Regulatory Compliance Specialist Interview Questions


Regulatory Compliance Specialist interview questions shared by candidates

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IT Regulatory Compliance Coordinator was asked...19 November 2023

Ability to work from home, as the role was a remote role

1 Answers

I said I was very familiar with WFH, particularly after Covid lockdown. I was set up to WFH, and was used to not needing to talk to colleagues all the time in person. Less


Tell me about yourself, Strengths, Weaknesses

Ares Management

What interested you in this role? Are you comfortable with the hybrid schedule/location? How does your background relate to this role?


What’s your salary range? What is your prior experience?

Compliance plan and how my job relates to the compliance jobscope.


1) Why you leave your current job? 2) Why Tide? 3) What is Compliance for you and why not KYC or FinCrime? 4) Did you applied for other jobs? If yes were they for the same position? 5) Did you work with UK regulations? 6) PSD2? 7) What you know about tide? What is the business of Tide? Where Tide operates and what is the working model of Tide? 8) why is compliance important? 9) if you have multiple projects what will you do? How do you work? 10) What work environment do you want? 11) Have you communicated with authorities? 12) Tell me recent AML regulation changes.


Nothing specific. It was him mainly apologizing for being late and being preoccupied with his pending travel.


They asked technical questions in relation to my role.


Step 0: some kind of IQ test, I enjoyed it. First interview: introductory talking with "A", who was nice, soothing and supportive. Second: interview about the specific role with a problem solving task Third: problem solving task nr 2 And if I passed the third one, I would have 2 more interviews.

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