Compliance Coordinator Interview Questions

8,412 compliance coordinator interview questions shared by candidates

1. About my current profile? 2. Basic theory and bookish question (as he himself was not knowing regarding SOX audit practical approach) 3. Difference and Similarity between COSO and SOX (Never experienced anywhere this kind of question) - My answer was COSO provides framework to SOX compliance. But he was asking me difference. I wonder how can anyone ask this? God knows which answer he was looking for!!!! 4. How do you identify risk? What is designing?
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SOX Compliance Senior Associate

Interviewed at State Street

3.4
Nov 25, 2017

1. About my current profile? 2. Basic theory and bookish question (as he himself was not knowing regarding SOX audit practical approach) 3. Difference and Similarity between COSO and SOX (Never experienced anywhere this kind of question) - My answer was COSO provides framework to SOX compliance. But he was asking me difference. I wonder how can anyone ask this? God knows which answer he was looking for!!!! 4. How do you identify risk? What is designing?

The position appeared to be fairly routine compliance. However, what concerned me was the hiring manager is in another state, and wanted someone who would be going to Windsor on a regular basis to find files (in storage) and mail them to the manager. It seemed to be the litmus test for the job.
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Compliance Analyst

Interviewed at Voya Financial

3.6
Apr 2, 2024

The position appeared to be fairly routine compliance. However, what concerned me was the hiring manager is in another state, and wanted someone who would be going to Windsor on a regular basis to find files (in storage) and mail them to the manager. It seemed to be the litmus test for the job.

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