Essential Work Samples for Hiring Top AI Regulatory Compliance Managers

AI regulatory compliance management has become a critical function as artificial intelligence systems face increasing scrutiny from regulators worldwide. Organizations deploying AI technologies must navigate complex and evolving regulatory landscapes, including the EU AI Act, NIST AI Risk Management Framework, and various sector-specific regulations. Finding candidates who can effectively manage these compliance challenges requires thorough evaluation beyond traditional interviews.

Work samples provide invaluable insights into how candidates approach real-world AI compliance scenarios. Unlike hypothetical questions, these exercises reveal a candidate's practical knowledge, problem-solving abilities, and communication skills in context. For AI regulatory compliance roles, this means assessing how candidates identify risks, interpret regulations, develop compliance strategies, and communicate effectively with both technical and non-technical stakeholders.

The best AI compliance professionals combine technical understanding with regulatory knowledge and strategic thinking. They must translate complex requirements into actionable guidelines while balancing innovation with responsible AI practices. Work samples help identify candidates who can navigate this complexity with confidence and precision.

The following exercises are designed to evaluate candidates for AI regulatory compliance management positions. Each activity simulates a realistic challenge these professionals face, providing a window into how candidates would perform in the actual role. By incorporating these work samples into your hiring process, you'll gain deeper insights into each candidate's capabilities and fit for your organization's specific compliance needs.

Activity #1: AI System Risk Assessment

This exercise evaluates a candidate's ability to identify and assess regulatory risks in an AI system. Effective AI compliance managers must be able to analyze AI applications through a regulatory lens, spotting potential compliance issues and recommending appropriate controls. This skill is fundamental to preventing regulatory violations before they occur.

Directions for the Company:

• Prepare a brief description (1-2 pages) of a fictional AI system your company is developing. Include details about its purpose, functionality, data sources, decision-making capabilities, and deployment context.
• The AI system should have several potential regulatory concerns embedded in it (e.g., using sensitive personal data, making automated decisions with significant impact, potential for bias).
• Provide relevant regulatory frameworks that apply to your organization (e.g., EU AI Act, GDPR, NIST AI RMF, sector-specific regulations).
• Allow 45-60 minutes for this exercise.
• Have a technical team member and a legal/compliance person available to answer clarifying questions.

Directions for the Candidate:

• Review the AI system description and applicable regulatory frameworks.
• Create a risk assessment document that:

1. Identifies potential regulatory compliance risks in the system
2. Categorizes each risk by severity and likelihood
3. Maps risks to specific regulatory requirements
4. Recommends 3-5 key controls or mitigation strategies for the highest priority risks

• Prepare to present your assessment in a 10-minute presentation followed by 5 minutes of questions.

Feedback Mechanism:

• After the presentation, provide feedback on one strength of the candidate's risk assessment approach and one area for improvement.
• Ask the candidate to revise their top recommendation based on the feedback, giving them 5-10 minutes to adjust their approach.
• Evaluate how receptive they are to feedback and how effectively they incorporate it into their revised recommendation.

Activity #2: Regulatory Change Response Plan

This activity tests a candidate's ability to interpret new regulatory requirements and develop implementation strategies. AI regulations are constantly evolving, and compliance managers must stay current with changes and effectively translate them into organizational actions. This exercise simulates the critical process of adapting to regulatory developments.

Directions for the Company:

• Create a fictional regulatory update relevant to AI systems (e.g., new requirements for algorithmic transparency, mandatory impact assessments, or enhanced documentation).
• Provide a brief summary of the new regulation and its key provisions.
• Include information about your company's current AI systems that would be affected.
• Allocate 60 minutes for this exercise.
• Prepare a template for the response plan or allow candidates to use their preferred format.

Directions for the Candidate:

• Review the regulatory update and company information provided.
• Develop a response plan that includes:

1. Analysis of how the new regulation impacts existing AI systems
2. Prioritized list of compliance actions needed
3. Timeline for implementation with key milestones
4. Resource requirements and stakeholder involvement
5. Potential challenges and contingency approaches

• Create a one-page executive summary and a more detailed 2-3 page implementation plan.
• Be prepared to walk through your plan with the interview panel.

Feedback Mechanism:

• Provide specific feedback on the comprehensiveness of the plan and one area where the approach could be strengthened.
• Ask the candidate to revise the prioritization of actions based on your feedback.
• Observe how they reconsider their approach and whether they ask insightful questions to better understand the feedback.

Activity #3: Cross-Functional Communication Exercise

This exercise evaluates a candidate's ability to communicate complex regulatory requirements to different stakeholders. AI compliance managers must effectively translate technical regulations into language that resonates with various audiences, from developers to executives. This skill is essential for driving compliance across the organization.

Directions for the Company:

• Prepare a specific AI compliance requirement that needs to be communicated to multiple teams (e.g., explainability requirements for a high-risk AI system).
• Create profiles for three different stakeholders: a technical AI developer, a product manager, and a C-suite executive.
• Provide any relevant company context that would influence how the requirement should be presented.
• Allow 45 minutes for preparation and 15 minutes for the role-play presentations.
• Have team members available to play the roles of the different stakeholders.

Directions for the Candidate:

• Review the compliance requirement and stakeholder profiles.
• Prepare three different communication approaches for the same requirement, tailored to each stakeholder:

1. Technical guidance for the AI developer
2. Implementation considerations for the product manager
3. Strategic overview for the executive

• Each communication should be 3-5 minutes and can be in written form, presentation slides, or another appropriate format.
• Be prepared to deliver each communication in a role-play scenario where interviewers act as the stakeholders.
• Anticipate and be ready to address questions from each stakeholder perspective.

Feedback Mechanism:

• After the role-plays, provide feedback on the effectiveness of the candidate's communication style and one specific area where their messaging could be improved for a particular stakeholder.
• Ask the candidate to revise their approach for the stakeholder where improvement was suggested.
• Evaluate how they adapt their communication based on feedback and whether they demonstrate versatility in their approach.

Activity #4: Compliance Documentation Review and Enhancement

This activity assesses a candidate's attention to detail and ability to improve compliance documentation. Thorough documentation is the backbone of AI compliance, providing evidence of due diligence and supporting regulatory inquiries. This exercise tests the candidate's ability to identify documentation gaps and enhance compliance artifacts.

Directions for the Company:

• Prepare a sample AI system documentation package with intentional gaps or weaknesses (e.g., incomplete model cards, insufficient data provenance information, vague risk assessments).
• Include relevant regulatory requirements or standards that the documentation should satisfy.
• Provide context about the AI system's purpose and deployment environment.
• Allow 60-75 minutes for this exercise.
• Prepare evaluation criteria focused on thoroughness, regulatory alignment, and practical improvements.

Directions for the Candidate:

• Review the provided AI system documentation and applicable regulatory frameworks.
• Identify gaps, inconsistencies, or areas of improvement in the documentation.
• Create a detailed report that:

1. Assesses the current state of documentation against regulatory requirements
2. Identifies specific documentation gaps or weaknesses
3. Provides concrete recommendations for enhancing the documentation
4. Suggests a documentation maintenance process to ensure ongoing compliance

• Prioritize your recommendations based on regulatory risk and implementation feasibility.
• Be prepared to discuss your findings and recommendations with the interview panel.

Feedback Mechanism:

• Provide feedback on the comprehensiveness of the gap analysis and one specific recommendation that could be strengthened.
• Ask the candidate to elaborate on how they would implement their top recommendation, incorporating the feedback provided.
• Evaluate their ability to provide practical, detailed guidance and their understanding of documentation best practices.

Frequently Asked Questions

How long should we allocate for these work samples in our interview process?

Each exercise requires approximately 60-90 minutes including preparation, execution, and feedback. Consider spreading them across different interview stages or selecting the 1-2 most relevant to your specific needs. For senior roles, a half-day assessment incorporating multiple exercises may be appropriate.

Should candidates complete these exercises before or during the interview?

Activities #1 and #2 can be given as pre-interview assignments with presentations during the interview. Activities #3 and #4 work best as live exercises during the interview process. For remote candidates, ensure your virtual meeting platform supports document sharing and collaborative review.

How should we adapt these exercises for candidates with different experience levels?

For junior candidates, provide more context and simplified scenarios. For senior candidates, increase complexity by adding international regulatory considerations or industry-specific requirements. Adjust evaluation criteria based on expected expertise level while maintaining core assessment objectives.

What if our organization doesn't have AI-specific compliance expertise to evaluate candidates?

Partner with external consultants or leverage existing legal/compliance and technical teams together. Provide evaluators with a structured assessment rubric that focuses on the candidate's approach, reasoning, and communication rather than specific regulatory knowledge that your team may not possess.

How can we ensure these exercises don't disadvantage candidates from different backgrounds?

Provide clear instructions and necessary context for all candidates. Avoid industry-specific jargon unless directly relevant to the role. Consider offering accommodations for candidates who request them, such as additional preparation time or alternative formats for presenting their work.

Should we share these exercises with candidates in advance?

For Activities #1 and #2, providing the scenario 24-48 hours in advance allows candidates to showcase their best work. For Activities #3 and #4, providing basic context while keeping specific details for the live exercise balances preparation with spontaneous problem-solving assessment.

As AI regulations continue to evolve globally, having skilled compliance professionals on your team becomes increasingly critical. These work samples will help you identify candidates who not only understand regulatory requirements but can effectively implement compliance programs that protect your organization while enabling responsible AI innovation.

By incorporating these practical exercises into your hiring process, you'll gain deeper insights into candidates' capabilities than traditional interviews alone can provide. For additional resources to enhance your hiring process, explore Yardstick's tools for creating AI-optimized job descriptions, generating effective interview questions, and developing comprehensive interview guides.

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