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Compliance Manager Interview Questions

Edited by Indeed Employer Content Team
Last updated 26 January 2025
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Indeed’s Employer Resource Library helps businesses grow and manage their workforce. With over 15,000 articles in 6 languages, we offer tactical advice, how-tos and best practices to help businesses hire and retain great employees.

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Whether you are preparing to interview a candidate or applying for a job, review our list of top Compliance Manager interview questions and answers.

  1. What common compliance issues do you see in the workplace? See answer
  2. What do you look for when performing a site evaluation? See answer
  3. What is the most successful procedure or policy you implemented in your previous role? See answer
  4. What do you do when you notice employees violating rules? See answer
  5. How do you stay up-to-date with new policies and developments in this industry? See answer
  6. If you joined our team, how would you spend your first week as our compliance manager? See answer
  7. How do you create a safe space for employees to report company violations? See answer
  8. How would you describe your management style? See answer
  9. What do you want to accomplish as a compliance manager in our company? See answer
  10. If a senior employee wanted you to violate a law or regulation, what would you do? See answer
  11. What are some elements of an effective compliance programme? See answer
  12. What credentials do you have that make you a good compliance manager? See answer
  13. Has anyone challenged the policies or programmes you implemented in your previous role? What did you do? See answer
  14. What is a whistleblower? Do they assist or hinder you as a compliance manager? See answer
  15. Has a company you’ve worked for ever been under official investigation? What happened?
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Indeed’s Employer Resource Library helps businesses grow and manage their workforce. With over 15,000 articles in 6 languages, we offer tactical advice, how-tos and best practices to help businesses hire and retain great employees.

Read our editorial guidelines

15 Compliance Manager Interview Questions and Answers

What common compliance issues do you see in the workplace?

The aim of this question is to assess the candidate's industry knowledge and ability to name specific compliance issues. What to look for in an answer: 

  • Experience noticing and solving compliance issues
  • Strong analytical skills
  • Ability to name specific compliance issues in your industry
'The most common compliance issues I see in any workplace are those related to workplace safety and payroll. Some workplaces may not know all the safety laws they need to follow, so employees could be working unsafely or in an unsafe environment. Another issue is that overtime laws in the UK can change depending on the industry, so some companies schedule their employees for more hours than they're legally allowed to work.'
Example:

What do you look for when performing a site evaluation?

The aim of this question is to assess the candidate's technical knowledge and ability to see compliance issues on the spot. What to look for in an answer: 

  • Strong analytical skills
  • Experience performing site evaluations
  • In-depth knowledge of health and safety regulations
'When performing site evaluations, I always look for safety hazards. This could be a number of things, such as objects blocking fire exits, employees not wearing the proper PPE, or damaged equipment in use. I generally use a checklist to perform site evaluations to ensure I don't miss anything.'
Example:

What is the most successful procedure or policy you implemented in your previous role?

The aim of this question is to assess the candidate's experience and ability to implement successful changes. What to look for in an answer: 

  • Experience as a compliance manager
  • In-depth knowledge of health and safety regulations
  • Ability to implement successful procedures and policies
'In my previous role, I created a whistleblower protection programme. It encourages employees who notice any misconduct to come forward anonymously and tell me about it so I can take disciplinary action. Employees were always able to do this, but having a programme in place that promotes anonymity encouraged more employees to come forward.'
Example:

What do you do when you notice employees violating rules?

The aim of this question is to assess the candidate's communication skills and ability to enforce company regulations. What to look for in an answer: 

  • Strong communication and interpersonal skills
  • Willing to adhere to and enforce company regulations and policies
  • Ability to deal with violations professionally
'When I notice employees violating company policies, I will take them aside privately and let them know. They may just not know about the regulations. I will keep an eye on them to see if they continue to break the rules or not. If they do, I will give them a written warning and escalate the issue to their supervisor.'
Example:

How do you stay up-to-date with new policies and developments in this industry?

The aim of this question is to assess the candidate's knowledge and ability to stay informed about new regulations in your industry. What to look for in an answer: 

  • Up-to-date industry knowledge
  • Strong research skills
  • Willingness to continue their learning
'New e-courses about health and safety regulations in the UK are regularly released. I complete these courses in my spare time. For example, I recently finished a harassment and violence prevention for managers course. It taught me more about my responsibility of preventing harassment in the workplace.'
Example:

If you joined our team, how would you spend your first week as our compliance manager?

The aim of this question is to assess the candidate's understanding of the role and their plan for your company. What to look for in an answer: 

  • Strong ideas for their first few weeks or months with you
  • Understanding of the role
  • Prior knowledge of your company
'I know you are a relatively new company and never had a compliance manager before, so I would start by introducing myself and my role to everyone. I will be working with the entire company, so it's important that everyone can recognise me. I would then focus my time on cross-referencing your existing policies with federal and provincial laws to ensure they are compliant. This will allow me to see what new policies I need to create or adapt.'
Example:

How do you create a safe space for employees to report company violations?

The aim of this question is to assess the candidate's ability to ensure employees feel comfortable reporting company violations. What to look for in an answer: 

  • Strategy for keeping employee information confidential
  • Strong interpersonal and communication skills
  • Willing to create a safe space for employees
'Whenever I have a health and safety meeting with the company, I always reiterate that anyone can come forward to anonymously report any violations they notice. Outside of meetings, I try to talk to as many employees as possible to build relationships with them. I also post signs around the workplace about workers' rights so they know they won't get in trouble for reporting violations.'
Example:

How would you describe your management style?

The aim of this question is to assess the candidate's management style to determine if it will fit your needs. What to look for in an answer: 

  • Established management style
  • Ability to adapt their management style when necessary
  • Understanding of the role and the management style that best suits it
'I would describe my management style as authoritative. It may sound harsh to some, but if employees don't follow my regulations, someone could get hurt or the company could face legal issues. So, I expect everyone to follow the rules or they will face punishment, the severity of which will depend on their violations.'
Example:

What do you want to accomplish as a compliance manager in our company?

The aim of this question is to assess the candidate's knowledge of your company and their understanding of the role. What to look for in an answer: 

  • Good ideas for improving your company
  • Prior knowledge of your business
  • Experience as a compliance manager
'I know your company faced legal trouble last year due to non-compliance with equity laws. Your compliance manager was not diligent, so I want to change that. I want to help you improve your company's image and create a safe, welcoming and inclusive environment. I also want to ensure your company faces no more legal trouble, so I will go over every company policy myself to make sure each one is compliant.'
Example:

If a senior employee wanted you to violate a law or regulation, what would you do?

The aim of this question is to assess the candidate's ethics and ability to adhere to all laws and regulations. What to look for in an answer: 

  • Strong moral code
  • Ability to adhere to and enforce company regulations among every employee
  • Knowledge of when to ignore orders from their superiors
'If a senior employee wanted me to violate a law or regulation, I would refuse. I would explain why the law or regulation is in place and let them know our company could face legal action if we are audited. I would monitor the employee to see if they go ahead with breaking the rules, and report them if they do.'
Example:

What are some elements of an effective compliance programme?

The aim of this question is to assess the candidate's industry knowledge. What to look for in an answer: 

  • Ability to create a successful compliance programme
  • Experience as a compliance manager
  • In-depth industry knowledge
'The three main categories of an effective compliance programme are prevention, detection and corrective action. The programme should include policies and training to help prevent specific issues, such as harassment in the workplace. If the issue persists, there should be a reporting hotline or internal reporting available. Following the reports, investigations and disciplinary policies should be implemented.'
Example:

What credentials do you have that make you a good compliance manager?

The aim of this question is to assess the candidate's educational background and experience to determine if they have the necessary credentials for the position. What to look for in an answer: 

  • A bachelor's degree in business administration, human resources or a similar field
  • Additional certification if necessary 
  • Experience in a similar role
'I have a bachelor's degree from XYZ University in business administration and human resources management. I then got my master's degree in human resources management at MNO University. I have also been a compliance manager at an investment brokerage for three years.'
Example:

Has a company you've worked for ever been under official investigation? What happened?

The aim of this question is to assess the candidate's experience and ability to prevent legal issues from arising in the workplace. What to look for in an answer: 

  • Knowledge of federal, provincial or territorial laws
  • Ability to prevent legal investigations from being necessary
  • Experience as a compliance manager
'I have worked for two different companies and neither has ever been under official investigation. I do my job thoroughly to avoid legal action being taken against my employers.'
Example:

Has anyone challenged the policies or programmes you implemented in your previous role? What did you do?

The aim of this question is to assess the candidate's problem-solving skills and ability to implement new policies and programmes successfully. What to look for in an answer: 

  • Ability to address challenges to new policies and programmes
  • Strong written and verbal communication skills
  • Willing to stand by their decisions
'In my previous role, employees were not wearing the correct footwear for their job. I issued a policy that all employees needed CSA-approved steel-toe shoes. A lot of employees were upset as they had to pay for the shoes themselves. I talked to the company's CEO, and they agreed to give employees credit to a shoe shop to buy their footwear.'
Example:

What is a whistleblower? Do they assist or hinder you as a compliance manager?

The aim of this question is to test the candidate's industry knowledge and understanding of technical terms. What to look for in an answer: 

  • Understanding of the term whistleblower
  • The knowledge that whistleblowers help compliance managers create a safe work environment
  • Willingness to help any employee
'A whistleblower is an employee who shares their knowledge of misconduct in the company. Internal whistleblowers report the misconduct to a compliance manager or HR manager. External whistleblowers report the wrongdoing to the public, typically through the media. Whistleblowers help compliance managers identify wrongdoings in the workplace so they can take disciplinary action to protect the employee and the company's image.'
Example:
Three individuals are sitting at a table with a laptop, a disposable coffee cup, notebooks, and a phone visible. Two are facing each other, while the third’s back is to the camera. The setting appears to be a bright room with large windows.

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