- What would your compliance program look like in our organization? …
- How have you handled a compliance conflict in the past? …
- What certifications or training have you received in compliance? …
- What would be your first steps for a new compliance assignment?
COMPLIANCE INTERVIEW Questions and ANSWERS! (Compliance Officer and Manager Job Positions)
Imagine that you discovered an executive violating the company’s code of conduct. What would you do?
Though a delicate situation, you should report this behavior. But remember that some people sitting in the interviewing panel may actually belong to the board…
I’d suggest saying that if the violation wasn’t serious, or it wasn’t a repeated incident, you’d talk only to the particular executive. You’d explain the situation, and ask them to remedy their actions.
Obviously you’d not report the person who helped you to discover the violation. If it didn’t help, however, you’d take the necessary action, reporting them directly to the CEO.
Another alternative is seeking help from a general counsel, who may have some insider information and help you to address this delicate situation in the most appropriate way.
You should also say that you would try your best to verify the allegations before doing anything else—if it is possible to verify them, if it’s not a word against word situation.
“Tell me about your experience as a compliance officer?”
Be prepared to discuss your previous compliance experience. If you do not have previous experience as a compliance officer, perhaps because you are switching careers, discuss transferable skills. Keith Darcy, executive director of the Ethics & Compliance Officers Association, says, “The most important skills include leadership, writing, public speaking, ethical decision-making, communications, and training and instructional design.” He adds, “They should also possess a high degree of courage and integrity due to the confidential nature of the work.”
2. What important factors should be part of an effective compliance program?
Reveals the candidate’s knowledge of compliance programs.
Compliance Officer Interview Questions:
Tests the candidate’s knowledge of industry laws and procedures.
Interview Questions for Compliance Specialists:
Reveals the candidates experience and working methods. Look for candidates who demonstrate attention to detail and strong analytical skills.
3. Can you describe the hardest compliance problem you’ve faced in your career? How did you handle it?
Highlights the candidate’s previous experience in a similar role.
“Do you have any professional compliance certifications? Do you plan to get any?”
The employer is attempting to assess whether you are serious about a career as a compliance officer. Compliance is a field that attracts many people wishing to switch careers and is an attractive area for lawyers. Obtaining compliance designations and certifications show the employer how committed you are to a profession as a compliance officer.
“How would you handle employees who report violations of compliance policies or other laws or regulations?”
Whistleblower laws protect an employee who reports violations of various laws by other employees from retaliation. This question is designed to test your knowledge and awareness of federal and state statutes regarding this issue.
Describe the most difficult compliance or ethics issue you’ve faced. How did you resolve it?
Speak about a situation which you eventually managed to resolve. One that had a happy ending. You can talk about corruption, bullying, nepotism, falsifying data to pass environmental and other checks and quotes, or about anything else.
Once again, this questions in a test of your attitude. The key is to convince the hiring managers that you take your job with full responsibility, and do not prioritize any employee of the company–including the people in the board.