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Compliance Manager Interview Questions

"When hiring a compliance manager, an employer will look for applicants with the legal knowledge and ethical standards to ensure the company does not violate its rules and regulations. When interviewing for this position, expect to be given behavioral questions meant to determine how you would enforce the company's code of conduct and handle ethical and legal violations in the workplace."

1,288 compliance manager interview questions shared by candidates

Standard questions at first: why do you want to work here, what is you best/worst quality, what would you coworkers/manager say are your best/worst. The second round is a lot more tactical. But honestly no questions were ever super out of left field.
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Regulatory Compliance Manager

Interviewed at Revolut

4★
Oct 20, 2021

Standard questions at first: why do you want to work here, what is you best/worst quality, what would you coworkers/manager say are your best/worst. The second round is a lot more tactical. But honestly no questions were ever super out of left field.

1) Initial Screening - I think HR have a checklist of things they're looking for, but they ask various questions about your experience, salary 2) Aptitude test - they send you a practice one that's much harder than the real one. The point of the test is not for you to answer all of them in the timeframe given. You should try and complete as many as you can accurately and quickly 3) Technical Interview - I was asked to review some screens and get my thoughts on them. I was also asked a hypothetical question about cross border payments 4) Problem Solver - I was asked how I would go about improving the customer satisfaction score of an airport 5) Team Fit - brief run through of my career history with the interviewer asking questions throughout to gauge your experience, whether you challenge senior members, balance between commercial expectations and compliance risks. 6) Bar Raiser- a number of questions related to my experience - what's one thing I learned from a specific role, my motivations for moving between each job, what would I do better in a given project, did I achieve the goals I set out to complete.
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Business Compliance Manager

Interviewed at Revolut

4★
Jan 13, 2023

1) Initial Screening - I think HR have a checklist of things they're looking for, but they ask various questions about your experience, salary 2) Aptitude test - they send you a practice one that's much harder than the real one. The point of the test is not for you to answer all of them in the timeframe given. You should try and complete as many as you can accurately and quickly 3) Technical Interview - I was asked to review some screens and get my thoughts on them. I was also asked a hypothetical question about cross border payments 4) Problem Solver - I was asked how I would go about improving the customer satisfaction score of an airport 5) Team Fit - brief run through of my career history with the interviewer asking questions throughout to gauge your experience, whether you challenge senior members, balance between commercial expectations and compliance risks. 6) Bar Raiser- a number of questions related to my experience - what's one thing I learned from a specific role, my motivations for moving between each job, what would I do better in a given project, did I achieve the goals I set out to complete.

Not difficult question, went through a pre-screen interview with hiring manager, interview with hiring manager's manager and hiring manager's peer. Had a total of 5 interviews (all phone) between the three. Final interview with the hiring manager ended with the hiring manager stating "I would like to proceed to the next stage to complete a offer package". This included with talking to HR asking a series of behavioral type question that should have been completed prior to the hiring manager contacting me so it appears they were back tracking and checking off the box of things to complete. HR requested that I submit a pay stub to prove my current salary as the position required HR to obtain. I had no objections and was told by HR paraphrased: { Let me get working on this, is there any questions you have for me or what else I can answer for you to make sure you are thrilled about this position and offer?}. Two weeks later I emailed HR to see if they needed any information from me since I was expecting a formal offer to which I was told that the hiring manager is also looking at other candidates. I thought it was odd but thought nothing of it and emailed the hiring manager to get an updated status. No response. It was not until I went through a back channel with my prior contacts at Wells (I had worked at WF previously, for 10 years) when I received a conference call invitation and with the HR and the hiring manager. The conference call was very well scripted with legal instructions on that Wells Fargo has decided to pursue other candidates and I'm no longer in consideration for the position. All in all, it was a weird interview process which does reinforce what I've known that WF is very large and different business units are more organized than others.
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Compliance Manager III

Interviewed at Wells Fargo

3.5★
Sep 8, 2014

Not difficult question, went through a pre-screen interview with hiring manager, interview with hiring manager's manager and hiring manager's peer. Had a total of 5 interviews (all phone) between the three. Final interview with the hiring manager ended with the hiring manager stating "I would like to proceed to the next stage to complete a offer package". This included with talking to HR asking a series of behavioral type question that should have been completed prior to the hiring manager contacting me so it appears they were back tracking and checking off the box of things to complete. HR requested that I submit a pay stub to prove my current salary as the position required HR to obtain. I had no objections and was told by HR paraphrased: { Let me get working on this, is there any questions you have for me or what else I can answer for you to make sure you are thrilled about this position and offer?}. Two weeks later I emailed HR to see if they needed any information from me since I was expecting a formal offer to which I was told that the hiring manager is also looking at other candidates. I thought it was odd but thought nothing of it and emailed the hiring manager to get an updated status. No response. It was not until I went through a back channel with my prior contacts at Wells (I had worked at WF previously, for 10 years) when I received a conference call invitation and with the HR and the hiring manager. The conference call was very well scripted with legal instructions on that Wells Fargo has decided to pursue other candidates and I'm no longer in consideration for the position. All in all, it was a weird interview process which does reinforce what I've known that WF is very large and different business units are more organized than others.

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