Use this sample and step by step explanation for setting meaningful and inspiring employee performance goals for a compliance officer.

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 Goals Sample

Employee's Name: Title:
Review Period: __/__/__ to __/__/__ Employee SSN:
Work Location: Supervisor's Name:


  1. Setting Goals: List specific goals in the space provided below each competency under "Performance Goals". Assign an appropriate timeline for each goal as well as numeric or financial terms to measure the goal.
  2. Employee Comments: The employee must comment next to each goal under "Employee Comments" with "Okay" for goals which he/she feels comfortable working with, and "Needs Clarification" for goals which he/she believes need to be discussed further. An employee who is comfortable with all the goals can sign the goals at this stage.
  3. Summary: Give a summary of the total time estimated for the employee to have achieved the goals. State action plans and specific milestones to track the goals. Any additional comments agreed between the employee and the supervisor should be noted here.
  4. Human Resources Review: Human resources personnel must confirm that the goals are specific, measurable, achievable, relevant, and time-bound. He/she must then sign the goals in the "Human Resource" section provided under "Signatures".
  5. Signatures: When discussion of the goals has been completed and consensus has been reached, sign the goals and let the employee sign too. Send the final copy to the human resources for inclusion in the employee's professional records.

Performance Goals for Next Period

Performance Goals

Employee Comments


Decide on a distinct set of tasks that one needs to accomplish and stick to them, and put additional related tasks on a new list for next time

Assign complex tasks or projects for the time one is most productive such as early in the morning

[employee comments goal]

Mine the best experiences of one's life and share one's wisdom from a unique point of view in order to inspire someone

Avoid talking when one doesn't have anything positive to say about a colleague to avoid hurting or upsetting them

[employee comments goal]

Invest in character that builds the actual spirit of teamwork

Receive positive and negative criticism well with an open mind

[employee comments goal]

Allow others to speak their mind without feeling of anger rising inside

Desire to always work to the very best of your ability

[employee comments goal]

Avoid any form of argument or defensiveness and try as much as possible to maintain calm

Explore alternative solutions to problems and look for ways to prevent them in future

[employee comments goal]

Always stop before making a decision to give oneself a chance to think how that decision might affect others

Learn to step away from extreme emotions of distress to allow time to calm down

[employee comments goal]

Create a personal mission statement that conveys one's core values and defines why one has to meet specific goals

Learn when to ask for permission and when one has full responsibility to proceed on to a certain task

[employee comments goal]

Break down the complex tasks into smaller, manageable parts in order to remain focused and avoid being overwhelmed

Create habits that are going to lead one down to the right path to accomplishing the committed goal or task

[employee comments goal]

Measure employees' performance and provide feedback to let them know the areas that they are excelling and those that need to be worked on

Fix mistakes as soon as they occur and devise ways to prevent them from occurring again

[employee comments goal]

Develop more confidence when going against the majority and when doing something new and different

Avoid jumping blindly into action and always consider the likelihood of failure

[employee comments goal]


Sections 1-2: To be completed by the supervisor

Section 3: To be completed by the employee

1. Goals completed since last performance feedback

2. Goals for next period

3. Employee comments


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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