Use this sample and step by step explanation to craft a meaningful employee performance feedback review for a director of compliance. Find the right words with quality phrases.

A director of compliance is tasked with ensuring that the company complies with the legal requirements, develops policies, and takes charge of the legislative affairs. He/she ensures that the company's policies are current, accurate and they comply with the regulations of the state as well as reviewing and updating policies as there are changes in the law.

In terms of other duties he/she will get to; develop compliance organizational strategies through research, analysis and recommendations, protect company assets by establishing compliance standards, attract new clients through constant improving of compliance systems, enforcing new regulations and recommendations and ensuring that all compliance activities are in line with all standard procedures, rules, and regulations.

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

NEGOTIATION SKILLS: Negotiation Skills are a deliberative process by which people settle their differences through an acceptable agreement to both parties to co-exist without argument and dispute in the workplace.

Keeps interrupting when the other parties are trying to put their points across.

Does not take charge of the negotiation process and allows it t go out of hand.

1

INTERVIEWING: Interviewing is an essential skill in making a sound hiring decision that seeks to find out the candidate's background, work experience, skill level, general overall intelligence, enthusiasm, attitudes, etc.

Manages emotions and feelings well enough that it does not affect the process.

Maintains a good sense of positivity before, during and after the interview.

2

STRATEGIC PLANNING: Strategic Planning is organizational management activity that is used to set priorities, focus energy and resources, strengthen operations while guaranteeing that employees and other stakeholders are working towards common goals.

Looks at only a part of the company but not as a whole during a strategic planning meeting

Develops a plan without aligning it with the budget thus makes it hard to transform the plan into action

1

MANAGEMENT SKILLS: Management Skills are also known as leadership skills and involve planning, decision making, delegation, time management and time management to ensure optimum organization in focus and the technical of how and why of accomplishing tasks.

Very poor at managing a high number of people or a high-performance team

Unable to set enough targets for the day causing slow goal achievements

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 make mistakes, asks for help and accepts criticism and compliments positively

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.

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

Considers taking a walk around the office or stepping out for fresh air in order to step away from an emotionally charged situation

2

CONSISTENCY AND RELIABILITY: Consistency and Reliability are the ability to be trusted to do what you do best all the time with or without supervision and without failure to produce results.

Constantly demands reliability from other employees and clients but not from oneself

Is not responsible for one's own actions and does not care how one's actions affect colleagues and customers

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.

Sets goals but does not keep track of the progress or celebrate the smaller goals one has achieved

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

1

GOAL AND OBJECTIVE SETTING: Goal and Objective Setting is the strategic plan that is set and laid down identifying how goals should be accomplished, by who and by what time.

Does not reward employees who have successfully attained their goals thus makes them feel demotivated to work on other goals

Does not break down a complex goal into smaller, manageable goals thus feels overwhelmed with the idea of handling it

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

Lacks determination and does not set clear goals when executing ideas

1

Self Evaluation

Self Evaluation Question

Employee Comments

NEGOTIATION SKILLS:

Have you ever been involved in any negotiation process? What did you learn from it?

Explain an instance that you hit a dead-end in a negotiation process. What did you do to reach a conclusion?

[employee comments]
INTERVIEWING:

Do you ask questions on issues that you feel are not well understood?

Give an instance you were invited for an interview that you did not meet all the requirements and how was the experience?

[employee comments]
STRATEGIC PLANNING:

If you were assigned a new project, what are the steps you would take to get the project moving and on track?

Can you describe the techniques or methods that you have used to develop a strategic plan for your company or department?

[employee comments]
MANAGEMENT SKILLS:

What role have you played in your team and their success?

Do your workers respect or fear you and do your leadership role intimidate them?

[employee comments]
ASSERTIVENESS:

Is there a time you had to speak up in order to be sure that other people knew what felt or thought?

How often do you encourage your colleagues to get into groups in order to make decisions that should be made jointly?

[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]
CONSISTENCY AND RELIABILITY:

Describe a time when you took responsibility for an error and were held personally accountable. What happened?

What has been your reaction to a colleague who regularly keeps on letting your team down?

[employee comments]
PERSONAL COMMITMENT:

Sometimes you have to sacrifice some things in life in order to get what you want. What are some of the things you have sacrificed in the past in order to accomplish your goals?

Describe a project that was implemented because of your personal commitment. What was your role in the project?

[employee comments]
GOAL AND OBJECTIVE SETTING:

How have you kept yourself motivated to accomplish your goals? How have you helped others achieve their goals?

Is there a time when you were working on an important goal, but then you realized that you couldn't achieve it when you were already halfway done? What did you do?

[employee comments]
ENTREPRENEURIAL THINKING:

Can you think of situations where you demonstrated a lot of determination despite facing obstacles and challenges?

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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