Use this sample and step by step explanation to craft a meaningful 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 delivers talks or speeches before doing thorough research on the topic.

Responds to questions in a not so creative and intelligent manner and hence does not offer satisfactory answers.

1

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 with good clarity and uses correct language to address the other person.

Mirrors back some of the words spoken by the other person and shows a good attention skill.

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.

Does not always seek to be a team player and contribute effectively to team affairs.

Demonstrates a lack of confidence and poise when around other people.

1

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.

Unwilling to work with others or help them accomplish their goals

Does not consult anyone before setting goals ending up working on the least important tasks first

1

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.

Able to set as well as meet both personal goals and performance goals

Asks for training or coaching where needful without wasting time

2

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

Gets out of the workplace during lunch hour in order to feel refreshed and more productive in the afternoon

Makes sure to have one or two colleagues who are willing to assist in the time of stress in order to reduce one's stress level

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.

Does not review progress or take stock of everything that one has accomplished on a regular basis

Does not identify the next action for each goal thus fails to initiate or maintain the required momentum

1

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.

Allows oneself to be distracted when performing a task that needs full concentration thus produces substandard work

Does not lead by example; always produces substandard work but asks others to produce quality work

1

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

Does not put enough energy or attention on the assigned task and is uneven in own productivity

Has trouble meeting tight deadlines and does not pay attention to the needs of other employees waiting for own work

1

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

Spends most of the available time engaging in activities and thoughts that do not produce results

Demonstrates inability to balance work and life and creates time for only one aspect at the expense of the other

1

Self Evaluation

Self Evaluation Question

Employee Comments

VERBAL COMMUNICATION:

Give an instance you were given the opportunity to talk to people. What was the reaction?

How do you respond to feedback and criticism and do you encourage people to give you feedback and citric your speech?

[employee comments]
PHONE SKILLS:

Give an instance you were called by an irate caller and explain how you handled it?

Do you usually call back when you promise to do so and have you ever failed to so at any given point?

[employee comments]
INTERPERSONAL SKILLS:

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

Do you normally take the time to build meaningful and positive relationships with others?

[employee comments]
DEVELOPING OTHERS:

Do you consult the rest of the management before you make decisions?

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

[employee comments]
POTENTIAL FOR ADVANCEMENT:

Do you carefully consider the feedback from the management or do you overlook it?

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

[employee comments]
HANDLING STRESS:

How do you know a colleague is stressed up? What skills do you use to help colleagues manage stress?

What steps have you followed in the past to avoid distractions at work and remain positive-minded?

[employee comments]
PROJECT AND GOAL FOCUS:

Is there a time when you have involved other employees in developing your goals? Give an example

What are some of the things that get you distracted when trying to achieve your goals? How have you handled this?

[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 efforts are you making to update your list of activities and track project schedules?

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:

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