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Compliance analyst Interview Questions

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Barclays
Compliance was asked...June 25, 2012

You need approval for content from the head of a group but they haven't responded and they are leaving on holiday this afternoon and do not have time to approve/review the content, what would you do?

4 Answers

I would ask the group head for someone s/he appoints to approve/review the content in their absence. Less

Go meet them in person or set up a meeting

I would ask the head "Just in case I need some very important contents that need to be looked at and approved. In the case you are not available is there some with your approval I can reach out to" Less

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Goldman Sachs

What does Goldman do?

4 Answers

Win win win no matter what

eading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Less

Advising Investments Financing Securities Servers

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Goldman Sachs

How would you advise a hedgefund manager with a large portfolio who is about to announce at a conference that a Greek exit from the euro is inevitable?

4 Answers

Th

How would you advise a hedge fund manager with a large portfolio of WHO is about to announce at a conference That a Greek exit from the euro is Inevitable? sorry sir, this time we should be able to take the euro, or else we will have a big loss in the company. to avoid the losses we have to equate with the euro, because this is the only way to save the company. thank you sir .. Less

Given that this is a compliance interview question, not a financial analyst interview question, I would address the significant issues, laws, and regulations surrounding market manipulation. Additionally, I'd probably ask the hedge fund manager his strategy, his purpose in making the announcement, and how his portfolio would be affected if his statement were to come true. I'd address the idea of "inevitability," and probably have him back away from bold or harsh words that almost sound like he's guaranteeing the direction of the market. I'd wonder who would be in attendance at this conference and what regulations are involved with a portfolio manager making a public appearance. I'd address any disclosures that would need to be made in conjunction with the public appearance. Less

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Schroders

What does the risk team do? Name 2 strengths and 2 weaknesses you have. Name some interests and how you pursue them.

4 Answers

hey have you had a reply after the personality questionnaire yet?

no, they said i had passed the video interview stage but nothing after the personality questionnaire. I think they might be just arranging assessment centres because on the interview stage they said the next stage is assessment centre? Less

Yeah, good point. Don't suppose you've heard anything yet have you? No one I know seems to have done Less

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Square
Compliance was asked...October 22, 2020

Why Square, Behavioral Questions, Information about your background and experience.

4 Answers

Same thing happened to me - did you ever hear back?

Thanks - appreciate you responding! Ha ha :)

Same thing happened to me, as well. I followed up several times but no reply. I wanted to send them a strongly worded email, telling them how much of my time they wasted but it would do no good, so I didn't. Less

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IRS

A taxpayer provides you with telephone records that show 60% personal use and 40% business use. His monthly bill is $75. How much of a deduction for business use would you allow on his taxes for the entire year?

3 Answers

$30

$30 ($75 x .40 = $30)

$30 would be the amount for one month. For the entire year, it would be $360?

Goldman Sachs

Why don't you let all your newspaper staff write online articles?!

3 Answers

actualy the best answer is that when articals are published on the internet, people tend to have access without paying for the information therefore the abillity to stay in business becomes very difficult Less

I answered: "Unfortunately our website doesn't work to well so we are confined to the print version of the paper right now." Less

I don't have a news paper staff but if I did I would have to say that the information is best given in person in order to answer any questions Less

MetLife

What experience do I have with AML?

3 Answers

Discussed various projects at current role.

No experience required! 200 Park Urban Campus recently promoted an entire department at the same time, regardless of tenure, knowledge or professionalism. Less

I do not have experience with AML. However, I am a fast learner who is willing and eager to learn about AML to enhance my work performance at the job Less

Kellermeyer Bergensons Services

I was asked my the manager the position would report to if I was single or married, had children, lived at home with parents, and where I lived.

3 Answers

Truthfully, just wasn't sure how it would have made a difference. I don't think there were bad intentions during the informal questions, thought it was inappropriate. Less

I interviewed with the HR team 11/2019. I was asked the same questions. It seems to be their standard questions. Being a formal recruiter to an aerospace company (industry doesn’t really matter) but the questions are inappropriate and irrelevant. Sadly, if it is used to determine that is wrong practice. Looks like there needs to be compliance training for the HR/Recruiting team especially this person, I believe Magdalia or something. Less

Thank you for your input. KBS takes pride in following all HR interviewing and hiring laws and guidelines. We promote a work environment that encourages diversity and fosters a variety of backgrounds, experiences, insights, and contributions. We deeply value our employees and are committed to creating a best-in-class workplace with competitive salaries and benefits. Less

First Midwest Bank

How do you stay informed on regulatory changes?

3 Answers

I subscribe to email alerts from the regulatory banking agencies (FDIC, OCC, CFPB, FRB) and from two legal firms (Scudder LawGroup and Buckey Sandler). Less

Search the respective notificatios from the Authorities regularly

It means the changes made or proposed to be made by the regulatory authorities including the Government and the Company Less

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