Compliance Manager Question:
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Tell me do you have any professional certifications? If not, what are your plans to earn them?
Answer:
Employers want to see a Series 14, CPA, CFE, or other designations to signal you’re serious about a compliance career. “The licenses you have tell me whether I am dealing with someone who has made compliance their profession,” Lewis says. “Certainly people with legal backgrounds are capable of this work, but additional continuing education tells me you’re committed to it.”
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