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Compliance officer Interview Questions in Ireland

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Barclays
Compliance was asked...25 June 2012

You need approval for content from the head of a group but they haven't responded and they are leaving on holiday this afternoon and do not have time to approve/review the content, what would you do?

4 Answers

I would ask the group head for someone s/he appoints to approve/review the content in their absence. Less

Go meet them in person or set up a meeting

I would ask the head "Just in case I need some very important contents that need to be looked at and approved. In the case you are not available is there some with your approval I can reach out to" Less

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IRS

A taxpayer provides you with telephone records that show 60% personal use and 40% business use. His monthly bill is $75. How much of a deduction for business use would you allow on his taxes for the entire year?

3 Answers

$30

$30 ($75 x .40 = $30)

$30 would be the amount for one month. For the entire year, it would be $360?

GE

my current assignments and the work i am handling

3 Answers

i explained about my all the assignments.

AQl Inspection and compliance auditing in superdry india ware house

My education qualification diploma in textile technology and MBA Marketing.in past 18yrs in garment quality field. My carrier started In fabric department.i have more interested in quality department so I have to change it.lot of buyer handling in Europe and USA . Less

First Midwest Bank

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

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

DJO

What is your weak point?

1 Answers

Honestly

Bank of China

first take a EQ test then essay then translate the statement from english to chinese and chinese to english. easy and smooth

2 Answers

follow my heart

what type of statement?

IRS

How do you handle a taxpayer tht will not stop crying?

2 Answers

From the online assessments, it said that it was important to minimize the number of appointments with the tax payer to make sure you can get through your case load and also to make sure it is still convenient. So rescheduling would likely not be a good answer. I think empathizing with the tax payer (without over sympathizing), maybe giving them a few minutes to collect themselves, and letting them know that there are payment options would be a good solution. Less

Reschedule the appointment.

PIMCO

General experiences and what I did to prepare for this type of role.

2 Answers

Shared my background and previous roles.

managing asset risk professionally

J.P. Morgan

If you notice a mistake on a presentation 5 minutes before your boss is about to present, what would you do?

2 Answers

I would communicate the mistake to the presenter and then provide assistance on how to handle the issue. Less

Bring it to his/her attention. If it is entirely just not possible to fix it at least they won't be caught off guard when they're giving the presentation in front of an audience. Hopefully the mistake is such that they can quickly and easily explain it and move on. Less

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