Compliance Officer Interview Questions

A Compliance Officer ensures a company functions in a legal and ethical manner while meeting its business goals. Compliance Officers are responsible for developing compliance programs, reviewing company policies, and advising management on possible risks.

Whether you're a job seeker preparing to be interviewed for the role of Compliance Officer or an employer preparing to interview candidates for Compliance Officer position, these Compliance Officer interview questions will help you prepare yourself for the job interview session.

Compliance Officer Interview Questions

Below are a list of some skill-based Compliance Officer interview questions.

1. Why do you think you can be a good compliance officer?
2. Do you have any professional compliance certifications? Do you plan to get any?
3. What constitutes an effective compliance program?
4. What process is followed when an employee disobeys a company policy?
5. How do you handle situations with the employee when you have to tell them that they are violating rules?
6. What important factors should be part of an effective compliance program?
7. What do you do when you notice that there is a new compliance requirement that needs to be implemented?
8. Can you describe the hardest compliance or ethics problem you’ve faced in your career? How did you handle it?
9. How would you protect people who confide in you, reporting a serious issue?
10. Can you give examples in which you had to work with people outside of your department in order to solve a problem?
11. What is the most common compliance issue facing our company’s industry?
12. Share an experience in which your attention to detail and thoroughness had an impact on your work.
13. Imagine that you discovered an executive violating the company’s code of conduct. What would you do?
14. How would you handle a request by a senior executive to violate a company’s code of conduct?
15. If someone in management asked you to overlook a policy violation, what would you do?
16. How do you feel about dismissing (firing) someone, or about suggesting such a step to the management?
17. What do you do to stay informed of developments in your professional area?
18. Why should you be hired for this post?

Compliance Officer Interview Questions and Answers

Every interview is different and the questions may vary. However, there are lots of general questions that get asked at every interview.

Below are some common questions you'd expect during Compliance Officer interviews. Click on each question to see how to answer them.

1. What is Your Greatest Weakness?
2. What Is Your Greatest Accomplishment?
3. Why Do You Want To Leave Your Current Job?
4. Do You Have Any Questions for Us?
5. What is Your Greatest Strength?
6. What is Your Salary Expectation?
7. Why Do You Want This Job?
8. Tell Me About Yourself
9. Are You a Leader or a Follower?
10. Why Should We Hire You?