Skills & Competencies for Compliance Supervisor

Compliance Supervisor job profile

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JOB SUMMARY for Compliance Supervisor

Supervises the compliance programs, policies, reporting, and practices for an organization or business.

JOB RESPONSIBILITIES for Compliance Supervisor

Monitors all activities impacted by regulatory requirements related to the organization's governance and any industry-specific or location-specific laws. Utilizes established internal controls and auditing systems that monitor and report on regulated activities and processes. Implements risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Implements changes to compliance processes due to new or amended regulations. Supports communication and training initiatives that inform stakeholders about compliance requirements.

Compliance Supervisor SALARY RANGE

BASE 50%
$105,766
TOTAL 50%
$111,039
Job Level
M01
Job Code
FA06001031
Education/Degree
Bachelor's Degree
Reports To
Manager or Head of a Unit/Department

Compliance Supervisor 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 Supervisor 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 Supervisor

1 Job Family Competencies – Training and Development
Proficiency Level -2
Skill definition-The process of improving the job performance of an individual or group through structured and planned training sessions.
Level 1 Behaviors
(General Familiarity)
Explains the importance and benefits of the training and development process.
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Level 2 Behaviors
(Light Experience)
Prepares instructional materials and programs using proper training methods.
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Level 3 Behaviors
(Moderate Experience)
Designs engaging and media-rich instructional to support training and continued learning and development.
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Level 4 Behaviors
(Extensive Experience)
Oversees the training sessions for employee skill enhancement.
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Level 5 Behaviors
(Mastery)
Keeps abreast of new developments and innovations related to training and development.
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2 Job Family Competencies – Compliance Monitoring
Proficiency Level -3
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 Supervisor - Skill and Competency
Proficiency Level - 3
4 Skill and Competency - Compliance Supervisor
Proficiency Level - 4
5 Competency for - Compliance Supervisor
Proficiency Level - 5

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

1 Core Competencies – Knowledge Management
Proficiency Level -2
Skill definition-The process of identifying, using, sharing, and maintaining an organization's intellectual assets, best practices, product innovations, etc. to improve organizational performance.
Level 1 Behaviors
(General Familiarity)
Explains the differences among data, information, and knowledge.
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Level 2 Behaviors
(Light Experience)
Prepares brochures and presentation materials for related training sessions.
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Level 3 Behaviors
(Moderate Experience)
Suggests content and technological enhancements for knowledge management system improvement.
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Level 4 Behaviors
(Extensive Experience)
Integrates knowledge management systems with other IT and business systems to drive collaboration.
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Level 5 Behaviors
(Mastery)
Leads the development of a knowledge management strategy and associated implementation plans.
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2 Core Competencies – Planning and Organizing
Proficiency Level -3
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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3 Compliance Supervisor - Skill and Competency
Proficiency Level - 3
4 Skill and Competency - Compliance Supervisor
Proficiency Level - 4
5 Competency for - Compliance Supervisor
Proficiency Level - 5

Summary of Compliance Supervisor skills and competencies

There are 0 hard skills for Compliance Supervisor.
2 general skills for Compliance Supervisor, Training and Development, Compliance Monitoring.
10 soft skills for Compliance Supervisor, Knowledge Management, Planning and Organizing, Coordination, 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 Supervisor, he or she needs to be proficient in Knowledge Management, be skilled in Planning and Organizing, and be proficient in Coordination.

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