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

A Compliance Officer is tasked with the primary duty of supervising and managing all compliance related issues ensuring that everything is done by following the laid down rules and regulations of the company. He/she will also ensure that the organization's licenses are up to date with the latest guidelines.

Besides that main role, he or she will get to undertake the following roles; reporting all compliance issues the management, recommend necessary and workable solutions to compliance problems, assess compliance risks, and develop risk management strategies to manage them and conducting reviews and audits to ensure that compliance rules are followed.

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

MULTI-TASKING: Multi-Tasking allows one to juggle and perform more than one task at a time without losing track of what you are working on or dropping the ball.

Uses waiting time efficiently; always has a portable task to do such as reading especially in places where one anticipates waiting

Pauses tasks at natural points, such as the end of a page, and does what one needs to, to remind oneself to resume

2

INSPIRING OTHERS: Inspiring is encouraging one to be their best in contributing to the vision of an organization where they are placed and entrusted to work.

Takes a small part of one's day at work to talk and listen to other employees in order to help maintain a positive atmosphere

Expands one's horizons further than before while thinking about the impact one's actions will have on those around

2

DEPENDABILITY: Dependability is the characteristic of being able to be counted on and relied upon by providing services that be trusted within a period.

Is highly regarded as dependable by both management and the team working together

Identifies the worthy steps and takes them in executing all the tasks given

2

WORK ATTITUDE: Work Attitude is one's feelings towards and beliefs about one's job and their behavior that can tell how it feels to be there.

Has a high positive impact on those around encouraging and motivating them to do their best

Always carries a positive mindset that is frequently accompanied by an excellent posture

2

ASSERTIVENESS: Assertiveness is the inclination to stand up for your rights or other people's rights in a calm and concrete way without being aggressive or accepting a wrong.

Finds ways to get self needs met without sacrificing others' needs in the process

Holds back, listens and waits for the other person to finish an intended message before giving a response

2

EMOTION MANAGEMENT: Emotion Management is the ability to realize, readily accept and successfully control feelings on oneself and sometimes in others around you by being in complete authority over your thoughts and feelings that are generated whenever your values are touched.

Resists the urge to shoot off an email or text to a colleague when angry. Instead, saves it as draft and sends it after cooling off

Focuses on working towards happiness and betterment rather than just "getting by" each day

2

PERSONAL ACCOUNTABILITY: Personal Accountability is the feeling that you are entirely responsible for your actions and consequences taking ownership without blaming others.

Looks beyond the requirements of one's own job description to offer suggestions for problem-solving and improvement of overall company operations

Consistently delivers on commitments in good time and meets commitments to others

3

PERSONAL COMMITMENT: Personal Commitment is an obligation that you have voluntarily agreed to fulfill without being cajoled or threatened and are willing to be held accountable for the results.

Gives up more comfortable and confident options and takes a more challenging path while in order to achieve one's goals

Takes one step at a time; refuses to miss a task assigned to oneself no matter what is happening in one's life

2

QUALITY OF WORK: The quality of Work is the value of work or products produced by the employees as well as the work environment they are provided with.

Delegates tasks to employees based on their strengths, weaknesses, and other behavioral styles that could affect the quality of work produced

Makes sure that all employees know what quality work means to the company and consistently communicates ways to improve work quality

2

ENTREPRENEURIAL THINKING: Entrepreneurial Thinking is a mindset that allows embraces critical questioning, innovation, service and continuous improvement with an attitude of change.

Makes good efforts to avoid being sidetracked from a venture and stays motivated to keep trying

Seeks assistance from experts when faced with a challenge when executing an idea

2

Self Evaluation

Self Evaluation Question

Employee Comments

MULTI-TASKING:

What system do you use to keep track of multiple projects? How has this helped you meet deadlines?

What are some of the resources you have used for effective multi-tasking other than your own time and attention?

[employee comments]
INSPIRING OTHERS:

Describe a time when you have had to give inspiration to a colleague who was constantly late at work. How did you go about it? Did the person take your advice?

How do you reward employees whose work exceeds your expectations? Give an example of when this has happened

[employee comments]
DEPENDABILITY:

Do you give excuses instead of doing what is right?

Are you willing to work overtime if the task requires you to do so?

[employee comments]
WORK ATTITUDE:

Are you quick to congratulate coworkers who are doing their level best?

Are you always armed with the right attitude no matter the situation?

[employee comments]
ASSERTIVENESS:

Is there a time you had to effectively "read" another person in order to guide your actions based on your understanding of their individual needs?

Can you think of an occasion when you have had to motivate and boost the morale of your colleagues?

[employee comments]
EMOTION MANAGEMENT:

What strategies have you taken in the past to prevent a situation from becoming too stressful for you to handle?

How do you ensure you have a comfortable and relaxing work space that feels more at home?

[employee comments]
PERSONAL ACCOUNTABILITY:

Can you describe a day when your supervisor was absent, and you had to make tough decisions? What are some of the decisions you made?

Can you think of a time when you have motivated yourself to finish unpleasant tasks? What steps did you take?

[employee comments]
PERSONAL COMMITMENT:

After setting your goals, how do you keep track of your progress? What do you do when you realize that you have done less than you expected?

Is there a time when you faced challenges when working on a project? What did you do to remain determined to finish the project?

[employee comments]
QUALITY OF WORK:

What are some of the programs you have initiated, if any, to train new employees on the company values and standards?

What courses, if any, have you taken to improve the quality of service you give to your customers? How has this benefited your company?

[employee comments]
ENTREPRENEURIAL THINKING:

What efforts are you making to become more involved with the community that supports your venture?

What have you learned from your past mistakes when executing business ideas?

[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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