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

Responsive

• Addresses issues quickly before they develop into major problems.
• Maintains a state of readiness to address new and changing regulations and procedures.
• Ensures appropriate followup for regulatory violations.
• Responds promptly to inquiries from regulatory bodies.
• 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.
• Follows up on any unresolved compliance issues.
• Establishes clear communication channels and lines of communication for compliance related issues.
• Responds accurately and completely to questions from regulators.

Develops/Implements Frameworks

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

Develops Reporting System

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

Ensures Compliance

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

Train and Educate

• Offers training to employees to ensure they comply with regulations.
• Offers training to employees to ensure they are complying with regulations.
• Reviews skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.
• Explains regulations and procedures to others as required.
• Tracks employee participation in development opportunities as required by industry regulations.
• Trains and coordinates activies of compliance officers.
• 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.
• 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 the documents and reports needed to maintain compliance with regulations.
• Is aware of federal and local laws affecting employees.
• Understands the applicable regulations and laws that impact our business.
• Familiar with EEOC, FLSA, OSHA and ERISA acts/standards.
• Keeps track of changes in legislation affecting regulatory compliance.
• 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

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

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

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

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.
• Submits complete applications for necessary certifications.
• Prepares and presents annual reports as required.

Complies with Regulations

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

Leadership

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

Employee Opinion Survey Items

Proactive Monitoring and Assessment

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

Responsive

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

Develops/Implements Frameworks

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

Develops Reporting System

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

Ensures Compliance

• The Compliance department ensures the company is in compliance with all laws regarding the production and transportation of product.
• Our department maintains compliance with federal, state, and local laws.
• 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.
• The HR department ensures the company meets legal requirements/standards regarding treatment of employees.
• My manager ensures the company is in compliance with industry specifications, standards, and applicable laws.

Train and Educate

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

Knowledgeable

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

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 strategies to ensure compliance.
• 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 implement regulatory compliance strategies.
• I conduct necessary risk assessments.
• I coordinate internal and external audit procedures.

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.
• I follow up on any unresolved compliance issues.
• I respond accurately and completely to questions from regulators.
• I used software tools to monitor compliance and track issues to help identify and respond to non-compliance.
• I ensure appropriate followup for regulatory violations.
• I respond promptly to inquiries from regulatory bodies.
• I establish clear communication channels and lines of communication for compliance related issues.
• You create a standardized response protocol for responding to 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 develop strategies to comply with established regulations.
• I develop and implement appropriate reporting channels.
• I develop regulatory compliance strategies.
• I create necessary compliance policies and procedures.
• I coordinate the execution of compliance strategies across departments.
• I formulate compliance policies and procedures.
• I investigate risk mitigation strategies.
• You develop effective procedures for ensuring compliance.

Develops Reporting System

• I maintain a compliance data recordkeeping 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.
• 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 operations meet government and industry requirements/standards.
• I ensure the company is in compliance with all laws regarding the production and transportation of product.
• You ensure the company meets legal requirements/standards regarding employees.
• I review operations and work flows to ensure compliance with standards.
• I ensure the company is in compliance with industry specifications, standards, and applicable laws.
• 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 comply with regulations.
• You offer training to employees to ensure they are complying with regulations.
• You review skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.
• I tain and coordinate activies of compliance officers.
• I create and administer training initiatives on compliance and regulations.
• I track employee participation in development opportunities as required by industry regulations.
• You explain regulations and procedures to others as required.
• I create and implement training courses for new hires to ensure knowledge of regulations and policies.
• You offer training on various subjects to help ensure employees are aware of regulations.
• 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 understand the applicable regulations and laws that impact our business.
• You are aware of federal and local laws affecting employees.
• 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 know who to contact at various regulatory agencies if needed.
• You are professional and courteous in interactions with auditors and regulators.
• You interact with auditors and regulators on a professional basis.
• 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.
• I coordinate with legal counsel in conducting audits of legal compliance.
• You act as a liaison to regulatory agencies.
• You have contacts at various regulatory agencies.

Mitigate Risk

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

Fosters Ethical Culture

• I create and distribute code of ethics and code of conduct.
• I strengthen employees' ability to appropriately handle compliance and ethics issues.
• I effectively communicate the importance of meeting compliance standards.
• 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.
• I document the performance of compliance audits.
• You maintain historical records and documents as needed/required.

Reviews Documents

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

Provides Documentation

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

Complies with Regulations

• You comply with regulatory requirements for the state.
• You comply with trade agreements affecting international companies.
• 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 can create an oversight panel to provide comprehensive supervision for the organization.
• I effectively manage a department of compliance officers.
• I appoint a supervisory committee to ensure effective oversight of the organization.

Job Interview Questions

Proactive Monitoring and Assessment

• Explain how you would implement regulatory compliance strategies.
• Have you implemented internal control processes to detect misconduct or patterns of illegal transactions?
• 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?
• Have you performed annual/monthly compliance audits?
• How have you implemented regulatory changes in a timely manner?
• Do you perform regular compliance audits?
• Did you establish a governance body to monitor and guide the organization's activities?
• Have you periodically assessed the effectiveness of regulatory/compliance programs?
• Give an example of how you implemented strategies to ensure regulatory compliance.
• Describe the steps you would take to coordinate internal and external audit procedures.

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.
• Describe how you established clear communication channels and lines of communication for compliance related issues.
• Do you respond promptly to inquiries from regulatory bodies?
• How would you maintain a state of readiness to address new and changing regulations and procedures?
• How do you ensure appropriate follow-up for regulatory violations?
• Being response to issues is important. Give an example of when addressed issues quickly before they developed into major problems.
• Explain how you would respond accurately and completely to questions from regulators.

Develops/Implements Frameworks

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

Develops Reporting System

• 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?
• Have you maintained a compliance data recordkeeping system?
• How would you develop compliance reports in accordance with federal and industry regulations?
• Did you develop and implement a compliance data recordkeeping system?
• Have you developed a confidential reporting system to enable employees to anonymously report safety violations?

Ensures Compliance

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

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?
• How would you track employee participation in development opportunities as required by industry regulations.
• Do you offer training to employees to ensure they are complying with 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?
• Have you created and administered training initiatives on compliance and 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.
• Explain how you would offer training to employees to ensure they comply with regulations.

Knowledgeable

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

Continuous Improvement

• How do you keep up-to-date with legislation affecting employees?
• 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?

Working Relationships

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

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 make sure that employees in your department understand and adhere to internal and external regulations?
• How would you ensure compliance through actions and behaviors?
• How do you effectively communicate the importance of meeting compliance standards?

Creates/Maintains Documentation

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

Reviews Documentation

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

Provides Documentation

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

Complies with Regulations

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

Leadership

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

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