Compliance manager interview questions

List of interview questions

1. Could you describe what makes an effective compliance system?
2. What procedure should be followed when someone violates company policy?
3. How do you handle an executive violating the company’s code of conduct?
4. What would you do if someone, directly or indirectly, asks you to overlook a violation of company policy?
5. Can you describe a time you implemented a compliance initiative that helped your company avoid litigation?
6. Have you dealt with whistleblowers in previous positions?
7. How do you handle conflicts within compliance teams?

A compliance manager is in charge of ensuring that a company is in accordance with all relevant laws, regulations, and industry standards.

This role requires a certain set of skills and qualifications, so finding the perfect candidate may take some time. 

The following interview questions can help determine whether a candidate is suitable for the position.

Interview questions for a compliance manager

Listed below are some questions that you can ask during a compliance manager interview:

1. Could you describe what makes an effective compliance system?

A compliance manager is responsible for creating and implementing compliance systems and policies that help the company follow legal standards.

This question assesses the candidates’ understanding of on-site or remote compliance and how they can ensure its effectiveness in the workplace.

As a follow-up, ask them to discuss their step-by-step process for creating these policies and how they ensure they comply with all relevant laws and regulations.

2. What procedure should be followed when someone violates company policy?

Part of the compliance process is monitoring for violations or issues that may affect the company.

This question gives insight into the candidates’ approach to a violation, specifically how they would handle it and how they would prevent it in the future.

3. How do you handle an executive violating the company’s code of conduct?

In every company, no employee is exempt from violating compliance rules or code of conduct, and that includes the executives and higher-ups.

This question addresses the candidates’ ability to handle compliance violations, even for those in higher positions. Ask them to explain in-depth how specifically they would tackle the situation.

4. What would you do if someone, directly or indirectly, asks you to overlook a violation of company policy?

As mentioned previously, all employees must follow compliance rules regardless of position, so someone asking the compliance manager to overlook a violation is a huge issue.

Listen to how the candidates respond to this issue and how they would handle it without it getting out of hand. This question helps gauge their honesty and integrity.

5. Can you describe a time you implemented a compliance initiative that helped your company avoid litigation?

This question digs deeper into the candidates’ experience in implementing compliance initiatives and strategies and how effective they were in avoiding legal issues. 

Ask about any specific strategies or policies that they have implemented in the past and what it accomplished in the company in terms of achieving compliance.

6. What is a whistleblower? Have you dealt with whistleblowers in previous positions?

If a whistleblower comes forth about a compliance violation, the compliance manager must approach this situation sensitively and with care.

Listen to the applicants’ previous experience with whistleblowers (if any) and how they tackled the situation. Ask about how they can guarantee anonymity, reporting procedures, or protective measures.

7. How do you handle conflicts within compliance teams?

Since a compliance manager works with different teams, conflict is bound to happen between two parties. It is the compliance manager’s job to mediate the situation and find common ground between the two sides.

This question gives insight into the candidate’s ability to communicate, solve problems between two sides, and bridge the gap between them.

Finding the best compliance manager

There are a lot more questions you can ask a compliance manager candidate. But, it is important to ask the right ones that give you helpful information on their experience and capabilities.