Assessment Template For Compliance Managers
Compliance Managers
Hiring success rate
78% hiring better
Test Used
18506 times
Popular Job Roles
Occupation-Specific
Technology Skills
Electronic mail software
Tasks
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Identify compliance issues that require follow-up or investigation.
- Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
- File appropriate compliance reports with regulatory agencies.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
Technology Skills
Electronic mail software
Email software, IBM Notes, Microsoft Outlook
Presentation software
Microsoft PowerPoint
Compliance software
Actimize Brokerage Compliance Solutions, MetricStream Enterprise Compliance Platform, Oracle Enterprise Governance, Risk, and Compliance Manager, Thomson Reuters Paisley Enterprise GRC
Internet browser software
Apple Safari, Microsoft Internet Explorer, Mozilla Firefox, Web browser software
Analytical or scientific software
Data analysis software, Horwath Software Magique, StataCorp Stata
Worker Requirements
Technology Skills
Electronic mail software
Skills
Critical Thinking
Knowledge
Law and Government
Skills
Critical Thinking
Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
Reading Comprehension
Understanding written sentences and paragraphs in work-related documents.
Active Listening
Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
Speaking
Talking to others to convey information effectively.
Writing
Communicating effectively in writing as appropriate for the needs of the audience.
Knowledge
Law and Government
Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
English Language
Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
Administration and Management
Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.
Customer and Personal Service
Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
Personnel and Human Resources
Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.
Worker Characteristics
Technology Skills
Electronic mail software
Skills
Critical Thinking
Knowledge
Law and Government
Abilities
Oral Expression
Interests
Conventional
Work Values
Achievement
Work Styles
Integrity
Abilities
Oral Expression
The ability to communicate information and ideas in speaking so others will understand.
Problem Sensitivity
The ability to tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing that there is a problem.
Written Expression
The ability to communicate information and ideas in writing so others will understand.
Deductive Reasoning
The ability to apply general rules to specific problems to produce answers that make sense.
Inductive Reasoning
The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
Interests
Conventional
Conventional occupations frequently involve following set procedures and routines. These occupations can include working with data and details more than with ideas. Usually there is a clear line of authority to follow.
Enterprising
Enterprising occupations frequently involve starting up and carrying out projects. These occupations can involve leading people and making many decisions. Sometimes they require risk taking and often deal with business.
Realistic
Realistic occupations frequently involve work activities that include practical, hands-on problems and solutions. They often deal with plants, animals, and real-world materials like wood, tools, and machinery. Many of the occupations require working outside, and do not involve a lot of paperwork or working closely with others.
Work Values
Achievement
Occupations that satisfy this work value are results oriented and allow employees to use their strongest abilities, giving them a feeling of accomplishment. Corresponding needs are Ability Utilization and Achievement.
Support
Occupations that satisfy this work value offer supportive management that stands behind employees. Corresponding needs are Company Policies, Supervision: Human Relations and Supervision: Technical.
Independence
Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy.
Work Styles
Integrity
Job requires being honest and ethical.
Attention to Detail
Job requires being careful about detail and thorough in completing work tasks.
Stress Tolerance
Job requires accepting criticism and dealing calmly and effectively with high-stress situations.
Dependability
Job requires being reliable, responsible, and dependable, and fulfilling obligations.
Persistence
Job requires persistence in the face of obstacles.
Our platform will answer your questions:
What are your candidate's cognitive abilities?- What's your candidate’s capacity to learn and grow?
- How will your candidates behave in the workplace?
- What drives your candidates to engage in action?