Use this sample and step by step explanation to craft a meaningful 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.

Finishes one task and moves to the next but still thinks about the task one has just finished

Does not take breaks in between tasks to reassess new information or let one's mind rest

1

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.

Sets realistic goals and develops a clear plan to accomplish them in order to avoid issues or confusion in future

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.

Does not allow others to question the level of commitment and devotion

Treats others with contempt and does not show concern for new employees

1

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 frequent changing mods that are difficult to keep up with

High rude to the coworkers and does not receive any remarks very well

1

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.

Allows oneself to be angry but still remains respectful to colleagues and clients

Listens when critics get their points out in order to get more prepared for an open exchange

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.

Suggests ways to prevent negative emotional effects and ways to address or minimize emotional issues when they occur

Talks to a trusted colleague at work or gets counseling when faced with a difficult situation

2

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

Does not make personal sacrifices like getting to work early or leaving late to complete a task or to handle challenging schedules, goals, and budgets

Lacks clear vision of where the company is headed and the goals that need to be accomplished

1

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.

Is unwilling to get rid of poor habits that waste one's time and bring distraction when performing a task

Surrounds oneself with people who are full of negativity thus easily gets discouraged to keep working on goals

1

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.

Lets new employees try to do tasks with zero guidance instead of training them the skills they need to do their job

Does not recognize employees who constantly produce exceptional work thus makes them feel unappreciated or produce substandard work

1

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

Views competitors as threats rather than making efforts to survey them and learn their tricks

Always pessimistic about all possibilities and easily falls prey to naysayers

1

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 tips have you used to differentiate tasks that fit well in multi-tasking from those that require your undivided 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?

Give a good example of a time when there was a conflict in your team, but you were able to fix it. What had happened? What did you do?

[employee comments]
DEPENDABILITY:

Can your manager depend on you to handle tasks without being asked to do so?

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

[employee comments]
WORK ATTITUDE:

Do you a right attitude to handle all types of customers, colleagues, and management?

Do you give your work a personal touch that people can put know you did it?

[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?

Have you ever been in a situation where you were motivated to question your employer's decision?

[employee comments]
EMOTION MANAGEMENT:

What is the most stressful situation you have ever found yourself in at work and how did you handle it?

Are there times you have suggested a creative solution to colleagues suffering from emotional distress?

[employee comments]
PERSONAL ACCOUNTABILITY:

What steps have you taken to improve your effectiveness in the company, workgroup and your career?

Describe a time when you had to admit to your supervisor that you had made a mistake. What happened?

[employee comments]
PERSONAL COMMITMENT:

Describe a time when you did not deliver your promise. What was the promise? How did you fix the situation?

Describe a great change that occurred in a project you were working on. How did you adapt to this change?

[employee comments]
QUALITY OF WORK:

How often have you produced low-quality work? What has prevented you from producing high-quality work?

What are some of the tools that you have used to check for information accuracy before working on it?

[employee comments]
ENTREPRENEURIAL THINKING:

Can you think of a situation where you became sidetracked from your venture? How did you correct the situation?

Are you making any efforts to become more determined to take risks?

[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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