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.

Researches extensively before delivering a talk to have concrete facts and information that will not raise any objections.

Finds out if the other person understands what is being discussed during a conversation and explains unclear issues.

2

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.

Jots down key points whenever there is need to write them down for reference purposes.

Maintains a cool head whenever the person on the line seems arrogant and uncontrollable.

2

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.

Appreciates the efforts taken by others to do any task and encourages them to be better.

Builds on good understanding and mutual reliance when given tasks to handle.

2

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.

Establishes clear and challenging short and long term goals and encourages others to meet the target

Takes responsibility for both personal and company growth and development to ensure profitability

3

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.

Gets started on major projects as early as possible, anticipates situations that may affect these projects and works to prevent them

Meditates regularly in order to control the thoughts that can trigger stress at work

2

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.

Breaks down major goals and projects into smaller ones that are more manageable in order to feel focused and motivated to complete them

Breaks up more time-consuming tasks with easier or shorter tasks in order to avoid feeling overwhelmed with too many tough tasks in a row

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.

Demonstrates the understanding and knowledge of policy, procedures, and standards in own area of work and that of others

Keeps a quality chart in order to identify the biggest quality issues as well as areas with the most quality problems

2

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

Always goes that extra mile; is responsible for a major improvement in own department's productivity

Raises the bar for other employees and is energized by problems that would easily derail others

2

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

Demonstrates willingness to apply better practices and standards when scheduling projects

Constantly updates the list of activities and makes efforts to track most project schedules

2

Self Evaluation

Self Evaluation Question

Employee Comments

VERBAL COMMUNICATION:

Have you ever tried to think about what you would say from another person's perspective?

Have you ever tried to copy somebody else's way of talking and how did it turn out?

[employee comments]
PHONE SKILLS:

How do you handle irate and upset callers during a phone conversation?

Do you typically take charge of the phone calls you make and how do you ensure to have everything under control?

[employee comments]
INTERPERSONAL SKILLS:

Give an instance that your feelings and emotions became a hindrance to building meaningful relationships with others?

Do you always seek to make people relaxed when they are talking to you or do you use intimidation?

[employee comments]
DEVELOPING OTHERS:

Do you have personal goals set before you can set the employee's goals?

Do you rely on personal knowledge or do you get more knowledge from others?

[employee comments]
POTENTIAL FOR ADVANCEMENT:

Are you part of the accomplishers or losers who contribute to the company's losses?

What strengths do you have that you can use to work better?

[employee comments]
HANDLING STRESS:

Can you give examples of some of the things you have done to prevent a situation from becoming too stressful for you to handle?

What ways do you use to identify your stress triggers? What do you do to make sure that the same stressful situation does not reappear?

[employee comments]
PROJECT AND GOAL FOCUS:

How many company goals have you achieved in the past six months? What approach did you take to reach them?

Describe a time when you have missed an important project deadline due to poor planning. What did you do?

[employee comments]
QUALITY MANAGEMENT:

How have you made sure to deliver quality work even when working under pressure?

How do you keep track of your projects to ensure that each milestone meets the agreed quality standards?

[employee comments]
QUANTITY OF WORK:

What are some of the skills you have acquired to improve your productivity at work?

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:

Have you ever failed to add contingency time when scheduling and how did you correct the mistake?

How often do you encourage others to work steadily towards both career and personal goals?

[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: