Compliance Manager Interview Questions

These Compliance Manager interview questions bring together a snapshot of what to look for in candidates with a sample of appropriate interview questions. You can modify these questions according to the job role you are hiring for.


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Compliance Manager Interview Questions

Compliance Managers work carefully to follow the law and internal policies. They are employed in a huge range of industries like healthcare and finance. Strong knowledge and experience are important while certification can be a plus during the recruitment process.
When interviewing the candidates, pay close attention to candidates who are interested in knowing about your compliance programs, your needs and the challenges you face. They would like to discuss methodical procedures they will implement to prepare an effective compliance program according to your business goals.
Assess skills like proactive thinking, planning, communication and conscientiousness during the interview. Asking situational and behavioral questions can help you know if the candidate has these skills. Give preference to candidates who are familiar with your industry and its regulations.

Role-specific questions

  • Describe a whistle-blower. How do you protect them?
  • What is your approach for implementing an internal control system?
  • Describe key points of an effective compliance program.
  • What type of challenges do you face as a compliance manager?
  • Share about your experience of reporting to regulatory bodies.
  • On what basis you prioritize tasks?
  • Share your experience of conducting compliance training.

Behavioral questions

  • What type of ethical or compliance issues do you face? How do you resolve them?
  • Tell me about a contribution you are most proud of.
  • Tell me about a procedure you had implemented previously for employees who wanted to report misconduct.
  • Have you ever faced an opposition when trying to implement a compliance program? How did you manage the situation?
  • Have you ever faced issues with your subordinates? How did you resolve them?
  • Have you ever been involved in an official investigation?