Skills & Competencies for Compliance Investigator

Compliance Investigator job profile

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JOB SUMMARY for Compliance Investigator

Conducts investigations of alleged violations of the corporation's ethical standards or non-compliance with applicable laws, regulations and corporate policy.

JOB RESPONSIBILITIES for Compliance Investigator

Ensures that investigations follow the approved process, are lawfully and objectively conducted, are thorough in gathering all material facts and present an accurate accounting of the issues. Presents clear, concise, and factual reports that enable fair and relevant decisions to be made. Recommends proactive measures that will reduce the risk of similar future incidents.

Compliance Investigator SALARY RANGE

BASE 50%
$92,880
TOTAL 50%
$99,670
Job Level
P03
Job Code
FA06000720
Education/Degree
Bachelor's Degree
Reports To
Manager or Head of a Unit/Department

Compliance Investigator Skills and Competencies List

Proficiency Levels and Behavioural Indicators
Salary.com identifies five increasing levels of proficiency for each skill/competency. Some jobs require only a relatively low level of proficiency in each skill/competency, while other jobs will require a more advanced level of proficiency in the same skill/competency. These levels rate the degree of proficiency (skill level, expertise) we expect the incumbent to perform in the given skill/competency for the given job. Note that we intentionally do not associate timeframes or years of experience in performing the skill/competency because that can be misleading. Proficiency levels identify what the incumbent knows and can do rather than how long they have been doing it. Also, note that the proficiency levels are cumulative, e.g., a level 4 proficiency implies the ability to perform all the behaviors at the lower levels.
Check each Compliance Investigator skill and competencie below to view definitions.
JOB FAMILY COMPETENCIES CORE COMPETENCIES
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1 general skill or competency (Job family competency) for Compliance Investigator

1 Job Family Competencies – Compliance Monitoring
Proficiency Level -2
Skill definition-Ensuring that the staff is following all policies and procedures in our business.
Level 1 Behaviors
(General Familiarity)
Compiles a list of compliance monitoring challenges, gaps, and regulatory needs.
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Level 2 Behaviors
(Light Experience)
Assists in reviewing documentation to ensure compliance with program and federal guidelines.
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Level 3 Behaviors
(Moderate Experience)
Administers testing programs to ensure compliance with all applicable laws and regulations.
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Level 4 Behaviors
(Extensive Experience)
Creates compliance monitoring dashboards to identify and resolve compliance issues on time.
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Level 5 Behaviors
(Mastery)
Creates overall monitoring strategies to mitigate compliance and operational risks.
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3 Compliance Investigator - Skill and Competency
Proficiency Level - 3
4 Skill and Competency - Compliance Investigator
Proficiency Level - 4
5 Competency for - Compliance Investigator
Proficiency Level - 5

10 soft skills or competencies (core competencies) for Compliance Investigator

1 Core Competencies – Project Management
Proficiency Level -2
Skill definition-Applying specific knowledge, skills, tools, and techniques to manage a project from initial conception to successful completion.
Level 1 Behaviors
(General Familiarity)
Cites methods and techniques used for scheduling project deadlines.
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Level 2 Behaviors
(Light Experience)
Adheres to organizational policies to guarantee the project aligns with standards and expectations.
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Level 3 Behaviors
(Moderate Experience)
Analyses new project management tools and methodologies and reports recommendations to management.
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Level 4 Behaviors
(Extensive Experience)
Designs and sets key performance indicators to measure and track the teams' progress.
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Level 5 Behaviors
(Mastery)
Develops and oversees the execution of an adaptable standard operating procedure for projects.
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2 Core Competencies – Attention to Detail
Proficiency Level -3
Skill definition-Executing and completing a task with a high level of accuracy.
Level 1 Behaviors
(General Familiarity)
Cites steps and tips to improve attention to detail in the workplace.
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Level 2 Behaviors
(Light Experience)
Performs assigned responsibilities according to standard procedures and standards.
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Level 3 Behaviors
(Moderate Experience)
Implements a variety of cross-checking approaches and mechanisms.
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Level 4 Behaviors
(Extensive Experience)
Creates and implements quality management processes for our business.
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Level 5 Behaviors
(Mastery)
Defines possible hurdles to projects and creates strategies to deal with them.
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3 Compliance Investigator - Skill and Competency
Proficiency Level - 3
4 Skill and Competency - Compliance Investigator
Proficiency Level - 4
5 Competency for - Compliance Investigator
Proficiency Level - 5

Summary of Compliance Investigator skills and competencies

There are 0 hard skills for Compliance Investigator.
1 general skills for Compliance Investigator, Compliance Monitoring.
10 soft skills for Compliance Investigator, Project Management, Attention to Detail, Honesty And Integrity, etc.
While the list totals 11 distinct skills, it's important to note that not all are required to be mastered to the same degree. Some skills may only need a basic understanding, whereas others demand a higher level of expertise.
For instance, as a Compliance Investigator, he or she needs to be proficient in Project Management, be skilled in Attention to Detail, and be skilled in Honesty And Integrity.

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