Skills & Competencies for Compliance Investigation Manager

Compliance Investigation Manager job profile

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JOB SUMMARY for Compliance Investigation Manager

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

JOB RESPONSIBILITIES for Compliance Investigation Manager

Assigns investigations to professional staff and ensures that staff follows approved investigation procedures. Ensures that investigations are properly documented and reports findings to authorities as needed. Helps develop compliance training and recommends proactive measures that will reduce the risk of future violations or non-compliance.

Compliance Investigation Manager SALARY RANGE

BASE 50%
$140,626
TOTAL 50%
$160,380
Job Level
M03
Job Code
FA06000719
Education/Degree
Bachelor's Degree
Reports To
Head of a Unit/Department

Compliance Investigation Manager 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 Investigation Manager skill and competencie below to view definitions.
JOB FAMILY COMPETENCIES CORE COMPETENCIES
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2 general skills or competencies (Job family competencies) for Compliance Investigation Manager

1 Job Family Competencies – Training Management
Proficiency Level -2
Skill definition-Administrating, creating, documentation, tracking, and reporting training programs to drive improvements to the performance and productivity of employees.
Level 1 Behaviors
(General Familiarity)
Explains the importance of implementing effective training programs in our organization.
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Level 2 Behaviors
(Light Experience)
Prepares necessary materials to support the creation of training programs for employees.
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Level 3 Behaviors
(Moderate Experience)
Leads the development of training needs questionnaires.
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Level 4 Behaviors
(Extensive Experience)
Provides training and guidance to the management to increase workforce flexibility.
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Level 5 Behaviors
(Mastery)
Leads the design of advanced tools and methods for training needs assessment and evaluation.
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2 Job Family Competencies – Compliance Monitoring
Proficiency Level -4
Skill definition-Ensuring that the staff is following all policies and procedures in our business.
Level 1 Behaviors
(General Familiarity)
Identifies the guiding principles of corporate compliance monitoring.
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Level 2 Behaviors
(Light Experience)
Gathers necessary information to support compliance monitoring and assessment.
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Level 3 Behaviors
(Moderate Experience)
Performs procedure analytics and monitoring to identify potential violations.
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Level 4 Behaviors
(Extensive Experience)
Oversees the overall development and implementation of the compliance monitoring plan.
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Level 5 Behaviors
(Mastery)
Improves your organization's compliance monitoring plans by staying abreast of the latest laws and regulations.
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3 Compliance Investigation Manager - Skill and Competency
Proficiency Level - 3
4 Skill and Competency - Compliance Investigation Manager
Proficiency Level - 4
5 Competency for - Compliance Investigation Manager
Proficiency Level - 5

10 soft skills or competencies (core competencies) for Compliance Investigation Manager

1 Core Competencies – Planning and Organizing
Proficiency Level -4
Skill definition-Managing and prioritizing resources and workloads by creating well-organized plans to attain organizational goals and objectives.
Level 1 Behaviors
(General Familiarity)
Explains the importance of planning and organization in building a good working environment.
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Level 2 Behaviors
(Light Experience)
Identifies key implications of ineffective planning and organization that affects decision-making.
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Level 3 Behaviors
(Moderate Experience)
Leverages key performance indicators to measure progress completion against performance metrics.
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Level 4 Behaviors
(Extensive Experience)
Manages the planning and sequencing of activities to create well-planned schedules and achieve goals on time.
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Level 5 Behaviors
(Mastery)
Establishes standards for planning and organization processes to align efforts with business goals.
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2 Core Competencies – Coordination
Proficiency Level -4
Skill definition-Ability to plan, execute, and adjust job duties to achieve business goals.
Level 1 Behaviors
(General Familiarity)
Lists the roles and responsibilities of coordination in the workplace.
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Level 2 Behaviors
(Light Experience)
Selects and utilizes tracking tools to manage daily tasks.
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Level 3 Behaviors
(Moderate Experience)
Delegates and coordinates a team's duties to ensure no overlap between responsibilities.
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Level 4 Behaviors
(Extensive Experience)
Facilitates groups and diverse areas to work together effectively.
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Level 5 Behaviors
(Mastery)
Leads in the establishment of best practices for planning multiple activities.
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3 Compliance Investigation Manager - Skill and Competency
Proficiency Level - 3
4 Skill and Competency - Compliance Investigation Manager
Proficiency Level - 4
5 Competency for - Compliance Investigation Manager
Proficiency Level - 5

Summary of Compliance Investigation Manager skills and competencies

There are 0 hard skills for Compliance Investigation Manager.
2 general skills for Compliance Investigation Manager, Training Management, Compliance Monitoring.
10 soft skills for Compliance Investigation Manager, Planning and Organizing, Coordination, Conflict Resolution, etc.
While the list totals 12 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 Investigation Manager, he or she needs to be skilled in Planning and Organizing, be skilled in Coordination, and be skilled in Conflict Resolution.

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