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Regulatory Compliance Self-Assessment Comments

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

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

• I worked quickly to implement changes in regulations.
• I coordinated the execution of compliance strategies across departments.
• I developed regulatory compliance strategies.
• I developed the appropriate incentives (or disincentives) for regulatory compliance.
• I formulated compliance policies and procedures.
• I created a company compliance manual for distribution to the employees.
• I observed, monitored and coordinated compliance activities.
• I investigated risk mitigation strategies.
• I developed strategies to comply with established regulations.
• I developed and implemented appropriate reporting channels.
• I created necessary compliance policies and procedures.
• I developed effective procedures for ensuring compliance.

• I developed compliance reports in accordance with federal and industry regulations.
• I developed compliance reports to share with stakeholders.
• I used compliance reports to evaluate the effectiveness of compliance initiatives identifying areas of risk.
• I maintained a compliance data recordkeeping system.
• I developed a confidential reporting system that enabled employees to anonymously report safety violations.
• I used operational compliance reports to evaluate the effectiveness of internal processes.
• I developed and implemented a compliance data recordkeeping system.

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

• I offered training to employees to ensure they are complying with regulations.
• I offered training to employees to ensure they comply with regulations.
• I reviewed skill levels of employees in areas of policies and regulations to identify gaps where additional training is needed.
• I explained regulations and procedures to others as required.
• I created and implemented training courses for new hires to ensure knowledge of regulations and policies.
• I created and administered training initiatives on compliance and regulations.
• I offered training on various subjects to help ensure employees are aware of regulations.
• I trained and coordinated activies of compliance officers.
• I tracked employee participation in development opportunities as required by industry regulations.
• I conducted in-house training sessions to promote awareness of regulations and compliance.

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

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

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

• I identified and assessed areas of regulatory or compliance risk.
• I reviewed transactions for potential misconduct.
• I performed regulatory risk management to manage the risks of compliance (or non-compliance).

• I strengthened employees' ability to appropriately handle compliance and ethics issues.
• I effectively communicated the importance of meeting compliance standards.
• I created and distributed code of ethics and code of conduct.
• I ensured compliance through actions and behaviors.
• I understood and adhere to internal and external regulations.

• I created and maintained necessary regulatory documentation.
• I maintained historical records and documents as needed/required.
• I documented the performance of compliance audits.

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

• I created documents and reports as needed to maintain compliance with regulations.
• I prepared and presented annual reports as required.
• I submitted complete applications for necessary certifications.
• I kept detailed records of compliance measures.
• I provided documents and reports as needed to maintain compliance with laws.

• Complied with regulatory requirements for the state.
• I complied with trade agreements affecting international companies.
• I followed all safety regulations and procedures.
• I acted in compliance with all federal, state, and local laws.

• I effectively managed a department of compliance officers.
• I provided direction and oversight for the compliance department.
• I created an oversight panel to provide comprehensive supervision for the organization.
• I appointed a supervisory committee to ensure effective oversight of the organization.