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#490338 - 01/30/06 03:46 PM Compliance Aptitude - What questions to ask
Time Out Offline
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Joined: Jan 2005
Posts: 11
I'm interviewing for a Compliance Specialist position. One of the candidates does not have any compliance experience, but her resume indicates some good skills - database, Excel, etc. Does anyone have any suggestions for good questions to ask that would reveal whether this person has an "aptitude" for compliance?

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Human Resources
#490339 - 01/30/06 05:26 PM Re: Compliance Aptitude - What questions to ask
Kathleen O. Blanchard Offline

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Kathleen O. Blanchard
Joined: Dec 2000
Posts: 21,292
Perhaps questions indicating any research and problem solving background. I also find that an interest in puzzles shows an aptitude (seriously!). Overall curiosity is good, a compulsion to dig deeper. Those who stop when they get the first pat answer to a question won't do well.

But I don't have any specific questions to suggest.
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#490340 - 01/30/06 05:33 PM Re: Compliance Aptitude - What questions to ask
The Incredible ComplyGuy Offline
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The Incredible ComplyGuy
Joined: Sep 2005
Posts: 7,350
The he11 of suburbia
If they're going to have any interaction with line or ops people at the bank, you may want to find out more about their people skills.

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#490341 - 01/31/06 03:08 PM Re: Compliance Aptitude - What questions to ask
Suwannee Offline
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Suwannee
Joined: Jun 2002
Posts: 641
Florida
A good compliance person also needs very good communication skills, both written and verbal. Without these, they are of no use to an organization. Ask them if they could produce some documents that they created in their current job.

Also, how good are they at interpreting a new or revised regulation? Can they show how they differ from the original requirements?
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