Compliance Manager Question:

☛ Why are you interested in this role and how would you add value to the team?
☛ Why this firm and not another organization?
☛ What are your long-term career aspirations?
☛ What projects have you been involved in?
☛ What are your dealings with the financial regulators?
☛ How have you been involved in the development of policies and procedures? What do you think are the key compliance challenges for this type of business in the current climate? (This question, in particular, is coming up quite a lot for compliance roles)
☛ In the first 30 days on the job, what would you expect to achieve?
☛ How would you deal, or have you dealt, with difficult employees or situations?
☛ Have you ever experienced a situation where something has gone wrong for you or a team that you were part of in compliance? What did you do to fix it? What did you put in place to ensure that it didn’t happen again?
☛ In your current role, what wouldn’t have been achieved had you not been there?
☛ If one of your former line managers were to describe you, what would they say? Would they highlight any weaknesses?