Use this step by step explanation to craft a good employee performance feedback review for a compliance auditor. Find the right words with quality phrases.

A Compliance Auditor is liable for protecting the company's assets by completing audits, ensuring docility with regulations and internal controls, recommending improvements in internal control structure and guiding the works of auditors.

The primary roles of this position includes accomplishing compliance work requirements through orientation, training, assigning, scheduling, supervising accounts etc., meeting work standards by following production, productivity, quality and customer service standards, resolving operational problems, identifying work process improvements, meeting cost standards by monitoring expenses, implementing cost saving actions, preparing for auditing through researching materials and formulating a plan of action, verifying assets and liabilities by comparing items to documentation, Completes audit work papers and memorandums by documenting audit tests and findings.

Employee Performance Review Sample

Employee's Name: Title:
Review Period: __/__/__ to __/__/__ Employee SSN:
Work Location: Supervisor's Name:

Instructions

  1. Rating: Rate the employee against the core skills based on how well he/she demonstrates each skill. Give scores 1, 2, or 3 for each rating depending on the employee's performance.
  2. Comments: Use this area to give examples of employee's performance phrases. The phrases should describe how well an employee has performed on previously set goals based on the given core skill.
  3. Summary: Use this section to give a summary of the employee's strengths and areas for improvement or development. Recommend a step increase for an employee who has met the expectations and performance improvement plans for one who doesn't meet expectations.
  4. Human Resources Review: Human resources manager must examine and indicate whether he/she concurs with the evaluation and comments. If the manager agrees, then he/she must sign the evaluation form. If he/she doesn't concur, then he/she must provide reasons explaining why this is so.
  5. Signatures: Sign the evaluation form and give it to the employee to go through and answer the Self Evaluation Questions. Ask him/her to sign and date the evaluation form before giving it back to the human resources for filing.

Rating Meaning

The employee fails to perform the most important aspects of the job satisfactorily. Requires close guidance to carry out routine jobs. He/she needs significant improvement in all areas. Meetings should be held between the employee and the supervisor to discuss performance deficiencies.

1

Employee routinely meets and exceeds expectations in all areas of responsibility. Produces high-quality work that at times exceeds expectations. Consistently meets the most critical annual goals. Occasionally produces timely and accurate results.

2

The employee consistently and significantly exceeds the communicated expectations by producing exceptionally high-quality work. He/she demonstrates exceptional knowledge of his/her duties and is highly recognized by others as an authority in his/her area of work.

3

Supervisor's Feedback

Skill

Comments

Rating

VERBAL COMMUNICATION: Verbal Communication is the use of tones and language to relay a message; it aids as a vehicle for expressing ideas, concepts and it, is critical to the daily running of the business.

Always tries to talk unambiguously and concisely during a conversation.

Maintains direct eye contact with the audience when giving a speech.

3

PHONE SKILLS: Phone Skills are useful to present a professional company image through the telephone to the customers while making them feel well informed and appreciated without necessarily seeing their faces.

Speaks in a very clear enunciation and is well understood by the other person on the other end.

Always seeks clarification whenever the other person on the line is not clear.

3

INTERPERSONAL SKILLS: Interpersonal Skills are a set of abilities that enable a person to positively interact and work with others effectively while avoiding office disputes and personal issues with each other.

Knows how to listen actively to others when they talk and does not interrupt.

Knows how to solve problems by coming up with workable solutions effectively.

3

DEVELOPING OTHERS: Developing others is an unremitting process that focuses on the broader, longer-term growth of individuals to nurture them to their potential and promote future development.

Helps others determine their personal goals and work on them seriously

Establishes a plan that facilitates timely reports at the culmination of long projects

2

POTENTIAL FOR ADVANCEMENT: The potential for Advancement is the ability to make something better by being more skillful, more efficient, and more useful to produce high-quality results.

Carries a strong personal orientation that is inspired by real example in the workplace

Devotes significant efforts in reaching the company goals set and within the set deadlines

3

HANDLING STRESS: Handling Stress is the skill to balance the requirements of the job and your abilities or available resources in performing it.

Tracks one's stressors by keeping a journal to identify which situations create the most stress and how to respond to them

Maintains a positive attitude and rewards oneself for little or major accomplishments

3

PROJECT AND GOAL FOCUS: Project and Goal Focus is setting your mind and heart on things that matter and add value to your life against those things that add no value at all or of little value.

Cleans up one's workspace and keeps it organized in order to get work done with much concentration

Sets a realistic time estimate for each project and tries to complete each one of them within the confines of each time limit

3

QUALITY MANAGEMENT: Quality Management is the management approach to the long-term success through customer satisfaction that directly involves the employees in the continual improvement of the daily tasks.

Takes the time to evaluate how well a major activity or project was done; monitors clients' satisfaction by asking them what went well and what needs to be improved next time

Maintains good records and systems and treats confidential reports/information in an appropriate manner

3

QUANTITY OF WORK: The quantity of Work is the amount of work accomplished by an employee against the expectations set by the employer.

Fixes issues that affect the quantity of work one produces and derives ways to prevent these issues from recurring

Sets realistic, attainable goals and regularly tracks their progress in order to know what level one is currently working at and what level one needs to be

3

SCHEDULING: Scheduling is creating daily workflow charts that the employees are supposed to follow when working and submitting their projects.

Excels at using standard scheduling terminologies all team members can understand

Understands what can be achieved realistically within the available time

3

Self Evaluation

Self Evaluation Question

Employee Comments

VERBAL COMMUNICATION:

Have you ever spoken before first thinking over it and it ended up hurting someone? How was the experience?

How do you prepare yourself before you talk to people and has it been of help to you?

[employee comments]
PHONE SKILLS:

Have you ever made a call while drinking or eating? How can you rate the conversation?

How well do you close conversations and do you feel you leave the callers in a satisfied position?

[employee comments]
INTERPERSONAL SKILLS:

How well do you work with those around you to ensure things are done?

How well do you receive and at the same time give constructive feedback?

[employee comments]
DEVELOPING OTHERS:

Do you have the expected experiences and knowledge to share with others?

What do you spend your energies on ? development or bringing down?

[employee comments]
POTENTIAL FOR ADVANCEMENT:

Are you willing to change tactics and part of the winning team?

Do you set goals or have a workable plan that you follow through with?

[employee comments]
HANDLING STRESS:

Give an example of a time when you have worked with a team that was facing a very stressful situation. How did you help the team members handle the situation?

Describe a time when your project was faced with a situation that was not anticipated. How did you handle it?

[employee comments]
PROJECT AND GOAL FOCUS:

Is there a time when you have missed goals? What were those goals and why did you miss them?

How do you differentiate goals that are urgent from those that are important? Give an example

[employee comments]
QUALITY MANAGEMENT:

Describe a time when you have suspended a supplier's contract with your company because he/she was supplying low-quality products. How did you go about it?

Describe the most recent project you have completed. What are some of the most common quality issues you identified and what was the cause?

[employee comments]
QUANTITY OF WORK:

Describe a big change that occurred in a project you were working on. How did you take advantage of this change to improve your productivity?

Describe a training program that you have enhanced or developed to improve the quantity of work produced by your team. How has this benefited the team?

[employee comments]
SCHEDULING:

What are you doing to create a balance between quality and quantity when scheduling tasks?

How often do you balance work and life and how often do you schedule time for non-work related activities?

[employee comments]

Summary

Sections 1-4: To be completed by the supervisor

Section 5: To be completed by the employee

1. Exceeds Job Related Expectations

2. Areas to improve

3. Goals completed since last performance feedback

4. Goals for next period

5. Employee comments

Signatures

I acknowledge that I discussed this performance feedback with my supervisor. My signature does not mean that I agree or disagree with this appraisal.
Employee: Date:
Supervisor: Date:
Human Resources: Date:

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