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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.
• Periodically assesses the effectiveness of regulatory/compliance programs.
• Establishes a governance body to monitor and guide the organization's activities.
• Coordinates internal and external audit procedures.
• Implements strategies to ensure compliance.
• Implements regulatory compliance strategies.
• Performs annual/monthly compliance audits.
• Implements internal control processes to detect misconduct or patterns of illegal transactions.
• Conducts necessary risk assessments.

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.
• Follows up on any unresolved compliance issues.
• Uses software tools to monitor compliance and track issues to help identify and respond to non-compliance.
• Responds accurately and completely to questions from regulators.
• Responds promptly to inquiries from regulatory bodies.
• Creates a standardized response protocol for responding to compliance related 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.
• Creates a company compliance manual for distribution to the employees.
• Coordinates the execution of compliance strategies across departments.
• Investigates risk mitigation strategies.
• Develops regulatory compliance strategies.
• Formulates compliance policies and procedures.
• Develops and implements appropriate reporting channels.
• Develops the appropriate incentives (or disincentives) for regulatory compliance.
• Develops strategies to comply with established regulations.
• Creates necessary compliance policies and procedures.
• Develops effective procedures for ensuring compliance.

Develops Reporting System

• Uses operational compliance reports to evaluate the effectiveness of internal processes.
• Develops compliance reports to share with stakeholders.
• Develops and implements a compliance data recordkeeping system.
• Maintains a compliance data recordkeeping system.
• Develops compliance reports in accordance with federal and industry regulations.
• 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.

Ensures Compliance

• Ensures regulations are followed as required.
• Ensures the company meets legal requirements/standards regarding employees.
• Reviews operations and work flows to ensure compliance with standards.
• Maintains compliance with federal, state, and local laws.
• Ensures the company is in compliance with all laws regarding the production and transportation of product.
• 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 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.
• Explains regulations and procedures to others as required.
• Tracks employee participation in development opportunities as required by industry regulations.
• Offers training on various subjects to help ensure employees are aware of regulations.
• Trains and coordinates activies of compliance officers.
• 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.
• 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 the work of other Business Managers to ensure all are in compliance with established standards and guidelines.
• Coordinates with legal counsel in conducting audits of legal compliance.
• 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.
• Creates and distributes code of ethics and code of conduct.
• Strengthens employees' ability to appropriately handle compliance and ethics issues.
• Ensures compliance through actions and behaviors.
• Understands and adheres to internal and external regulations.

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

Provides Documentation

• Creates documents and reports as needed to maintain compliance with regulations.
• Provides documents and reports as needed to maintain compliance with laws.
• Keeps detailed records of compliance measures.
• 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

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

Employee Opinion Survey Items

Proactive Monitoring and Assessment

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

Responsive

• Our department responds promptly to inquiries from regulatory bodies.
• 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.
• The compliance department ensures appropriate followup for regulatory violations.
• My manager follows up on any unresolved compliance issues.
• 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.
• There are established communication channels and lines of communication for reporting compliance related issues.

Develops/Implements Frameworks

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

Develops Reporting System

• 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.
• 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.

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.
• Our department maintains compliance with federal, state, and local laws.
• The project manager ensures regulations are followed as required.
• The supervisor ensures that operations meet government and industry requirements/standards.
• 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.

Train and Educate

• The HR department tracks employee participation in development opportunities as required by industry regulations.
• 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 HR department offers training to employees to ensure they are complying with regulations.
• 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.
• The compliance officer explains regulations and procedures to others as required.
• Managers review skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.

Knowledgeable

• 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.
• My manager is familiar with EEOC, FLSA, OSHA and ERISA acts/standards.
• Managers are aware of the minimum compliance standards.
• 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 conduct necessary risk assessments.
• I implement strategies to ensure compliance.
• I implement internal control processes to detect misconduct or patterns of illegal transactions.
• I periodically assess the effectiveness of regulatory/compliance programs.
• I perform annual/monthly compliance audits.
• I establish a governance body to monitor and guide the organization's activities.
• I implement regulatory compliance strategies.
• 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.
• You create a standardized response protocol for responding to compliance related issues.
• I establish clear communication channels and lines of communication for compliance related issues.
• I follow up on any unresolved compliance issues.
• I ensure appropriate followup for regulatory violations.
• I respond promptly to inquiries from regulatory bodies.
• 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.

Develops/Implements Frameworks

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

Develops Reporting System

• You use operational compliance reports to evaluate the effectiveness of internal processes.
• I develop and implement a compliance data recordkeeping system.
• I maintain a compliance data recordkeeping system.
• I develop a confidential reporting system to enable employees to anonymously report safety violations.
• You use compliance reports to evaluate the effectiveness of compliance initiatives identifying areas of risk.
• I develop compliance reports to share with stakeholders.
• 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 the company is in compliance with industry specifications, standards, and applicable laws.
• You maintain compliance with federal, state, and local laws.
• I ensure operations meet government and industry requirements/standards.
• I review operations and work flows to ensure compliance with standards.
• You ensure the company meets legal requirements/standards regarding employees.
• 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.
• You explain regulations and procedures to others as required.
• I track employee participation in development opportunities as required by industry regulations.
• I tain and coordinate activies of compliance officers.
• You offer training on various subjects to help ensure employees are aware of 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 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 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.
• 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 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 create and distribute code of ethics and code of conduct.
• I strengthen employees' ability to appropriately handle compliance and ethics issues.
• You understand and adhere to internal and external regulations.
• You ensure compliance through actions and behaviors.

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 documentation and procedures manuals to ensure regulatory compliance.
• I review documentation, processes and practices.
• I review the compliance program and recommends changes based on new industry trends.

Provides Documentation

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

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

Job Interview Questions

Proactive Monitoring and Assessment

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

Responsive

• Being response to issues is important. Give an example of when addressed issues quickly before they developed into major problems.
• Give examples of when you followed up on any unresolved compliance issues.
• Describe how you established clear communication channels and lines of communication for compliance related issues.
• Explain how you would create a standardized response protocol for responding to compliance related issues.
• 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?
• 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.
• Do you respond promptly to inquiries from regulatory bodies?

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

Develops Reporting System

• 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?
• How would you develop compliance reports in accordance with federal and industry regulations?
• Have you used operational compliance reports to evaluate the effectiveness of internal processes?
• 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?

Ensures Compliance

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

Train and Educate

• Have you conducted in-house training sessions to promote awareness of regulations and compliance?
• 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?
• Have you had to explain regulations and procedures to others. Give an example.
• Do you offer training to employees to ensure they are complying with regulations?
• 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 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.
• Explain how you would offer training to employees to ensure they comply with regulations.

Knowledgeable

• Are you aware of federal and local laws affecting employees?
• Are you aware of the required compliance standards for this position?
• Are you aware of the documents and reports needed to maintain compliance with regulations?
• How do you keep track of changes in legislation affecting regulatory compliance?
• Explain the applicable regulations and laws that impact our business.
• 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?

Continuous Improvement

• 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?
• How do you keep informed of various regulations and procedures?

Working Relationships

• Do you have contacts at various regulatory agencies?
• Explain how you would coordinate with legal counsel investigating any instances of misconduct.
• 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.
• Do you have any experience acting as a liaison to regulatory agencies?
• Do you know who to contact at various regulatory agencies if needed?
• 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?

Mitigate Risk

• 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)?
• Do you review transactions for potential misconduct?

Fosters Ethical Culture

• 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?
• 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?

Creates/Maintains Documentation

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

Reviews Documentation

• Have you reviewed anti-retaliation policies to ensure compliance with government standards?
• 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?
• Explain how you would review documentation, processes and practices.

Provides Documentation

• Have you provided documents and reports as needed to maintain compliance with laws?
• Explain how you keep detailed records of compliance measures.
• Do you prepare and present annual reports as required?
• 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.

Complies with Regulations

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

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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