How to prepare for a risk and compliance interview in a law firm

Interviewing for a risk and compliance role in a law firm is different from interviewing in other sectors. Law firms operate within strict regulatory environments, complex client relationships and partnership structures, meaning hiring managers assess more than technical knowledge alone.

Whether you are applying for an AML, conflicts, data protection or broader compliance risk position, firms will want to understand how you interpret regulations, manage risk assessment in practice and support the wider business. Strong candidates demonstrate not only technical expertise, but sound judgement, stakeholder awareness and commercial awareness within the legal market.

Risk and compliance teams in law firms can vary significantly in structure and remit. An analyst-level compliance professional may focus on business acceptance and due diligence, while a senior compliance manager or in-house lawyer may oversee elements of the firm’s compliance framework, influence stakeholders and shape risk management initiatives.

Preparation, therefore, must go beyond rehearsing standard interview questions. It should reflect an understanding of how compliance functions operate within a professional services environment and how your previous roles align with the job description.

Below is a practical guide to navigating the interview process and positioning yourself effectively.

Understanding the interview process

The interview process will differ depending on the law firm, practice areas and seniority of the compliance or risk role.

For junior to mid-level compliance professionals (for example, analyst or officer positions), the most common structure is two stages.

First stage – introductory interview

This stage typically focuses on your background, motivations and interest in the firm.

You should expect interview questions covering your CV, previous roles, understanding of the compliance job and why you want to work in that particular law firm. Hiring managers will also assess communication style, cultural fit and how clearly you articulate your experience.

Second stage – technical and behavioural deep dive

The second interview is usually more detailed and may include a mix of technical and competency-based questions.

Interviewers may explore your technical expertise, understanding of compliance requirements and approach to problem-solving. You may also be asked how you manage competing priorities, demonstrate good time management or respond to complex compliance issues. Some firms include a technical assessment or case study at this stage or use competency-based interviews to assess how candidates have handled real scenarios.

When responding to behavioural questions, structuring answers using the STAR method can help ensure clarity and focus.

Case studies and technical assessments

Case studies are commonly used in compliance interviews, particularly for roles covering AML, conflicts or broader compliance risk.

Through case studies, firms assess:

• Practical competence rather than theoretical knowledge
• Judgement and risk-based thinking
• Ability to analyse compliance issues logically
• Written communication and clarity of thought
• How candidates operate under pressure or ambiguity

Case studies are rarely designed to catch candidates out. Instead, they allow hiring managers to see how you structure a risk assessment, identify key issues and communicate your reasoning.

If a case study forms part of the interview process, ask your recruiter whether the firm provides any advance guidance on format or expectations. Recruiters often have insight into how assessments are structured and what interviewers typically look for.

Presenting your experience effectively

Your CV will usually guide much of the job interview, so you should be prepared to expand confidently on every element of your work experience.

Preparation tips

• Re-familiarise yourself with your CV and relate your experience directly to the job description.
• Highlight responsibilities that align with the compliance role.
• Prepare examples that demonstrate problem-solving, judgement and commercial awareness.
• Use structured examples to show how you have handled compliance issues in previous roles.
• Practise responses in a mock interview to refine delivery and timing.

Interviewers want to understand how you will add value from day one, not just what tasks you have performed previously.

Level-specific expectations

Expectations vary depending on seniority.

Analyst and entry-level compliance roles

Candidates at this level are typically expected to demonstrate a practical understanding of:

• Business acceptance processes
• Escalation of suspicious activity
• Experience with CDD and EDD
• Conflict checking responsibilities
• Core compliance requirements

Senior compliance manager or qualified roles

More senior candidates are expected to show:

• Strong technical expertise within their specialism
• Sound judgement and decision-making
• Oversight of compliance risk and risk management processes
• Ability to influence stakeholders across the firm
• Experience shaping or operating within a compliance framework

At all levels, law firms look for evidence of judgement. Compliance in a law firm is rarely a tick-box exercise.

For additional context on how firms structure discussions, reviewing example interview questions for risk and compliance interviews can be helpful.

Researching the firm

Interview preparation should extend beyond your own experience. Firms will want to see evidence that you understand their business and operating environment.

You should research:

• Recent firm news, including mergers, office openings or regulatory developments
• Key practice areas and client sectors
• Public commentary on risk management or compliance initiatives
• The firm’s LinkedIn presence and broader social media activity
• Trends affecting the legal market

Your compliance recruiter can also provide valuable insight into the role, team structure and expectations of hiring managers, speak the team at Taylor Root.

Strong research demonstrates:

• Genuine interest in the firm
• Awareness of compliance trends
• Commercial awareness and initiative

This preparation will also help you ask more informed questions during the interview.

Questions to ask your interviewer

A compliance interview is a two-way assessment. Preparing thoughtful questions shows engagement and helps you assess whether the firm is the right fit.

You should aim to prepare at least two to three questions, tailored to whether you are speaking with HR, hiring managers or senior stakeholders.

Compliance-focused interview questions

• How does the firm’s current compliance framework align with industry best practice?
• What are the most significant compliance issues the firm is currently facing
• How is risk management embedded into day-to-day operations?
• How is the success of the compliance function measured?
• Are there plans to expand or further invest in the compliance team?
• How does leadership promote a culture of compliance across the firm?

General interview questions

• How would you describe the firm’s culture and values?
• What will success look like in this role over the next six months?
• How is performance measured within the team?
• What are the next steps in the interview process and when should I follow up?

Key take aways

Preparing for a risk and compliance interview in a law firm requires more than memorising answers to common questions. It involves understanding the job description, demonstrating technical expertise, showing sound judgement and articulating how you support the wider business.

For compliance professionals considering their next move, working with a legal recruiter can provide valuable career advice, insight into firm culture and guidance throughout the interview process.

With structured preparation, clear examples and thoughtful research, candidates can approach compliance interviews with confidence.