Senior compliance officer Interview Questions


Senior Compliance Officer interview questions shared by candidates

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Neuberger Berman
Senior Compliance Officer was asked...14 March 2016

Everyone else in this dept has a law degree, why don't you?? (whining)

1 Answers

I hope I didn't waste my time going through three rounds of interviews for you to finally complain to me that I'm not a J.D. Less



1 Answers



General introduction Situational question related to ability to handle situations at work Specific questions; knowledge to work

1 Answers

First interview was pleasant and reasonable Second interview it was unreasonably inquisitive Less

Bank Hapoalim

What do you like about Compliance?

1 Answers

Compliance is a very challenging, dynamic and always evolving area.


Weshalb möchten Sie zu HSBC?

1 Answers

Weil ich, nach langjähriger Tätigkeit bei einer Schweizer Banken-Gruppe, im internationalen Private-Banking Fuss fassen möchte. Less

NSW Government

Relating to selection criteria, 1. Your ideal manager 2. Why did you apply 3. An example of situation you referred to relevant standards 4. Job risk and the way you dealt with 5.Situation you did technical advice to manager

1 Answers

I provided example from my previous jobs

JPMorgan Chase & Co

What's the last book you read? Do you know how to create pivot tables?

1 Answers

The Road Less Travelled Yes

Neuberger Berman

Why were you only at [former employer] for a year? What did you do!?

1 Answers

I was hired away by a new employer - because that's what happens when you are very smart, and very nice - a lot of people want to work with you. Try being very smart, and very nice sometime, and see what happens! Less

Neuberger Berman

You don't know [person's name] at [former employer]?? I can't believe you don't know [person's name]!

1 Answers

That firm has over 10,000 employees located in multiple locations and departments. No one knows everyone. Less

Abu Dhabi Islamic Bank

Compliance frame work

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