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UBS Compliance Officer Interview Questions and Answers

Updated 29 Sep 2022

UBS Compliance Officer Interview Experiences

1 interview found

Compliance Officer Interview Questions & Answers

user image Anonymous

posted on 26 Sep 2021

I applied via Approached by Company and was interviewed before Sep 2020. There were 4 interview rounds.

Interview Questionnaire 

3 Questions

  • Q1. Salary , DOJ & benefits.
    • Add your answer
  • Q2. What is compliance? What is regulatory reporting? How good are you with regards to Advance Excel & Python & Macros
  • Ans. 

    Compliance is the act of adhering to laws, regulations, and standards set by governing bodies.

    • Compliance ensures that organizations operate within legal and ethical boundaries.

    • It involves identifying and mitigating risks, implementing policies and procedures, and monitoring activities.

    • Regulatory reporting is the process of submitting information to regulatory authorities to demonstrate compliance.

    • Advanced Excel, Python...

    • Answered by AI
    Add your answer
  • Q3. Behavioural & situation based question.
    • Add your answer

Interview Preparation Tips

Interview preparation tips for other job seekers - Be confident. All that matters is how good you are in learning and what difference you make in interview.

Skills evaluated in this interview

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Disappointing Interview Experience with D.E. Shaw
I recently interviewed with D.E. Shaw, and it turned out to be one of the most draining experiences I’ve had. The interviewer’s approach felt unnecessarily harsh and dismissive, which made the entire process uncomfortable. At multiple points, the interviewer asked me to drop off the call, even when I tried asking basic questions about the designation, job description, and other details. After the interview, I found myself sitting there for a few minutes, trying to process what just happened. It left me questioning the overall tone and professionalism of the interview. Definitely not the experience I was expecting from such a well-known firm.
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Interview questions from similar companies

Risk and Compliance Analyst Interview Questions & Answers

HSBC Group user image Anonymous

posted on 22 Oct 2024

Interview experience
3
Average
Difficulty level
Moderate
Process Duration
Less than 2 weeks
Result
Not Selected

I was interviewed in Sep 2024.

Round 1 - Aptitude Test 

Personally Based Test

Round 2 - Technical 

(5 Questions)

  • Q1. About financila crime indicators
    • Add your answer
  • Q2. Detail discussion about money laundering
    • Add your answer
  • Q3. About anti money laundering
    • Add your answer
  • Q4. Views on Uk Russia War
  • Ans. 

    As a Risk and Compliance Analyst, it is important to monitor the situation closely and assess potential impacts on financial markets and regulatory compliance.

    • Monitor geopolitical developments and assess potential risks to financial markets

    • Stay informed on sanctions and regulatory measures imposed on Russia

    • Analyze potential impacts on international trade and supply chains

    • Consider implications for compliance with anti-m...

    • Answered by AI
    Add your answer
  • Q5. A challenging situation
    • Add your answer

Compliance Associate Interview Questions & Answers

BNY user image Anonymous

posted on 24 Sep 2024

Interview experience
5
Excellent
Difficulty level
Moderate
Process Duration
2-4 weeks
Result
Selected Selected

I applied via Approached by Company and was interviewed in Aug 2024. There were 3 interview rounds.

Round 1 - HR 

(1 Question)

  • Q1. Tell me about yourself?
  • Ans. 

    I am a detail-oriented professional with a strong background in compliance and regulatory requirements.

    • I have a Bachelor's degree in Business Administration with a focus on compliance.

    • I have experience working in a regulatory compliance role at a financial institution.

    • I am skilled in conducting audits, risk assessments, and developing compliance policies and procedures.

    • I have a strong understanding of relevant laws and...

    • Answered by AI
    Add your answer
Round 2 - One-on-one 

(1 Question)

  • Q1. Current work profile and experience?
  • Ans. 

    I have 3 years of experience in compliance roles, focusing on regulatory requirements and risk assessments.

    • Experience in conducting compliance audits and investigations

    • Knowledge of regulatory frameworks such as GDPR and SOX

    • Strong understanding of risk management principles

    • Experience in developing and implementing compliance policies and procedures

    • Answered by AI
    Add your answer
Round 3 - Case Study 

Detailed work done till date on risk profile?

Compliance Manager Interview Questions & Answers

HSBC Group user image Anonymous

posted on 12 Feb 2023

Interview experience
3
Average
Difficulty level
Hard
Process Duration
2-4 weeks
Result
No response

I applied via Referral and was interviewed in Jan 2023. There was 1 interview round.

Round 1 - One-on-one 

(2 Questions)

  • Q1. Market manipulation, market abuse, bond market and swaps.
    • Add your answer
  • Q2. Derivative market and options greeks
    • Add your answer

Interview Preparation Tips

Interview preparation tips for other job seekers - proper prepare before interview, they are the industry experts those are taking the interview, if you are confident then also prepare.

Compliance Analyst Interview Questions & Answers

JPMorgan Chase & Co. user image Anonymous

posted on 26 Jun 2023

Interview experience
5
Excellent
Difficulty level
-
Process Duration
-
Result
-
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 - Technical 

(1 Question)

  • Q1. What does you understand about Regulatory reporting.
  • Ans. 

    Regulatory reporting involves submitting data to regulatory authorities to ensure compliance with laws and regulations.

    • Regulatory reporting is the process of providing information to government agencies or regulatory bodies to demonstrate compliance with laws and regulations.

    • It typically involves submitting detailed reports on financial transactions, risk management practices, and other relevant activities.

    • Failure to c...

    • Answered by AI
    Add your answer

Interview Preparation Tips

Interview preparation tips for other job seekers - Over all it was good experience with JPMC.
They specifically focus on our way of answering the question asked and our body language plays a key role .

Just maintain smile and eye to eye contact while giving interview.

Compliance Associate Interview Questions & Answers

State Street Corporation user image Anonymous

posted on 18 Feb 2024

Interview experience
4
Good
Difficulty level
Easy
Process Duration
Less than 2 weeks
Result
Selected Selected

I applied via LinkedIn and was interviewed before Feb 2023. There was 1 interview round.

Round 1 - One-on-one 

(1 Question)

  • Q1. About yourself, situational bases questions
    • Add your answer

Compliance Analyst Interview Questions & Answers

JPMorgan Chase & Co. user image Anonymous

posted on 20 Feb 2024

Interview experience
5
Excellent
Difficulty level
Easy
Process Duration
Less than 2 weeks
Result
Selected Selected

I was interviewed before Feb 2023.

Round 1 - One-on-one 

(1 Question)

  • Q1. Questions about previous work
    • Add your answer

Interview Preparation Tips

Interview preparation tips for other job seekers - Just one round , simple straight forward questions related to previous work. Confidence is the key.

Compliance Analyst Interview Questions & Answers

Morgan Stanley user image Anonymous

posted on 23 Jul 2021

I applied via Company Website and was interviewed in Jan 2021. There were 4 interview rounds.

Interview Questionnaire 

3 Questions

  • Q1. Introduction
    • Add your answer
  • Q2. Past Job experiences
    • Add your answer
  • Q3. Questions that relate to Job Description and are mentioned on the resume
    • Add your answer

Interview Preparation Tips

Interview preparation tips for other job seekers - Just be real!
More about working at UBS

UBS Interview FAQs

How to prepare for UBS Compliance Officer 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 UBS. The most common topics and skills that interviewers at UBS expect are Account Planning, Bolt, Compliance, Corporate Training and Investment Banking.
What are the top questions asked in UBS Compliance Officer interview?

Some of the top questions asked at the UBS Compliance Officer interview -

  1. What is compliance? What is regulatory reporting? How good are you with regard...read more
  2. Behavioural & situation based questi...read more

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UBS Compliance Officer Salary
based on 137 salaries
₹5 L/yr - ₹19.5 L/yr
35% more than the average Compliance Officer Salary in India
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UBS Compliance Officer Reviews and Ratings

based on 13 reviews

3.9/5

Rating in categories

3.7

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4.0

Work-Life balance

3.5

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3.8

Job Security

4.3

Company culture

3.1

Promotions/Appraisal

3.8

Work Satisfaction

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