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 Questionnaires Measuring Regulatory Compliance:
Survey 1 (4-point scale; Competency Comments)
Survey 2 (4-point scale; Competency Comments)
Survey 3 (5-point scale; Competency Comments)
Survey 4 (5-point scale; radio buttons)
Survey 5 (4-point scale; words)
Survey 6 (4-point scale; words)
Survey 7 (5-point scale; competency comments; N/A)
Survey 8 (3-point scale; Agree/Disagree words; N/A)
Survey 9 (3-point scale; Strength/Development; N/A)
Survey 10 (Comment boxes only)
Survey 11 (Single rating per competency)
Survey 12 (Slide-bar scale)

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.

Definition: Regulatory and Compliance are the actions taken by organizations to ensure they adhere to laws, regulations, and standards relevant to their industry, thereby mitigating risks, maintaining ethical standards, and protecting the interests of stakeholders. Individuals performing this work must be proactive and responsive. It is crucial to establish robust frameworks and reporting systems to ensure compliance, alongside continuous training and education for employees.

Proactive Monitoring and Assessment

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

Responsive

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

Develops/Implements Frameworks

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

Develops Reporting System

Develops compliance reports to share with stakeholders.
Uses compliance reports to evaluate the effectiveness of compliance initiatives identifying areas of risk.
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 all laws regarding the production and transportation of product.
Maintains compliance with federal, state, and local laws.
Reviews operations and work flows to ensure compliance with standards.
Ensures the company is in compliance with industry specifications, standards, and applicable laws.
Ensures operations meet government and industry requirements/standards.
Ensures the company meets legal requirements/standards regarding employees.
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.
Offers training on various subjects to help ensure employees are aware of regulations.
Tracks employee participation in development opportunities as required by industry regulations.
Creates and administers training initiatives on compliance and regulations.
Trains and coordinates activies of compliance officers.
Creates and implements training courses for new hires to ensure knowledge of regulations and policies.
Conducts in-house training sessions to promote awareness of regulations and compliance.

Knowledgeable

Understands the applicable regulations and laws that impact our business.
Is aware of federal and local laws affecting employees.
Is aware of the documents and reports needed to maintain compliance with regulations.
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

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 with legal counsel investigating any instances of misconduct.
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.
Acts as a liaison to regulatory agencies.
Has contacts at various regulatory agencies.

Mitigate Risk

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

Fosters Ethical Culture

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

Creates/Maintains Documentation

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

Reviews Documents

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.
Reviews anti-retaliation policies to ensure compliance with government standards.

Provides Documentation

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

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.
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.

Employee Opinion Survey Items

Proactive Monitoring and Assessment

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

Responsive

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

Develops/Implements Frameworks

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

Develops Reporting System

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

Ensures Compliance

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

Train and Educate

Managers review skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.
Our department has created and implemented effective training courses for new hires to ensure knowledge of regulations and policies.
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 officer explains regulations and procedures to others as required.
The Compliance department offers training on various subjects to help ensure employees are aware of regulations.
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 manager is familiar with EEOC, FLSA, OSHA and ERISA acts/standards.
Managers are aware of the minimum compliance standards.
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.
My supervisor is aware of federal and local laws affecting employees.

Self-Assessment Items

Proactive Monitoring and Assessment

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

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 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 ensure appropriate followup for regulatory violations.
You create a standardized response protocol for responding to compliance related issues.
I respond accurately and completely to questions from regulators.
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 formulate compliance policies and procedures.
I create a company compliance manual for distribution to the employees.
I create necessary compliance policies and procedures.
I develop and implement appropriate reporting channels.
I observe, monitor and coordinate compliance activities.
I develop strategies to comply with established regulations.
I develop regulatory compliance strategies.
I coordinate the execution of compliance strategies across departments.
I develop the appropriate incentives (or disincentives) for regulatory compliance.
I investigate risk mitigation strategies.
You develop effective procedures for ensuring compliance.

Develops Reporting System

I develop a confidential reporting system to enable employees to anonymously report safety violations.
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.
I develop compliance reports to share with stakeholders.
I develop and implement a compliance data recordkeeping system.
I maintain a compliance data recordkeeping system.
You develop compliance reports in accordance with federal and industry regulations.

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.
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 ensure the company meets legal requirements/standards regarding employees.
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.
You offer training on various subjects to help ensure employees are aware of regulations.
I track employee participation in development opportunities as required by industry regulations.
You explain regulations and procedures to others as required.
I tain and coordinate activies of compliance officers.
I create and administer training initiatives on compliance and regulations.
I create and implement training courses for new hires to ensure knowledge of regulations and policies.
You conduct in-house training sessions to promote awareness of regulations and compliance.

Knowledgeable

You are aware of federal and local laws affecting employees.
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 keep track of changes in legislation affecting regulatory compliance.
You are familiar with EEOC, FLSA, OSHA and ERISA acts/standards.
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.
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.
I coordinate with legal counsel investigating any instances of misconduct.
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 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 strengthen employees' ability to appropriately handle compliance and ethics issues.
I create and distribute code of ethics and code of conduct.
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.
You maintain historical records and documents as needed/required.
I document the performance of compliance audits.

Reviews Documents

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

Provides Documentation

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

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 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.
I provides direction and oversight for the compliance department.

Job Interview Questions

Proactive Monitoring and Assessment

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

Responsive

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

Develops/Implements Frameworks

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

Develops Reporting System

How would you develop compliance reports in accordance with federal and industry regulations?
Do you use compliance reports to evaluate the effectiveness of compliance initiatives identifying areas of risk?
Have you maintained a compliance data recordkeeping system?
Have you developed a confidential reporting system to enable employees to anonymously report safety violations?
Did you develop and implement a compliance data recordkeeping system?
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.
Explain how you would determine if the company is in compliance with industry specifications, standards, and applicable laws.
Give an example of how you ensured the company meets legal requirements/standards regarding commercial enterprises.
How would you ensure regulations are followed as required?
Describe how you would maintain compliance with federal, state, and local laws.
How do you ensure the company meets legal requirements/standards regarding employees?
Do you review operations and work flows to ensure compliance with standards? Describe how.
How do you ensure operations meet government and industry requirements/standards?

Train and Educate

How would you track employee participation in development opportunities as required by industry 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 had to explain regulations and procedures to others. Give an example.
Describe how you would create and implement training courses for new hires to ensure knowledge of regulations and policies.
Have you conducted in-house training sessions to promote awareness of regulations and compliance?
Do you offer training to employees to ensure they are complying with regulations?
Have you created and administered training initiatives on compliance and regulations?
Explain how you would offer training to employees to ensure they comply with regulations.
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?

Knowledgeable

Are you aware of the documents and reports needed to maintain compliance with regulations?
Are you aware of federal and local laws affecting employees?
Explain the applicable regulations and laws that impact our business.
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 familiar with EEOC, FLSA, OSHA and ERISA acts/standards? Elaborate on how each impacts employment.
Are you aware of the required compliance standards for this position?

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

Describe how you would interact with auditors and regulators.
Do you know who to contact at various regulatory agencies if needed?
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 have contacts at various regulatory agencies?
How do you coordinate the work of other Business Managers to ensure all are in compliance with established standards and guidelines?
Are you professional and courteous in interactions with auditors and regulators? Give examples of your interactions with these individuals.

Mitigate Risk

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

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

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

Reviews Documentation

Have you reviewed documentation and procedures manuals to ensure regulatory compliance?
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.

Provides Documentation

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

Complies with Regulations

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?
Describe how you would comply with trade agreements affecting international companies.

Leadership

Are you effective in managing a department of compliance officers? Explain.
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.