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Assistant Compliance Officer Interview Questions

Searching for jobs as an Assistant Compliance Officer? We came up with a list of some interview questions you can expect to be asked, so arm yourself with appropriate answers! We recommend visiting multiple reliable sites so you’re prepared with answers for the interview questions that you might not already know.


How can you prepare to interview for an Assistant Compliance Officer? Take a look at these Compliance Officer interview questions you’ll want to find out how to answer OR ask!


  • Do you have any professional certifications? If not, what are your plans to earn them?
  • What is your experience working with (a) internal compliance teams, (b) the C-suite and board of directors, and (c) external regulatory agencies?
  • If so, what was your role, what were the steps involved in the investigation, and what was the outcome?
  • What are the top weaknesses in compliance departments and how can you improve them?
  • How does an individual who has been in the equities business a long time get started in the compliance area?
  • How much do Compliance Officers make in your city?
  • What motivates you to do your best on the job?
  • What features of your previous jobs have you disliked?
  • What are your expectations regarding promotions and salary increases?
  • What type of work environment do you prefer?
  • What was the most stressful situation you have faced as as Compliance Assistant?
  • What do you consider the most important qualities for this Compliance Assistant job?
  • What parts of your education do you see as relevant to this Compliance Assistant position?
  • What is the toughest group that you have had to get cooperation from?
  • What is the difference between a manager and a leader?
  • What have you done to improve your verbal communication skills?
  • What other careers have you considered/applied for?
  • What is more important to you: the money or the work as Compliance Assistant?
  • What assignment was too difficult for you?
  • How would your teacher or other Compliance Assistant describe you?
  • How do you establish good communication and information flow with others?
  • Tell me about your work experience? How has it prepared you for Compliance Assistant job?
  • How do you react if you find that someone you work with does not like you?
  • Where would you like to be in your career five years from now?
  • Who was your favorite manager and why?
  • What is your greatest weakness?
  • What challenges are you looking for in this position?
  • What do you know about us?
  • What kind of salary do you need?
  • Why do you want to work with us?
  • What are the compliance- and/or ethics-related challenges you face most frequently in your current role?
  • What should happen to someone who violates the company's code of conduct and/or compliance policies?
  • How can the company's compliance policies be improved and/or better applied, communicated and enforced?
  • How can employees report concerns, issues, or potential violations of laws, regulations and/or the code of conduct and/or compliance policies?
  • If you were to be promoted or leave the organization and someone took over your role who lacked the same level of integrity that you do, how could that person violate a policy or break the law and not be detected?
  • What kind of salary are you looking for Assistant compliance officer?
  • What are key tasks for Assistant compliance officer?

Have answers to any of the above for your fellow job seekers? Share them in the comments here!

Last Updated: July 14, 2016
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