Compliance Manager Interview Questions


Compliance Manager interview questions shared by candidates

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First Midwest Bank
Senior Compliance Manager was asked...20 February 2020

How do you stay informed on regulatory changes?

3 Answers

I subscribe to email alerts from the regulatory banking agencies (FDIC, OCC, CFPB, FRB) and from two legal firms (Scudder LawGroup and Buckey Sandler). Less

Search the respective notificatios from the Authorities regularly

It means the changes made or proposed to be made by the regulatory authorities including the Government and the Company Less


- About experience of Skill Development

2 Answers

Ssc Dae

1992 metric (high school certificate) with science from bise sargodha Dae civil 3years diploma associate engineer from Saifia Polytechnic Institute Jhang Less

Atlanta Network Technologies

What are your experiences doing something related to this position?

2 Answers

My experience in this position right now is that I also make purchase orders and I receive and I make sure that I let the customers know if anything is on backorder and ask for ETA so I can have the correct date Less

I also sent out an email to the employees to inform them on everything that is on back stock so just in case if they have someone else who would like to purchase that same item they will already know in advance that is going to be on backorder so they can let the client know just in case if that's something that they still wanted to do Less

Fidelity Investments

What would you do if you ever not to get this job?

2 Answers

I would continue my search for an employer who would find me suitable and fit their bill. Less

that's a new one, what would they expect you to do?

Biostorage Technologies

Why do you want to work for our Company?

1 Answers

The description of the position that I applied for seems to fit where I want to go with my career. It appears to be challenging and rewarding. Less

Deutsche Bank

Why are you here?

2 Answers

This was the initial question and I was unsure if this was just to through me off. However, I just answered and explained how I found the job and what aspects made me apply. Less

I m pursuing Mba from Gbsrc of management studies and want to do summer internship from your bank. please give me an opportunity to prove myself. Less

San Diego Gas & Electric

Generally, the questions asked related to the ability to apply knowledge and work through problems.

2 Answers

It doesn't matter what the question is...the answer is to be "White"!

While I have plenty of gripes - this has not been my experience. In fact, it's just the opposite! The company goes above and beyond to "promote" diversity. In addition to what I have seen, I have heard that other hiring managers have been told they need to hire someone who checks a certain minority box or they won't get to hire anyone at all. Less


if you put 120Vac into a full wave rectifier what do you get out?

2 Answers

The answer is not half as the interviewer believes ( its half the peak voltage but that's not what the question asks) Less

A banana


How would your current experience or previous experience benefit in this role?

2 Answers

I have 9 years experiences in this role and improve a lot of things safety like ERP plan MHE training and development safe operating procedure as per Iosh standard Less

I am working with well reputed organizations and I can handle all the issues regarding HSE . Now playing good rule to manage team and site compliance and implementation SHE policy and procedure Less

Washington DC Government

When will you be available to start working?

2 Answers

Is the interview structured with situational and behavioral questions?

As soon as possible.

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