Position Name: Compliance Risk Analyst
Interviewer
Candidate Name
Interview Date
Introductory Questions
– Interviewer(s) share name, role, tenure, and hand business cards for thank you messages – Share a brief overview of the company
– Give Candidate the Job Description, highlight Job Purpose, Schedule/Travel, Major Challenges & Key Decisions, and Physical Requirements
Tell us about yourself.
Walk us through your professional background.
What type of environment do you thrive in? What type of management style do you enjoy most?
What are your short and long-term professional goals?
What do you know about our organization?
Transitional & Verification Questions
– Clarify any unclear information from resume or application
– Verify availability for work hours and schedule, start date, and other important details
What interests you about this role?
Technical Questions
– Ask job related questions, based on skills and competencies needed for the role
– Ask open ended questions that allow candidates to tell a story about a specific example
– Ask 5-10 questions based on the role and how much time you have (~3-4 minutes per question)
– Listen for recent examples, details, consistency, the candidate’s role in the story, and teamwork
– Take notes and ask clarifying questions as follow-ups
What has given you the greatest sense of achievement at work and why?
Behavioral / Situational Questions
– Ask job related questions, based on skills and competencies needed for the role
– Ask open ended questions that allow candidates to tell a story about a specific example
– Ask 5-10 questions based on the role and how much time you have (~3-4 minutes per question)
– Listen for recent examples, details, consistency, the candidate’s role in the story, and teamwork
– Take notes and ask clarifying questions as follow-ups. Follow up questions may include:
- Tell us more about the action you took and the outcome.
- What did you say at that point?
- How did you react to that situation?
- Explain your role in more detail.
- Tell me in detail what steps you took.
- And what was the result?
- Describe the obstacles you faced in getting it done.
- What other options did you consider?
- Why do you think you reacted as you did?
- How do you think others felt about your actions at the time?
- Were you satisfied with the outcome of your actions?
- If the same or a similar situation presented itself, what would you do differently?
Change Management
Tell me about a recent time when you needed to introduce a new idea or procedure to people on the job? What was the situation and how did you handle it?
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Describe for me the most difficult change in the workplace that you needed to deal with. How did you overcome resistance?
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Tell me about a time when you were opposed to a change that affected your work practices. How did you get through it?
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Communication
Describe an example of when you have been called upon to present in front of a group. How did you prepare? Was the presentation a success? How could you tell?
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Tell me about a recent time when an e-mail or verbal conversation was misinterpreted by your team or employees. What was the situation and the outcome?
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To get our points across, we sometimes need to use differing approaches when talking with different types of people. Talk to me about a time when you have done that successfully.
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Analytical/Detail Orientation
Give me an example of a workflow or procedure improvement you made. Who else was involved and how did you implement it?
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Adaptability
What is one of the most challenging changes you have faced at work? How did it impact you? What was the outcome?
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Tell me about a time when you faced a significant challenge working with people from a different department? What actions did you take?
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Collaboration
Tell me about a time when you worked with people outside your work group to get information or ideas. What did you do? What was the outcome or result?
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Critical Thinking
Describe for me a recent time when you needed to make a job-related decision but did not have all of the information you needed. How did you go about completing the task?
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Decision Making
Describe a decision you had to make when you were really torn between the alternatives. How did you finally decide? What was the outcome?
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Walk me through the last big decision you made. What were the circumstances? What were the alternatives? What was the consequence of your decision?
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Initiative
Describe a time when you felt that your contributions and initiatives were not known or appreciated.
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What types of work projects get you really excited? We all “geek out” about different things. What do you geek out about?
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Integrity
Discuss a time when your integrity was challenged. How did you handle it?
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We generally recognize that policies and procedures are necessary for workplace efficiency. Tell me about a time when you had to work under a policy or procedure you did not agree with. What did you do?
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When is it okay not to share the whole story or not to disclose all the facts?
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Judgement
Tell us about a mistake that you made, how you took ownership, and what steps you took to make it right.
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Share a success story about balancing personal and professional demands to maintain a healthy balance.
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Planning & Organization
What tools do you use to plan your day? How do these help you determine priorities? How do you keep others informed?
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How do you assure that you do not get so caught up in “task” that you lose the big picture?
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Problem Solving
Have you ever had to fix a problem twice? Describe the situation.
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Process Management
What process have you developed and/or initiated in your recent position?
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Give an example of when you recommended a change in process and someone disagreed. How did you handle the resistance?
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Relationship Building
Tell us about a customer relationship that was challenging to establish and maintain. How did you resolve the situation?
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Self Awareness & Development
What are your strengths? Opportunities for improvement?
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What has been the most difficult criticism/feedback for you to receive?
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How have you most changed in your career?
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Give me an example of a goal you set for yourself and how you achieved it. Give me an example of a time when you faced obstacles that kept you from meeting a goal.
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Teamwork/Team Building
When it comes to group dynamics, what do you believe hinders teamwork the most?
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Describe your most recent conflict within a team setting because of a miscommunication and how you were able to solve it.
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Do you prefer to work by yourself or with a team? Which is more interesting to you and why?
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Time Management
Talk about a time you were overloaded.
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How do you structure your day? Your week?
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Systems Thinking
How do you keep your knowledge of the industry and profession current?
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Candidate’s Questions
– Be sure to leave time for their questions, generally 1-3
– Paint a positive but honest view of the pros and cons of the work and culture
Notes
Closing Questions
– Describe where you are in the process, next steps, and when they can expect to hear back
– Ask if they have any final remarks
What is one thing I should know about you that I haven’t asked?
What do you hope to find in our organization that you don’t have now?
Interviewer Assessment
Enter your overall assessment about the candidate’s knowledge, skills, abilities, and fit for this position.
Would you recommend this candidate advance in the process?