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%
$94,188
TOTAL 50%
$101,067
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)
Lists the basic functions and features of the compliance monitoring system.
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Level 2 Behaviors
(Light Experience)
Supports the auditing and monitoring of business activities to ensure compliance with regulations.
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Level 3 Behaviors
(Moderate Experience)
Utilizes advanced tools to monitor potential compliance risks and adherence to the company policy.
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Level 4 Behaviors
(Extensive Experience)
Recommends improvement opportunities for compliance monitoring to achieve the objectives.
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Level 5 Behaviors
(Mastery)
Promotes the use of a compliance monitoring system to maintain adherence to rules and regulations.
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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)
Illustrates the difference between initiating, planning, executing, and closing a project.
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Level 2 Behaviors
(Light Experience)
Gathers and tracks relevant data and information and reports updates to management.
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Level 3 Behaviors
(Moderate Experience)
Implements a flexible project framework to prevent unnecessary disruption.
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Level 4 Behaviors
(Extensive Experience)
Monitors project progress, quality, deadlines, and other key metrics to ensure timely completion.
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Level 5 Behaviors
(Mastery)
Mediates project negotiations, scopes, and assigned resources at project inception to assure project success.
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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)
Lists best practices and tools to maintain high accuracy and thoroughness in the workplace.
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Level 2 Behaviors
(Light Experience)
Uses checklists to ensure that information goes out error-free.
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Level 3 Behaviors
(Moderate Experience)
Suggests solutions to issues that arise while executing the tasks.
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Level 4 Behaviors
(Extensive Experience)
Employs techniques for motivating personnel to meet or exceed accuracy goals.
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Level 5 Behaviors
(Mastery)
Leads the creation of tools for enhancing and assuring accuracy.
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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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