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In: Operations Management

Prepare 10-12 questions that you plan to use to interview the corporate compliance officer or compliance...

Prepare 10-12 questions that you plan to use to interview the corporate compliance officer or compliance director

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Expert Solution

There could be many questions that one can plan to use to interview a Corporate Compliance Officer or Director. Few of those are as under:

· What has been your experience so far in the Organization in the office that you hold?

· How well are you qualified to handle the compliance program? What additional training have you undergone during the course of your employment in the Organization?

· How many members are there in your core compliance team?

· In case of any violations done by an employee to that of your organization’s code of conduct, what actions do you ask your team to undertake against the employee?

· Is there any whistle-blower policy in place?

· How robust is the whistle-blower policy in your Organization and what incentives do you give to the whistle-blowers, if any?

· What are the highlights of an effective compliance program in the Organization?

· Has there been any case that has ever come to light wherein a senior executive has been involved in violations of code of conduct?

· Any ethical dilemma that you have ever experience in your role?

· Is your Organization planning to introduce further reforms in Compliance?


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