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IBM Risk and Compliance Analyst Interview Questions, Process, and Tips

Updated 1 Mar 2024

Top IBM Risk and Compliance Analyst Interview Questions and Answers

View all 10 questions

IBM Risk and Compliance Analyst Interview Experiences

6 interviews found

Interview experience
4
Good
Difficulty level
-
Process Duration
-
Result
-
Round 1 - Resume Shortlist 
Pro Tip by AmbitionBox:
Don’t add your photo or details such as gender, age, and address in your resume. These details do not add any value.
View all tips
Round 2 - One-on-one 

(1 Question)

  • Q1. Indroduction and work experience
Round 3 - One-on-one 

(1 Question)

  • Q1. Related to work experience KYC and AML
Interview experience
3
Average
Difficulty level
Moderate
Process Duration
2-4 weeks
Result
Selected Selected

I applied via Recruitment Consulltant and was interviewed before Feb 2023. There were 3 interview rounds.

Round 1 - Aptitude Test 

Solved general Aptitudes.

Round 2 - HR 

(1 Question)

  • Q1. General questions about self
Round 3 - Technical 

(2 Questions)

  • Q1. What do mean by kyc
  • Ans. 

    KYC stands for Know Your Customer, a process used by financial institutions to verify the identity of their clients.

    • KYC is a regulatory requirement to prevent money laundering, terrorist financing, and other financial crimes.

    • It involves collecting personal information and verifying the identity of customers before providing services.

    • Examples of KYC documents include government-issued IDs, proof of address, and financia...

  • Answered by AI
  • Q2. What are types of entities
  • Ans. 

    Entities can be classified into different types based on their legal structure and purpose.

    • Sole Proprietorship: owned and operated by one individual

    • Partnership: owned and operated by two or more individuals

    • Corporation: a legal entity separate from its owners

    • Limited Liability Company (LLC): combines elements of partnerships and corporations

    • Nonprofit Organization: operates for charitable, educational, or other public pur

  • Answered by AI

Risk and Compliance Analyst Interview Questions Asked at Other Companies

asked in IBM
Q1. Stages of AML, types of alerts in transaction monitoring, sanctio ... read more
asked in IBM
Q2. What is the difference between CDD and EDD
asked in ICICI Bank
Q3. What is the difference between the Reserve Bank of India (RBI) an ... read more
asked in IBM
Q4. What is sanctions countries
asked in IBM
Q5. What is banking process
Interview experience
3
Average
Difficulty level
Moderate
Process Duration
2-4 weeks
Result
Selected Selected

I applied via Job Portal and was interviewed before Mar 2023. There were 3 interview rounds.

Round 1 - Aptitude Test 

Basic aptitude test questions.

Round 2 - HR 

(1 Question)

  • Q1. About yourself and strength and weakness
Round 3 - Technical 

(1 Question)

  • Q1. In regards to kyc

Interview Preparation Tips

Interview preparation tips for other job seekers - Be confident and convensive .

I applied via Approached by Company and was interviewed in Jan 2022. There were 3 interview rounds.

Round 1 - Aptitude Test 

Basics about AML and FATF, rephrasing paragraph, and English questions

Round 2 - Technical 

(1 Question)

  • Q1. Stages of AML, types of alerts in transaction monitoring, sanctions
  • Ans. 

    The stages of AML include customer identification, transaction monitoring, and reporting. Types of alerts in transaction monitoring include high-risk transactions, unusual activity, and potential money laundering. Sanctions refer to restrictions imposed on individuals or entities by governments or international organizations.

    • Stages of AML: customer identification, transaction monitoring, reporting

    • Types of alerts in tra...

  • Answered by AI
Round 3 - One-on-one 

(1 Question)

  • Q1. Regulatory bodies, SEC, OCC, sanction types, OFAC, SDN

Interview Preparation Tips

Topics to prepare for IBM Risk and Compliance Analyst interview:
  • Aml
  • Transaction monitoring
  • Sanctions
Interview preparation tips for other job seekers - If you are sure about the answer, don't blabber. Be open and say I'm not sure about the topic.

IBM interview questions for designations

 Risk Analyst

 (3)

 Compliance Analyst

 (1)

 Compliance Officer

 (1)

 Compliance Lead

 (1)

 Finance and Administration Business Analyst

 (2)

 Financial Accounting and Advisory Analyst

 (1)

 Analyst

 (15)

 Senior Financial Planning and Analysis Analyst

 (1)

Interview experience
5
Excellent
Difficulty level
Easy
Process Duration
4-6 weeks
Result
Selected Selected

I applied via Recruitment Consulltant and was interviewed before Dec 2022. There were 2 interview rounds.

Round 1 - Resume Shortlist 
Pro Tip by AmbitionBox:
Properly align and format text in your resume. A recruiter will have to spend more time reading poorly aligned text, leading to high chances of rejection.
View all tips
Round 2 - One-on-one 

(2 Questions)

  • Q1. Based on project and process
  • Q2. Process related questions

Interview Preparation Tips

Topics to prepare for IBM Risk and Compliance Analyst interview:
  • KYC
Interview preparation tips for other job seekers - We can crack interview easily

Get interview-ready with Top IBM Interview Questions

Interview experience
5
Excellent
Difficulty level
Moderate
Process Duration
6-8 weeks
Result
Selected Selected

I applied via Naukri.com and was interviewed before Mar 2022. There were 4 interview rounds.

Round 1 - Resume Shortlist 
Pro Tip by AmbitionBox:
Keep your resume crisp and to the point. A recruiter looks at your resume for an average of 6 seconds, make sure to leave the best impression.
View all tips
Round 2 - HR 

(9 Questions)

  • Q1. Tell me about yourself
  • Ans. 

    I am a Risk and Compliance Analyst with a strong background in analyzing and mitigating risks, ensuring regulatory compliance, and implementing effective risk management strategies.

    • I have a Bachelor's degree in Business Administration with a specialization in Risk Management.

    • I have worked for 3 years as a Risk Analyst at XYZ Company, where I conducted risk assessments, developed risk mitigation plans, and monitored com...

  • Answered by AI
  • Q2. Tell me about your educational background
  • Ans. 

    I have a strong educational background in risk management and compliance.

    • Bachelor's degree in Business Administration with a focus on Risk Management

    • Completed courses in Compliance and Ethics

    • Attended workshops on Risk Assessment and Mitigation

    • Continuously update knowledge through professional development programs

  • Answered by AI
  • Q3. Tell me about your family background
  • Ans. 

    My family background is diverse and has shaped my values and perspectives.

    • My parents come from different cultural backgrounds, which has exposed me to different traditions and languages.

    • I have two siblings, an older sister and a younger brother, who have influenced my growth and taught me the importance of teamwork.

    • My father has been working in the finance industry for over 20 years, which sparked my interest in risk a...

  • Answered by AI
  • Q4. What is banking process
  • Ans. 

    Banking process refers to the set of activities and procedures involved in managing financial transactions within a bank.

    • Banking process involves opening and closing accounts, processing deposits and withdrawals, issuing loans and credit cards, and managing investments.

    • It also includes compliance with regulatory requirements, risk management, and fraud prevention.

    • Examples of banking processes include account opening pr...

  • Answered by AI
  • Q5. Do you any experience in KYC AML PROCESS
  • Ans. 

    Yes, I have experience in KYC AML process.

    • I have worked as a Risk and Compliance Analyst for 3 years, where I extensively dealt with KYC AML processes.

    • I have conducted thorough customer due diligence to ensure compliance with AML regulations.

    • I have reviewed and analyzed customer documentation, identifying potential risks and suspicious activities.

    • I have implemented and enhanced KYC AML procedures to mitigate risks and ...

  • Answered by AI
  • Q6. Where did you see your position after 5 years
  • Ans. 

    As a Risk and Compliance Analyst, I see myself in a leadership role, overseeing a team and driving strategic initiatives.

    • Leading a team of analysts and specialists

    • Developing and implementing risk management strategies

    • Collaborating with cross-functional teams to ensure compliance

    • Driving continuous improvement in risk assessment processes

    • Contributing to the development of company-wide risk and compliance policies

    • Staying ...

  • Answered by AI
  • Q7. What is your strengths and weaknesses
  • Ans. 

    My strength is attention to detail and my weakness is public speaking.

    • Strength: Attention to detail - I have a keen eye for spotting errors and inconsistencies, which is crucial in risk and compliance analysis.

    • Weakness: Public speaking - I tend to get nervous when speaking in front of large groups, but I am actively working on improving my presentation skills.

  • Answered by AI
  • Q8. Are you ok rotational shifts
  • Ans. 

    Yes, I am okay with rotational shifts.

    • I am flexible and adaptable to different work schedules.

    • I understand the importance of round-the-clock risk and compliance monitoring.

    • I have previous experience working in rotational shifts.

    • I am willing to adjust my personal schedule to accommodate rotational shifts.

  • Answered by AI
  • Q9. What is salary expectations
  • Ans. 

    The salary expectations for a Risk and Compliance Analyst vary depending on factors such as experience, location, and industry.

    • Consider the average salary range for Risk and Compliance Analysts in your area.

    • Research the salary ranges offered by similar companies in the industry.

    • Take into account your level of experience and any additional certifications or qualifications.

    • Be prepared to negotiate and discuss salary expe

  • Answered by AI
Round 3 - Technical 

(6 Questions)

  • Q1. What is KYC AML process
  • Ans. 

    KYC AML process is a set of procedures and policies designed to prevent money laundering and terrorist financing.

    • KYC (Know Your Customer) involves verifying the identity of customers and assessing their potential risks

    • AML (Anti-Money Laundering) involves monitoring transactions and reporting suspicious activities

    • The process includes customer due diligence, risk assessment, ongoing monitoring, and reporting

    • Financial ins...

  • Answered by AI
  • Q2. What is transaction monitoring
  • Ans. 

    Transaction monitoring is the process of reviewing and analyzing financial transactions to detect suspicious activity.

    • It involves monitoring financial transactions in real-time or near real-time

    • It helps to identify potential money laundering, fraud, or other illegal activities

    • It involves setting up rules and thresholds to flag suspicious transactions

    • Examples include monitoring large cash deposits, frequent internationa...

  • Answered by AI
  • Q3. What is CDD and EDD
  • Ans. 

    CDD stands for Customer Due Diligence and EDD stands for Enhanced Due Diligence.

    • CDD is a process of verifying the identity of a customer and assessing the risks associated with them.

    • EDD is a more detailed and thorough process of due diligence that is conducted for high-risk customers.

    • CDD is mandatory for all customers, while EDD is only required for high-risk customers.

    • Examples of high-risk customers include politicall...

  • Answered by AI
  • Q4. What is the difference between CDD and EDD
  • Ans. 

    CDD is basic due diligence while EDD is enhanced due diligence.

    • CDD is a standard process of verifying the identity of a customer and assessing the risk associated with them.

    • EDD is a more thorough process that involves gathering additional information about the customer to mitigate higher risks.

    • CDD is typically used for low-risk customers while EDD is used for high-risk customers.

    • Examples of EDD include conducting backg...

  • Answered by AI
  • Q5. What is sanctions countries
  • Ans. 

    Sanctioned countries are those that have been subjected to economic or political restrictions by other countries or international organizations.

    • Sanctions are typically imposed as a means of exerting pressure on a country to change its behavior.

    • Sanctions can include trade restrictions, financial restrictions, travel bans, and arms embargoes.

    • Examples of currently sanctioned countries include Iran, North Korea, Syria, and

  • Answered by AI
  • Q6. What is sanction process
  • Ans. 

    Sanction process is a legal or administrative action taken against an individual or entity for violating laws or regulations.

    • Sanctions can include fines, restrictions, or even criminal charges.

    • The process typically involves an investigation, followed by a determination of guilt or innocence.

    • If found guilty, the individual or entity may have the opportunity to appeal the decision.

    • Examples of sanctions include the US gov...

  • Answered by AI
Round 4 - One-on-one 

(1 Question)

  • Q1. When you are able to join company
  • Ans. 

    I am available to join the company immediately.

    • I can start as soon as possible.

    • I am ready to begin work immediately.

    • I have no prior commitments that would delay my start date.

    • I am excited to join the team and contribute right away.

  • Answered by AI

Interview Preparation Tips

Interview preparation tips for other job seekers - Be confident
Be positive
Be prepared
If you don't no the answer of question just normally say sorry sir/maam i don't have a answer for this question.

Skills evaluated in this interview

Risk and Compliance Analyst Jobs at IBM

View all

Interview questions from similar companies

I applied via Job Portal and was interviewed before Dec 2020. There were 4 interview rounds.

Interview Questionnaire 

2 Questions

  • Q1. What are the accruals &Defferals
  • Ans. 

    Accruals are revenues earned but not yet received, while deferrals are payments received but not yet earned.

    • Accruals are recorded as accounts receivable on the balance sheet.

    • Deferrals are recorded as accounts payable on the balance sheet.

    • Examples of accruals include interest income and sales revenue.

    • Examples of deferrals include prepaid rent and unearned revenue.

    • Accruals and deferrals are important for accurate financi...

  • Answered by AI
  • Q2. About your self

Interview Preparation Tips

Interview preparation tips for other job seekers - Be prepared with subject matters and be confident without nervous

I applied via Recruitment Consultant and was interviewed in Mar 2021. There were 3 interview rounds.

Interview Questionnaire 

1 Question

  • Q1. What is accural, journal entries for accurals, debtors receivable
  • Ans. 

    Accruals are expenses incurred but not yet paid. Journal entries are made to record them. Debtors receivable are amounts owed to the company.

    • Accruals are expenses that have been incurred but not yet paid.

    • Journal entries are made to record accruals.

    • Debtors receivable are amounts owed to the company by customers.

    • Accruals and debtors receivable are both recorded on the balance sheet.

    • Examples of accruals include salaries, ...

  • Answered by AI

Interview Preparation Tips

Interview preparation tips for other job seekers - It's just that you should be confident and bold enough to answer your questions.

Interview Questionnaire 

1 Question

  • Q1. Which ratio is used to evaluate the share?
  • Ans. 

    Price-to-earnings (P/E) ratio is used to evaluate the share.

    • P/E ratio compares the current market price of a share to its earnings per share (EPS).

    • It helps investors determine if a stock is overvalued or undervalued.

    • A high P/E ratio may indicate that the stock is overvalued, while a low P/E ratio may indicate that the stock is undervalued.

    • For example, if a company has a P/E ratio of 20, it means that investors are will...

  • Answered by AI

Interview Preparation Tips

Interview preparation tips for other job seekers - Confident

I applied via Naukri.com and was interviewed before Mar 2021. There was 1 interview round.

Round 1 - One-on-one 

(1 Question)

  • Q1. Family background nd Privious work related

Interview Preparation Tips

Interview preparation tips for other job seekers - Be confident during the interview

IBM Interview FAQs

How many rounds are there in IBM Risk and Compliance Analyst interview?
IBM interview process usually has 3 rounds. The most common rounds in the IBM interview process are One-on-one Round, Technical and Aptitude Test.
How to prepare for IBM Risk and Compliance Analyst interview?
Go through your CV in detail and study all the technologies mentioned in your CV. Prepare at least two technologies or languages in depth if you are appearing for a technical interview at IBM. The most common topics and skills that interviewers at IBM expect are KYC, Financial Services, Anti Money Laundering, Data Analysis and Due Diligence.
What are the top questions asked in IBM Risk and Compliance Analyst interview?

Some of the top questions asked at the IBM Risk and Compliance Analyst interview -

  1. Stages of AML, types of alerts in transaction monitoring, sancti...read more
  2. What is the difference between CDD and ...read more
  3. What is sanctions countr...read more

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IBM Risk and Compliance Analyst Interview Process

based on 5 interviews

3 Interview rounds

  • Aptitude Test Round
  • HR Round
  • Technical Round
View more

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IBM Risk and Compliance Analyst Salary
based on 510 salaries
₹2 L/yr - ₹6.6 L/yr
23% less than the average Risk and Compliance Analyst Salary in India
View more details

IBM Risk and Compliance Analyst Reviews and Ratings

based on 49 reviews

3.8/5

Rating in categories

3.6

Skill development

3.4

Work-life balance

3.2

Salary

3.7

Job security

3.5

Company culture

3.0

Promotions

3.3

Work satisfaction

Explore 49 Reviews and Ratings
Process Analyst Risk and Compliance - Transaction Monitoring

Bangalore / Bengaluru

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Process Analyst Risk and Compliance - KYC

Bangalore / Bengaluru

1-3 Yrs

₹ 2.6-6.6237 LPA

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1-3 Yrs

₹ 3-6.6237 LPA

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