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300 Questionnaire Items Measuring Regulatory Compliance

Regulatory/Compliance skills are crucial for businesses because they ensure they adhere to laws, regulations, and standards relevant to their industry, thereby mitigating risks, maintaining ethical standards, and protecting the interests of stakeholders. The main components of teamwork skills include:

• Proactive Monitoring and Assessment
• Responsive
• Develop and Implement Frameworks
• Reporting Systems
• Ensures Compliance
• Training and Education

Regulatory and compliance efforts contribute to business success by mitigating legal and financial risks, thereby ensuring operational stability and financial health. Additionally, they enhance the company's reputation and build trust with stakeholders, which is crucial for long-term growth and market expansion.

360-Degree Feedback Questionnaire Items

The Regulatory/Compliance Skills competency in a 360-Degree Feedback assessment includes items measuring the ability to be proactive and response; to develop and implement frameworks and reporting systems; to ensure compliance through training and education.



Proactive Monitoring and Assessment

• Performs regular compliance audits.
• Performs audits regularly, or without notice, to ensure proper compliance with regulations.
• Implements regulatory changes in a timely manner.
• Coordinates internal and external audit procedures.
• Conducts necessary risk assessments.
• Establishes a governance body to monitor and guide the organization's activities.
• Implements strategies to ensure compliance.
• Periodically assesses the effectiveness of regulatory/compliance programs.
• Implements regulatory compliance strategies.
• Performs annual/monthly compliance audits.
• Implements internal control processes to detect misconduct or patterns of illegal transactions.

Responsive

• Addresses issues quickly before they develop into major problems.
• Maintains a state of readiness to address new and changing regulations and procedures.
• Responds promptly to inquiries from regulatory bodies.
• Responds accurately and completely to questions from regulators.
• Uses software tools to monitor compliance and track issues to help identify and respond to non-compliance.
• Creates a standardized response protocol for responding to compliance related issues.
• Ensures appropriate followup for regulatory violations.
• Follows up on any unresolved compliance issues.
• Establishes clear communication channels and lines of communication for compliance related issues.

Develops/Implements Frameworks

• Works quickly to implement changes in regulations.
• Observes, monitors and coordinates compliance activities.
• Investigates risk mitigation strategies.
• Creates a company compliance manual for distribution to the employees.
• Coordinates the execution of compliance strategies across departments.
• Develops the appropriate incentives (or disincentives) for regulatory compliance.
• Develops strategies to comply with established regulations.
• Develops and implements appropriate reporting channels.
• Creates necessary compliance policies and procedures.
• Formulates compliance policies and procedures.
• Develops regulatory compliance strategies.
• Develops effective procedures for ensuring compliance.

Develops Reporting System

• Uses compliance reports to evaluate the effectiveness of compliance initiatives identifying areas of risk.
• Develops compliance reports to share with stakeholders.
• Develops a confidential reporting system to enable employees to anonymously report safety violations.
• Develops compliance reports in accordance with federal and industry regulations.
• Develops and implements a compliance data recordkeeping system.
• Uses operational compliance reports to evaluate the effectiveness of internal processes.
• Maintains a compliance data recordkeeping system.

Ensures Compliance

• Ensures regulations are followed as required.
• Ensures the company is in compliance with industry specifications, standards, and applicable laws.
• Ensures the company is in compliance with all laws regarding the production and transportation of product.
• Ensures the company meets legal requirements/standards regarding employees.
• Maintains compliance with federal, state, and local laws.
• Reviews operations and work flows to ensure compliance with standards.
• Ensures operations meet government and industry requirements/standards.
• Ensures the company meets legal requirements/standards regarding commercial enterprises.

Train and Educate

• Offers training to employees to ensure they are complying with regulations.
• Offers training to employees to ensure they comply with regulations.
• Reviews skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.
• Offers training on various subjects to help ensure employees are aware of regulations.
• Creates and implements training courses for new hires to ensure knowledge of regulations and policies.
• Explains regulations and procedures to others as required.
• Trains and coordinates activies of compliance officers.
• Tracks employee participation in development opportunities as required by industry regulations.
• Creates and administers training initiatives on compliance and regulations.
• Conducts in-house training sessions to promote awareness of regulations and compliance.

Knowledgeable

• Is aware of federal and local laws affecting employees.
• Is aware of the documents and reports needed to maintain compliance with regulations.
• Understands the applicable regulations and laws that impact our business.
• Keeps track of changes in legislation affecting regulatory compliance.
• Familiar with EEOC, FLSA, OSHA and ERISA acts/standards.
• Is aware of the required compliance standards.
• Is aware of the minimum compliance standards.

Continuous Improvement

• Keeps informed of various regulations and procedures.
• Keeps up-to-date with legislation affecting employees.
• Attends industry tradeshows and conferences to keep up-to-date with changes and trends.

Working Relationships

• Knows who to contact at various regulatory agencies if needed.
• Is professional and courteous in interactions with auditors and regulators.
• Interacts with auditors and regulators on a professional basis.
• Coordinates the work of other Business Managers to ensure all are in compliance with established standards and guidelines.
• Coordinates with legal counsel investigating any instances of misconduct.
• Coordinates with legal counsel in conducting audits of legal compliance.
• Acts as a liaison to regulatory agencies.
• Has contacts at various regulatory agencies.

Mitigate Risk

• Reviews transactions for potential misconduct.
• Performs regulatory risk management to manage the risks of compliance (or non-compliance).
• Identifies and assesses areas of regulatory or compliance risk.

Fosters Ethical Culture

• Strengthens employees' ability to appropriately handle compliance and ethics issues.
• Effectively communicates the importance of meeting compliance standards.
• Creates and distributes code of ethics and code of conduct.
• Ensures compliance through actions and behaviors.
• Understands and adheres to internal and external regulations.

Creates/Maintains Documentation

• Creates and maintains necessary regulatory documentation.
• Maintains historical records and documents as needed/required.
• Documents the performance of compliance audits.

Reviews Documents

• Reviews anti-retaliation policies to ensure compliance with government standards.
• Reviews the compliance program and recommends changes based on new industry trends.
• Reviews documentation and procedures manuals to ensure regulatory compliance.
• Reviews documentation, processes and practices.

Provides Documentation

• Creates documents and reports as needed to maintain compliance with regulations.
• Keeps detailed records of compliance measures.
• Provides documents and reports as needed to maintain compliance with laws.
• Prepares and presents annual reports as required.
• Submits complete applications for necessary certifications.

Complies with Regulations

• Complies with regulatory requirements for the state.
• Complies with trade agreements affecting international companies.
• Follows all safety regulations and procedures.
• Acts in compliance with all federal, state, and local laws.

Leadership

• Provides direction and oversight for the compliance department.
• Appoints a supervisory committee to ensure effective oversight of the organization.
• Creates an oversight panel to provide comprehensive supervision for the organization.
• Effectively manages a department of compliance officers.

Employee Opinion Survey Items

Proactive Monitoring and Assessment

• The compliance manager performs regular compliance audits.
• My manager implements regulatory compliance strategies.
• Our organization implements regulatory changes in a timely manner.
• Our department performs annual/monthly compliance audits.
• I feel confident that I can implement internal control processes to detect misconduct or patterns of illegal transactions.
• I can implement strategies to ensure compliance.
• The Audit department performs audits regularly, or without notice, to ensure proper compliance with regulations.
• I know how to establish a governance body to monitor and guide the organization's activities.
• My supervisor coordinates internal and external audit procedures.
• Our department conducts the risk assessments necessary to maintain compliance.

Responsive

• My manager follows up on any unresolved compliance issues.
• Our department responds promptly to inquiries from regulatory bodies.
• There are established communication channels and lines of communication for reporting compliance related issues.
• The project manager addresses issues quickly before they develop into major problems.
• The compliance department ensures appropriate followup for regulatory violations.
• Our department maintains a state of readiness to address new and changing regulations and procedures.
• Our department has created a standardized response protocol for responding to compliance related issues.
• We use software tools to monitor compliance and track issues to help identify and respond to non-compliance.

Develops/Implements Frameworks

• The compliance officer effectively coordinates the execution of compliance strategies across departments.
• My manager is willing to create the necessary compliance policies and procedures.
• The Compliance department observes, monitors and coordinates compliance activities.
• Our department has created a company compliance manual for distribution to the employees.
• Our department has investigated risk mitigation strategies.
• I can develop effective procedures for ensuring compliance.
• Our department has developed and implemented appropriate reporting channels.
• Our department has developed the appropriate incentives (or disincentives) for regulatory compliance.
• I know how to develop regulatory compliance strategies.
• My manager develops strategies to comply with established regulations.

Develops Reporting System

• I feel the compliance reports have been developed in accordance with federal and industry regulations.
• Our department maintains a compliance data recordkeeping system.
• Our department has developed relevant compliance reports to share with our stakeholders.
• The manager has developed and implemented an effecive compliance data recordkeeping system.
• The department has developed a confidential reporting system to enable employees to anonymously report safety violations.

Ensures Compliance

• The Compliance department ensures the company is in compliance with all laws regarding the production and transportation of product.
• The HR department ensures the company meets legal requirements/standards regarding treatment of employees.
• The supervisor ensures that operations meet government and industry requirements/standards.
• The project manager ensures regulations are followed as required.
• My manager reviews operations and work flows to ensure compliance with standards.
• My manager ensures the company is in compliance with industry specifications, standards, and applicable laws.
• Our department maintains compliance with federal, state, and local laws.

Train and Educate

• The compliance officer regularly conducts in-house training sessions to promote awareness of regulations and compliance.
• The HR department creates and administers training initiatives on compliance and regulations.
• Managers review skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.
• The Compliance department offers training on various subjects to help ensure employees are aware of regulations.
• Our department has created and implemented effective training courses for new hires to ensure knowledge of regulations and policies.
• The compliance officer explains regulations and procedures to others as required.
• The HR department tracks employee participation in development opportunities as required by industry regulations.
• The HR department offers training to employees to ensure they are complying with regulations.

Knowledgeable

• My supervisor is aware of federal and local laws affecting employees.
• My manager is familiar with EEOC, FLSA, OSHA and ERISA acts/standards.
• Managers are aware of the minimum compliance standards.
• Supervisors are aware of the documents and reports needed to maintain compliance with regulations.
• The compliance officer effectively keeps track of changes in legislation affecting regulatory compliance.

Self-Assessment Items

Proactive Monitoring and Assessment

• You implement regulatory changes in a timely manner.
• You perform regular compliance audits.
• You perform audits regularly, or without notice, to ensure proper compliance with regulations.
• I implement internal control processes to detect misconduct or patterns of illegal transactions.
• I implement regulatory compliance strategies.
• I establish a governance body to monitor and guide the organization's activities.
• I perform annual/monthly compliance audits.
• I periodically assess the effectiveness of regulatory/compliance programs.
• I conduct necessary risk assessments.
• I coordinate internal and external audit procedures.
• I implement strategies to ensure compliance.

Responsive

• You address issues quickly before they develop into major problems.
• You maintain a state of readiness to address new and changing regulations and procedures.
• You create a standardized response protocol for responding to compliance related issues.
• I respond promptly to inquiries from regulatory bodies.
• I used software tools to monitor compliance and track issues to help identify and respond to non-compliance.
• I respond accurately and completely to questions from regulators.
• I ensure appropriate followup for regulatory violations.
• I follow up on any unresolved compliance issues.
• I establish clear communication channels and lines of communication for compliance related issues.

Develops/Implements Frameworks

• You work quickly to implement changes in regulations.
• I create a company compliance manual for distribution to the employees.
• I observe, monitor and coordinate compliance activities.
• I develop the appropriate incentives (or disincentives) for regulatory compliance.
• I create necessary compliance policies and procedures.
• I coordinate the execution of compliance strategies across departments.
• I develop regulatory compliance strategies.
• I formulate compliance policies and procedures.
• I develop strategies to comply with established regulations.
• I investigate risk mitigation strategies.
• I develop and implement appropriate reporting channels.
• You develop effective procedures for ensuring compliance.

Develops Reporting System

• You develop compliance reports in accordance with federal and industry regulations.
• I develop compliance reports to share with stakeholders.
• I develop a confidential reporting system to enable employees to anonymously report safety violations.
• I develop and implement a compliance data recordkeeping system.
• I maintain a compliance data recordkeeping system.
• You use operational compliance reports to evaluate the effectiveness of internal processes.
• You use compliance reports to evaluate the effectiveness of compliance initiatives identifying areas of risk.

Ensures Compliance

• You ensure regulations are followed as required.
• I ensure the company is in compliance with all laws regarding the production and transportation of product.
• I ensure operations meet government and industry requirements/standards.
• You ensure the company meets legal requirements/standards regarding employees.
• I ensure the company is in compliance with industry specifications, standards, and applicable laws.
• I review operations and work flows to ensure compliance with standards.
• You maintain compliance with federal, state, and local laws.
• You ensure the company meets legal requirements/standards regarding commercial enterprises.

Train and Educate

• You offer training to employees to ensure they are complying with regulations.
• You offer training to employees to ensure they comply with regulations.
• You review skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.
• I track employee participation in development opportunities as required by industry regulations.
• I create and implement training courses for new hires to ensure knowledge of regulations and policies.
• I create and administer training initiatives on compliance and regulations.
• You explain regulations and procedures to others as required.
• You offer training on various subjects to help ensure employees are aware of regulations.
• I tain and coordinate activies of compliance officers.
• You conduct in-house training sessions to promote awareness of regulations and compliance.

Knowledgeable

• You are aware of the documents and reports needed to maintain compliance with regulations.
• You are aware of federal and local laws affecting employees.
• You understand the applicable regulations and laws that impact our business.
• You are familiar with EEOC, FLSA, OSHA and ERISA acts/standards.
• You keep track of changes in legislation affecting regulatory compliance.
• You are aware of the required compliance standards.
• You are aware of the minimum compliance standards.

Continuous Improvement

• You keep informed of various regulations and procedures.
• You keep up-to-date with legislation affecting employees.
• You attend industry tradeshows and conferences to keep up-to-date with changes and trends.

Working Relationships

• You are professional and courteous in interactions with auditors and regulators.
• You know who to contact at various regulatory agencies if needed.
• I coordinate with legal counsel in conducting audits of legal compliance.
• I coordinate with legal counsel investigating any instances of misconduct.
• I coordinate the work of other Business Managers to ensure all are in compliance with established standards and guidelines.
• You interact with auditors and regulators on a professional basis.
• You act as a liaison to regulatory agencies.
• You have contacts at various regulatory agencies.

Mitigate Risk

• I review transactions for potential misconduct.
• I identify and assess areas of regulatory or compliance risk.
• I perform regulatory risk management to manage the risks of compliance (or non-compliance).

Fosters Ethical Culture

• I effectively communicate the importance of meeting compliance standards.
• I strengthen employees' ability to appropriately handle compliance and ethics issues.
• I create and distribute code of ethics and code of conduct.
• You ensure compliance through actions and behaviors.
• You understand and adhere to internal and external regulations.

Creates/Maintains Documentation

• You create and maintain necessary regulatory documentation.
• You maintain historical records and documents as needed/required.
• I document the performance of compliance audits.

Reviews Documents

• I review documentation, processes and practices.
• I review the compliance program and recommends changes based on new industry trends.
• I review documentation and procedures manuals to ensure regulatory compliance.
• I review anti-retaliation policies to ensure compliance with government standards.

Provides Documentation

• You create documents and reports as needed to maintain compliance with regulations.
• I submit complete applications for necessary certifications.
• I prepare and present annual reports as required.
• I keep detailed records of compliance measures.
• You provide documents and reports as needed to maintain compliance with laws.

Complies with Regulations

• You comply with trade agreements affecting international companies.
• You comply with regulatory requirements for the state.
• You follow all safety regulations and procedures.
• You act in compliance with all federal, state, and local laws.

Leadership

• I provides direction and oversight for the compliance department.
• I appoint a supervisory committee to ensure effective oversight of the organization.
• I effectively manage a department of compliance officers.
• I can create an oversight panel to provide comprehensive supervision for the organization.

Job Interview Questions

Proactive Monitoring and Assessment

• Have you performed annual/monthly compliance audits?
• Give an example of how you implemented strategies to ensure regulatory compliance.
• Explain how you would implement regulatory compliance strategies.
• Did you establish a governance body to monitor and guide the organization's activities?
• Have you periodically assessed the effectiveness of regulatory/compliance programs?
• Have you implemented internal control processes to detect misconduct or patterns of illegal transactions?
• Describe the steps you would take to coordinate internal and external audit procedures.
• How have you implemented regulatory changes in a timely manner?
• Do you perform regular compliance audits?
• In your previous job, have you had to conduct risk assessments? Explain.
• Do you perform audits regularly, or without notice, to ensure proper compliance with regulations?

Responsive

• Give examples of when you followed up on any unresolved compliance issues.
• Do you use software tools to monitor compliance and track issues to help identify and respond to non-compliance?
• Explain how you would create a standardized response protocol for responding to compliance related issues.
• Being response to issues is important. Give an example of when addressed issues quickly before they developed into major problems.
• How do you ensure appropriate follow-up for regulatory violations?
• Describe how you established clear communication channels and lines of communication for compliance related issues.
• How would you maintain a state of readiness to address new and changing regulations and procedures?
• Do you respond promptly to inquiries from regulatory bodies?
• Explain how you would respond accurately and completely to questions from regulators.

Develops/Implements Frameworks

• Explain how you would develop regulatory compliance strategies.
• How do you formulate compliance policies and procedures?
• Have you developed and implemented appropriate reporting channels?
• Documentation in the form of training manuals is important. Have you had an opportunity to create a company compliance manual for distribution to the employees?
• Risk mitigation often requires a strategy to be followed. Explain how you would investigate risk mitigation strategies.
• Have you developed appropriate incentives (or disincentives) for regulatory compliance?
• How would you coordinate the execution of compliance strategies across departments?
• How would you create necessary compliance policies and procedures?
• How would you develop effective procedures for ensuring compliance?
• How do you observe, monitor and coordinate compliance activities?
• Do you work quickly to implement changes in regulations? Give an example.
• Describe how you would develop strategies to comply with established regulations.

Develops Reporting System

• Did you develop and implement a compliance data recordkeeping system?
• How would you develop compliance reports in accordance with federal and industry regulations?
• Have you maintained a compliance data recordkeeping system?
• Have you developed a confidential reporting system to enable employees to anonymously report safety violations?
• Do you use compliance reports to evaluate the effectiveness of compliance initiatives identifying areas of risk?
• Sharing information with stakeholders is important. Have you developed compliance reports to share with stakeholders?
• Have you used operational compliance reports to evaluate the effectiveness of internal processes?

Ensures Compliance

• Describe how you would ensure the company is in compliance with all laws regarding the production and transportation of product.
• How do you ensure operations meet government and industry requirements/standards?
• Explain how you would determine if the company is in compliance with industry specifications, standards, and applicable laws.
• Describe how you would maintain compliance with federal, state, and local laws.
• Do you review operations and work flows to ensure compliance with standards? Describe how.
• Give an example of how you ensured the company meets legal requirements/standards regarding commercial enterprises.
• How do you ensure the company meets legal requirements/standards regarding employees?
• How would you ensure regulations are followed as required?

Train and Educate

• Often times, employees are not aware of all of the regulations they need to be following. Have you offered training on various subjects to help ensure employees are aware of regulations?
• Do you offer training to employees to ensure they are complying with regulations?
• Describe how you would create and implement training courses for new hires to ensure knowledge of regulations and policies.
• Have you had to explain regulations and procedures to others. Give an example.
• How would you track employee participation in development opportunities as required by industry regulations.
• Explain how you would offer training to employees to ensure they comply with regulations.
• Have you created and administered training initiatives on compliance and regulations?
• Give an example of when you reviewed skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.
• Have you conducted in-house training sessions to promote awareness of regulations and compliance?

Knowledgeable

• Are you familiar with EEOC, FLSA, OSHA and ERISA acts/standards? Elaborate on how each impacts employment.
• If you were training a new employee, how would you describe the minimum compliance standards?
• Are you aware of federal and local laws affecting employees?
• Are you aware of the required compliance standards for this position?
• Explain the applicable regulations and laws that impact our business.
• How do you keep track of changes in legislation affecting regulatory compliance?
• Are you aware of the documents and reports needed to maintain compliance with regulations?

Continuous Improvement

• How do you keep informed of various regulations and procedures?
• Do you attend industry tradeshows and conferences to keep up-to-date with changes and trends? What was the last show you attended?
• How do you keep up-to-date with legislation affecting employees?

Working Relationships

• Describe how you would interact with auditors and regulators.
• How do you coordinate the work of other Business Managers to ensure all are in compliance with established standards and guidelines?
• Do you have contacts at various regulatory agencies?
• Have you coordinated with legal counsel in conducting audits of legal compliance?
• Do you have any experience acting as a liaison to regulatory agencies?
• Explain how you would coordinate with legal counsel investigating any instances of misconduct.
• Do you know who to contact at various regulatory agencies if needed?
• Are you professional and courteous in interactions with auditors and regulators? Give examples of your interactions with these individuals.

Mitigate Risk

• Have you previously performed regulatory risk management to manage the risks of compliance (or non-compliance)?
• Do you review transactions for potential misconduct?
• How would you identify and assess areas of regulatory or compliance risk?

Fosters Ethical Culture

• Explain how you would strengthen employees' ability to appropriately handle compliance and ethics issues.
• In your former job, have you created and distributed a code of ethics and code of conduct?
• How do you effectively communicate the importance of meeting compliance standards?
• How would you ensure compliance through actions and behaviors?
• How do you make sure that employees in your department understand and adhere to internal and external regulations?

Creates/Maintains Documentation

• Have you created and maintained necessary regulatory documentation?
• Explain how you would maintain historical records and documents as needed/required.
• Do you document the performance of compliance audits?

Reviews Documentation

• Have you reviewed anti-retaliation policies to ensure compliance with government standards?
• Explain how you would review documentation, processes and practices.
• Give an example of how you reviewed the compliance program and recommended changes based on new industry trends.
• Have you reviewed documentation and procedures manuals to ensure regulatory compliance?

Provides Documentation

• Do you prepare and present annual reports as required?
• Have you provided documents and reports as needed to maintain compliance with laws?
• Have you had to submit complete applications for necessary certifications? Give examples.
• Explain how you keep detailed records of compliance measures.
• Describe the steps needed to creates documents and reports to maintain compliance with regulations.

Complies with Regulations

• Describe how you would comply with trade agreements affecting international companies.
• Do the employees on your production line follow all safety regulations and procedures?
• How would you ensure employees act in compliance with all federal, state, and local laws?
• How would you comply with regulatory requirements for the state?

Leadership

• Describe how you would appoint a supervisory committee to ensure effective oversight of the organization.
• Are you effective in managing a department of compliance officers? Explain.
• Explain how you would provide direction and oversight for the compliance department.
• Are you able to create an oversight panel to provide comprehensive supervision for the organization? How would you do it?

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