Compliance Manager

This is an ethics question, and the employer wants to know you respect the ethics codes of the company and can be appropriately tough when needed. Answer this question by letting the employer know you are prepared to fire an employee who violates the company’s code of conduct depending on the severity of the violation, and if appropriate, you are prepared to pursue criminal prosecution.

This is your opportunity to sell yourself. Be clear about how your skills, education and experience match the requirements of the job. It is often best to back up specific skills with real-life examples. Remember to prepare a few insightful and thoughtful questions to ask the interviewer. Questions can be about the job, the company or the team you will be working with in the future.

Yes, I had a supervisor ask me to change the status on a client on an governmental application for a loan to married filing separately from married filing joint, his reason was by changing the filing status changed the clients adjusted gross income. I felt this was situation where the supervisor wanted me to compromise my integrity and I detailed how the clients adjusted income could only change if client received a raise or a cut in pay that just changing the filing status did not change their adjusted gross income.

What would you do if you sniff out inappropriate behavior on the bank’s trading floor, but the very powerful head of trading assures you everything is kosher? “I want to know you have guts of steel to stand up to someone like that, as well as the intelligence and skills to know that there is a very high degree of probability that your suspicions are correct,” Lewis says.

This is a general question and could be asked of any applicant irrespective of the industry. Be prepared to answer it well. As a first step, take the time to research the company at which you are interviewing. Do not miss this opportunity to make a good impression by showing how knowledgeable you are about the company’s operations.

Under the United States Sentencing Commission Compliance Recommendations, (§8B2.1(5) (C) of the United States Sentencing Commission Guidelines), an effective compliance program means an organization has taken appropriate steps to ensure laws, rules and regulations are complied with and ethical conduct among employees is promoted. This question tests your knowledge of the requirements of the law governing effective compliance programs.

Depending on what comes first and the most important to finish in the first place.