compliance manager.

1 Answers

I covered the detail that was on my resume. That was basically it. No difficult questions...again because the recruiter was out of her depth regarding technical IT skills. Less

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