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⟩ What are the compliance and ethics issues you frequently face in your current job?

Your candidate has already dealt with some kind of C&E issues on the job - unless he or she hasn't been paying attention. Always ask this question because it highlights issues the candidate might have been unaware of or had not fully appreciated. A compliance officer is supposed to constantly assess risk, so find out what issues they had to deal with as a way to determine their risk management style.

Furthermore, this question can help assess how well the candidate applies corporate policies in the context of their role, and it can highlight the effectiveness (or lack thereof) of whatever training they have had.

Thirdly, this question can give you an idea of how sophisticated the compliance program is in their current organization and can indicate how directly they are involved in implementing it.

Note: Interviewees frequently struggle with this question. Prod them with an obvious example of a challenge they may have faced.

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