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%
$142,223
TOTAL 50%
$162,199
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)
Cites examples of training methods to improve employee engagement.
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Level 2 Behaviors
(Light Experience)
Enters training completion data into the management system to ensure an accurate reflection of performance progress.
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Level 3 Behaviors
(Moderate Experience)
Coaches others on the techniques of effectively delivering training sessions.
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Level 4 Behaviors
(Extensive Experience)
Leads the coordination of internal and external training programs to promote employee development.
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Level 5 Behaviors
(Mastery)
Designs effective training and development programs to strengthen technical and management skills.
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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)
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 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)
Cites potential challenges and workplace issues in delegating tasks that may impede well coordinated work.
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Level 2 Behaviors
(Light Experience)
Assists in identifying and breaking tasks into a sequence of steps for a more organized task plan.
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Level 3 Behaviors
(Moderate Experience)
Aligns tasks and priorities with business goals and objectives.
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Level 4 Behaviors
(Extensive Experience)
Creates programs to improve planning and organization of work to achieve business objectives.
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Level 5 Behaviors
(Mastery)
Builds and designs organizational systems and planning tools to enhance overall productivity.
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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)
Describes the traits and characteristics of a skilled coordinator.
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Level 2 Behaviors
(Light Experience)
Applies time management skills to minimize scheduling conflicts.
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Level 3 Behaviors
(Moderate Experience)
Adjusts priorities and job duties of others according to the changing environment.
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Level 4 Behaviors
(Extensive Experience)
Consults on the obstacles, conflicts, and challenges in achieving a business goal.
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Level 5 Behaviors
(Mastery)
Adapts strategic plans with agility rather than waiting for problems to arise.
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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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