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1. Describe your experience completing compliance investigations within the financial services industry. 2. Describe a situation where you identified and implemented measures to mitigate a

1. Describe your experience completing compliance investigations within the financial services industry.

2. Describe a situation where you identified and implemented measures to mitigate a compliance risk.

3. How do you stay up-to-date with changes in regulations and industry best practices, and how would you apply that knowledge to your role

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