How to answer this Situational interview question about Non-Compliance Resolution for Mid-Level Internal Control Manager?

What steps would you take to address non-compliance identified during an internal audit?

Internal Control Manager

Situational

Asked at

KPMG

Difficulty :

Medium

Explanation

This question evaluates your problem-solving skills, knowledge of compliance protocols, and ability to implement corrective actions. Recruiters are looking for a structured approach to resolving non-compliance issues while ensuring minimal disruption to operations. A strong answer will balance immediate corrective actions with long-term prevention strategies, supported by examples. Avoid providing generic solutions without mentioning specific steps or follow-up measures.

Answer Example

Upon identifying non-compliance during an internal audit, I first assess the root cause by reviewing processes, interviewing involved parties, and analyzing data. Next, I implement immediate corrective actions, such as updating policies or providing targeted training. For example, when I discovered a recurring issue with vendor payments exceeding approval limits, I introduced stricter approval workflows and monitored compliance using automated audit tools. Lastly, I ensure long-term adherence by scheduling follow-up audits and incorporating the findings into risk management strategies.

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