How to answer this Behavioural interview question about Compliance Resolution for Mid-Level KYC Analyst?

Can you describe a time when you identified a compliance issue and how you resolved it?

KYC Analyst

Behavioural

Asked at

Standard Chartered

Difficulty :

Hard

Explanation

This question evaluates your ability to detect and resolve compliance issues, demonstrating your attention to detail and problem-solving skills. Recruiters are looking for specific examples that highlight your proactive approach and adherence to regulatory standards. A strong answer will follow the STAR (Situation, Task, Action, Result) format and include measurable outcomes. Avoid vague responses or failing to explain your role in the resolution process.

Answer Example

During a periodic review, I identified that a client’s KYC file was missing updated beneficial ownership information, which posed a compliance risk. My task was to resolve the issue promptly. I contacted the client to request the missing documentation and escalated the case to the compliance team. Once the documents were provided, I updated the KYC file and ensured it met regulatory standards. This proactive action prevented potential penalties and ensured compliance.

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