Dear job seeker,

I will keep this page short and to the point. Here’s what I have for you today:

compliance officer interview guide ebook cover

In the eBook, you will find multiple great answers to each of the following questions:

  • What do you want to accomplish in this job?
  • How do you imagine a typical day in work as a compliance officer in our company?
  • Define compliance program, and how would you create one for our business (if that was your task).
  • How would you ensure that employees stick to our compliance program?
  • What role does counseling play in your work?
  • What is the first thing you would do after starting in this job?
  • How do you ensure to keep your knowledge of laws and regulations up to date?
  • Imagine that you discovered an executive violating the company’s code of conduct. What would you do?
  • Describe the most difficult compliance or ethics issue you’ve faced. How did you resolve it?
  • If someone directly or indirectly asked you to overlook a violation of company policy, how would you react?
  • You are evaluating various internal documents in the organization, and find a discrepancy between the code of conduct and the employee handbook. Which action will you take?
  • What do you consider your greatest weakness as a compliance officer?
  • … and thirteen other tough questions you will often face in your interview for a job of Compliance Officer.

Check the sample to see how this eBook can help you:

 

Sample from the eBook


Q: What is the first thing you would do after starting in this job?

Hint: Changing your LinkedIn profile, smoking a good cigar in your comfy office, and buying a new car. Perhaps you’d do that, but they want to hear something else in a job interview.

I suggest you to say that you would conduct a compliance and ethics risk assessment—if there is none in place, or if they had a poor one, which can often be the reason why they search new compliance officer; or you’d review the last one if they conducted it recently.

Another alternative is saying that you would talk to all key figures from the company (CEO, COO, CTO, leaders of various departments), and to their general counsel, trying to understand the challenges they face, and how you can help address them from your position.

Sample answers

– I would probably start with a compliance and ethics risk assessment, especially if you haven’t done one during the last twelve months. If you did one, I’d review it. This should help me to understand where we are at the moment, what challenges we face and have to address in our compliance program. This is the first thing I’d do after starting in this job.

– Before anything else I’d talk to leading figures from the company, especially the CEO, and also to your legal counsel. I have to understand the background, the work of other compliance officers, the standards you adhere to (or try to), your expectations on my work, and your priorities when it comes to compliance and ethics throughout the company. This should help me identify the issues I have to address immediately.

 

Q: Imagine that you discovered an executive violating the company’s code of conduct. What would you do?

Though a delicate situation, you should report this behavior. But remember that some people sitting in the interviewing panel may actually belong to the board

I’d suggest saying that if the violation wasn’t serious, or it wasn’t a repeated incident, you’d talk only to the particular executive. You’d explain the situation, and ask them to remedy their actions.

Obviously you’d not report the person who helped you to discover the violation.

If it didn’t help, however, you’d take the necessary action, reporting them directly to the CEO.

Another alternative is seeking help from a general counsel, who may have some insider information and help you to address this delicate situation in the most appropriate way.

You should also say that you would try your best to verify the allegations before doing anything else—if it is possible to verify them, if it’s not a word against word situation.

Sample answers

– First and foremost I’d try to verify the allegations, using all possible means of doing so, in a discrete way. Then everything depends on the individual situation—how serious violation we talk about, whether it was their first violation or a repeated one, the impact it has on the business, and so on.

However, I am not qualified to consider all these factors on my own, and therefor I will likely report it to the CEO, explaining my view of the situation, and letting them to decide about the next steps.

– It is a delicate situation, and we should proceed cautiously. Maybe I would talk to the general counsel first, asking about their opinion, what we should do and what an impact it would have on the reputation of the company—if the information leaked out. I may also talk to the executive in question first, asking for explanation—of course I wouldn’t do that in a case of a serious violation—in such a case we have to report it immediately to our superior.

To be honest, this is a difficult situation, and I would definitely think carefully, considering everything while trying to find the most appropriate course of action.

End of the sample


 

These are just two questions. You will find 25 in the eBook, including personal, behavioral, and technical questions. But that’s not all.

To ensure you will get the job, I included in the book six principles you need to understand before you can ace this interview.

Without talking too much about them, let me show you another sample from the book:

 

Sample no. 2


Principle no. 3: Proactive approach is everything.

You would find some surprising similarities between a job of a compliance officer, job of a CEO, and an occupation of an entrepreneur.

In all these roles, you can’t expect other people to give you instructions, to tell you what you should do today, this hour, this second.

When you are an entrepreneur, and do not have proactive approach to work, which goes hand in hand with strong discipline, you will soon end up bankrupt.

When you are a CEO and expect someone else to tell you what you should do, you will soon realize (or be told) that someone else is leading the company (and will soon take your position over).

And when you are a compliance officer and wait for things to happen, the only things that will actually happen are new lawsuits against the company, problems in all fronts, and disciplinary issues that are hard to address.

Anytime you interview for this job, you should ensure the interviewers that solving problems is NOT your primary goal. Your primary goal is precaution.

Organizing training, publishing internal materials and regulations, actively talking to heads of departments and reading materials they published, and basically ensuring that everyone is aware of the rules and practices they should adhere to, and that these practices are up to date and in accordance with newest legislation, is your primary goal.

But you can’t achieve any of that sitting in your office, waiting for a knock on your door. And there will be nobody to push you forward—because you need to be independent in order to remain impartial.

Ensure the interviewers, with everything you say about your last jobs, and your plans for the new one, that proactive approach is your approach to work—to each day in the office……………….

 

End of the sample


Matthew Chulaw
Matthew Chulaw, author of the eBook

So that’s it. I do not want to waste your time with lengthy sales pages, and imaginary discounts or fake reviews, just like other people do on their websites.

You have read the samples, you know what the eBook is about, and surely you can tell whether it will help you.

I sincerely believe it will. And you can read it easily in two or three hours, it’s 13,000 words. Only things that truly matter, no secondary content.

Plus, of course, like with everything else we sell here on InterviewPenguin.com, you have a risk free sixty days money back guarantee. If you don’t like this eBook for any reason, or no reason at all, just let me know (email me at matthew[at]interviewpenguin[dot]com) within 60 days and we will give you a full refund.

Quick Summary

compliance officer interview guide ebook cover

  • Brilliant answers to twenty-five difficult questions you may get in your interview for a job of a Compliance Officer or Compliance Manager.
  • Published in 2020.
  • Several sample answers to each question, so you can choose one that reflects your values and experience.
  • Six principles of acing the interview, things you simply need to know in order to make the right impression on the hiring managers.
  • Instant download, .PDF format (you can read it on any device (mobile, kindle, PC), and you can easily print it).
  • Secure and simple checkout with PayPal, you can pay with your credit/debit card, or with your PayPal account.
  • Price: $24.95, one time payment, no hidden fees or upsell. 60 days risk free money back guarantee . Sold exclusively on InterviewPenguin.com.
  • Click the checkout button below to proceed to the payment.

(After the payment you will be directed back to our website, to a protected page, to download your eBook. You will also receive a download link and instructions to your email, just to ensure that you will get the book without waiting, even if the redirect fails.)


That’s it. Your interview does not have to be stressful, or difficult. You can interview with confidence, and give brilliant answers to all tough questions. Download the guide today, and succeed in your interview.

Sincerely,

Matthew Chulaw,

Your personal job interview coach

P.S. You can send me an email, if you have any questions about the guide. I try my best to answer all messages within twelve hours (matthew[at]interviewpenguin[dot]com). Thank you!

Matthew Chulaw
Latest posts by Matthew Chulaw (see all)