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SALARY SURVEY 2016

SALARY SURVEY 2016 - Compliance Institute SA · Risk and Compliance... Governance, Risk and... Head of Compliance a... Head of Governance,... 0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

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Page 1: SALARY SURVEY 2016 - Compliance Institute SA · Risk and Compliance... Governance, Risk and... Head of Compliance a... Head of Governance,... 0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

SALARY SURVEY 2016

Page 2: SALARY SURVEY 2016 - Compliance Institute SA · Risk and Compliance... Governance, Risk and... Head of Compliance a... Head of Governance,... 0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

0.97% 3

0.32% 1

68.61% 212

5.50% 17

0.00% 0

0.97% 3

0.32% 1

0.65% 2

17.48% 54

0.00% 0

5.18% 16

Q1 Where are you located?Answered: 309 Skipped: 0

Total 309

Eastern Cape

Free State

Gauteng

KwaZulu Natal

Limpopo

Mpumalanga

Northern Cape

North West

Western Cape

Outside Africa

Rest of Africa

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Eastern Cape

Free State

Gauteng

KwaZulu Natal

Limpopo

Mpumalanga

Northern Cape

North West

Western Cape

Outside Africa

Rest of Africa

1 / 48

SALARY SURVEY 2016

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66.99% 207

33.01% 102

Q2 What is your gender?Answered: 309 Skipped: 0

Total 309

Female

Male

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Female

Male

2 / 48

SALARY SURVEY 2016

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0.66% 2

41.31% 126

29.84% 91

10.16% 31

14.75% 45

0.33% 1

2.95% 9

Q3 To which ethnic group do you belong? This question is purely for statistical

purposes but is not compulsory.Answered: 305 Skipped: 4

Total 305

Asian

Black

Caucasian

Coloured

Indian

Other

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Asian

Black

Caucasian

Coloured

Indian

Other

Other (please specify)

3 / 48

SALARY SURVEY 2016

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0.00% 0

1.62% 5

12.62% 39

25.24% 78

22.98% 71

15.86% 49

10.36% 32

5.83% 18

4.21% 13

1.29% 4

0.00% 0

Q4 To which age group do you belong?Answered: 309 Skipped: 0

Total 309

Younger than 20

20 to 24

25 to 29

30 to 34

35 to 39

40 to 44

45 to 49

50 to 54

55 to 59

60 to 64

Over 65

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Younger than 20

20 to 24

25 to 29

30 to 34

35 to 39

40 to 44

45 to 49

50 to 54

55 to 59

60 to 64

Over 65

4 / 48

SALARY SURVEY 2016

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9.28% 27

31.62% 92

29.90% 87

20.62% 60

8.59% 25

Q5 How many years of complianceexperience do you have in total?This does

not have to be consecutive.Answered: 291 Skipped: 18

Total 291

0 to 1 year

1 to less than5 years

5 to less than10 years

10 to lessthan 15 years

More than 15years

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

0 to 1 year

1 to less than 5 years

5 to less than 10 years

10 to less than 15 years

More than 15 years

5 / 48

SALARY SURVEY 2016

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12.03% 35

14.78% 43

15.81% 46

10.31% 30

8.25% 24

22.68% 66

16.15% 47

Q6 How long have you worked for yourcurrent employer?

Answered: 291 Skipped: 18

Total 291

Less than oneyear

1 to less than2 years

2 to less than3 years

3 to less than4 years

4 to less than5 years

5 to less then10 years

More than 10years

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Less than one year

1 to less than 2 years

2 to less than 3 years

3 to less than 4 years

4 to less than 5 years

5 to less then 10 years

More than 10 years

6 / 48

SALARY SURVEY 2016

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15.12% 44

35.05% 102

13.40% 39

11.00% 32

2.06% 6

0.34% 1

7.22% 21

4.81% 14

2.41% 7

2.41% 7

6.19% 18

Q7 Which job title would BEST describeyour current position?

Answered: 291 Skipped: 18

Total 291

ComplianceAssistant

ComplianceOfficer

ComplianceManager

Head ofCompliance

ChiefCompliance...

ComplianceDirector

Legal Advisor

Risk andCompliance...

Governance,Risk and...

Head ofCompliance a...

Head ofGovernance,...

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Compliance Assistant

Compliance Officer

Compliance Manager

Head of Compliance

Chief Compliance Officer

Compliance Director

Legal Advisor

Risk and Compliance Manager

Governance, Risk and Compliance Manager

Head of Compliance and Risk

Head of Governance, Risk and Compliance

7 / 48

SALARY SURVEY 2016

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8 / 48

SALARY SURVEY 2016

Page 10: SALARY SURVEY 2016 - Compliance Institute SA · Risk and Compliance... Governance, Risk and... Head of Compliance a... Head of Governance,... 0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

Q8 In what sector or industry does yourorganisation primarily operate?

Answered: 291 Skipped: 18

Consulting

Education andTraining

Energy

Employeebenefits

Finance(banking)

Finance(banking...

Finance(banking...

Finance(insurance -...

Finance(insurance -...

Finance(wealth...

Government -local

Government -provincial

Government -national

Health(insurance,...

Hospitality

IT

Manufacturing

Mining

Non Profit

Pharmaceuticals

9 / 48

SALARY SURVEY 2016

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1.72% 5

1.37% 4

1.72% 5

0.34% 1

16.49% 48

5.84% 17

1.72% 5

8.93% 26

11.68% 34

11.68% 34

1.72% 5

1.03% 3

4.12% 12

2.75% 8

0.34% 1

0.34% 1

2.41% 7

0.34% 1

1.03% 3

0.34% 1

4.12% 12

1.37% 4

1.37% 4

0.00% 0

Regulator

Retails/Wholesale

Telecommunications

Water

Utilities

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Consulting

Education and Training

Energy

Employee benefits

Finance (banking)

Finance (banking retail)

Finance (banking wholesale)

Finance (insurance - short term)

Finance (insurance - long term)

Finance (wealth management)

Government - local

Government - provincial

Government - national

Health (insurance, care delivery, hospitals)

Hospitality

IT

Manufacturing

Mining

Non Profit

Pharmaceuticals

Regulator

Retails/Wholesale

Telecommunications

Water

10 / 48

SALARY SURVEY 2016

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0.00% 0

17.18% 50

Total 291

Utilities

Other (please specify)

11 / 48

SALARY SURVEY 2016

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31.62% 92

68.38% 199

Q9 Have you been employed in more thanone industry or sector as a compliance

officer?Answered: 291 Skipped: 18

Total 291

Yes

No

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes

No

12 / 48

SALARY SURVEY 2016

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10.65% 31

30.93% 90

19.59% 57

2.75% 8

0.69% 2

35.40% 103

Q10 Have you found your skills easilytransferable between industries or sectors?

Answered: 291 Skipped: 18

Total 291

Very easilytransferable...

Easilytransferable...

Transferablewith quite a...

Not easilytransferable...

Nottransferable...

Not applicable

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Very easily transferable with minimal additional knowledge required

Easily transferable with some additional training or knowledge required

Transferable with quite a lot of additional training or knowledge required

Not easily transferable - had to undergo significant retraining or take a much more junior position to learn on the job

Not transferable at all

Not applicable

13 / 48

SALARY SURVEY 2016

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7.89% 22

14.34% 40

22.22% 62

21.15% 59

19.35% 54

6.81% 19

5.02% 14

2.51% 7

0.72% 2

Q11 In ZAR, what is your salary range(package value EXCLUDING potential

bonuses, but including allowances, etc.)?Answered: 279 Skipped: 30

Total 279

<ZAR250 000

R250 001 toR350 000

R350 001 toR500 000

R500 001 toR750 000

R750 001 to R1000 000

R1 000 001 toR1 250 000

R1 250 001 toR1 500 000

R1 500 001 toR2 000 000

>R2 000 001

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

<ZAR250 000

R250 001 to R350 000

R350 001 to R500 000

R500 001 to R750 000

R750 001 to R1 000 000

R1 000 001 to R1 250 000

R1 250 001 to R1 500 000

R1 500 001 to R2 000 000

>R2 000 001

14 / 48

SALARY SURVEY 2016

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6.50% 18

20.58% 57

18.41% 51

11.91% 33

11.19% 31

7.58% 21

12.27% 34

11.55% 32

Q12 If you are entitled to a bonus, what isthe maximum you could receive (expressed

as a percentage of your base salary)?Answered: 277 Skipped: 32

Total 277

Less than 5%

5% to lessthan 10%

10% to lessthan 20%

20% to lessthan 30%

30% to lessthan 40%

40% to lessthan 50%

More than 50%

Not applicable

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Less than 5%

5% to less than 10%

10% to less than 20%

20% to less than 30%

30% to less than 40%

40% to less than 50%

More than 50%

Not applicable

15 / 48

SALARY SURVEY 2016

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16.49% 46

9.68% 27

20.79% 58

18.64% 52

10.39% 29

6.81% 19

7.53% 21

9.68% 27

Q13 For LAST YEAR, what bonus did youreceive (expressed as a percentage of your

base salary)?Answered: 279 Skipped: 30

Total 279

Not applicable

Less than 5%

5% to lessthan 10%

10 to lessthan 20%

20% to lessthan 30%

30% to lessthan 40%

40% to lessthan 50%

More than 50%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Not applicable

Less than 5%

5% to less than 10%

10 to less than 20%

20% to less than 30%

30% to less than 40%

40% to less than 50%

More than 50%

16 / 48

SALARY SURVEY 2016

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5.88% 16

8.09% 22

2.21% 6

36.03% 98

16.91% 46

17.65% 48

12.50% 34

0.00% 0

0.74% 2

Q14 What is your HIGHEST level of tertiaryeducation?

Answered: 272 Skipped: 37

Total 272

Certificate

Diploma

OccupationalQualificatio...

Degree

Post GraduateDiploma

Honours

Master

Doctorate

I don't haveany formal...

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Certificate

Diploma

Occupational Qualification : Compliance Officer

Degree

Post Graduate Diploma

Honours

Master

Doctorate

I don't have any formal qualifications

17 / 48

SALARY SURVEY 2016

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19.85% 54

19.12% 52

32.35% 88

11.40% 31

1.47% 4

2.21% 6

56.25% 153

4.04% 11

2.94% 8

Q15 In what areas are your tertiaryqualifications? Please select as many as

are applicable.Answered: 272 Skipped: 37

Accounting

BusinessAdministrati...

Compliance

Economics

Education

Human Resources

Law

Marketing

ProjectManagement

Psychology

Risk Management

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Accounting

Business Administration/Management

Compliance

Economics

Education

Human Resources

Law

Marketing

Project Management

18 / 48

SALARY SURVEY 2016

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4.41% 12

13.97% 38

12.87% 35

Total Respondents: 272

Psychology

Risk Management

Other (please specify)

19 / 48

SALARY SURVEY 2016

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0.00% 0

47.06% 128

52.94% 144

Q16 Do you have accreditations, certificatesor designations from other professionalbodies like the Compliance Institute SA?

Answered: 272 Skipped: 37

Total 272

Yes

No

If Yes, pleaseprovide details

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes

No

If Yes, please provide details

20 / 48

SALARY SURVEY 2016

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3.05% 8

2.29% 6

6.11% 16

6.11% 16

21.37% 56

13.36% 35

18.70% 49

8.78% 23

20.23% 53

Q17 Approximately how many full-timeemployees work in your organisation?

Answered: 262 Skipped: 47

Total 262

Less than 10

10 to 19

20 to 49

50 to 99

100 but lessthan 499

500 to 999

1 000 to 4 999

5 000 to 9 999

10 000 or more

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Less than 10

10 to 19

20 to 49

50 to 99

100 but less than 499

500 to 999

1 000 to 4 999

5 000 to 9 999

10 000 or more

21 / 48

SALARY SURVEY 2016

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5.73% 15

5.73% 15

14.89% 39

8.40% 22

9.92% 26

12.60% 33

42.75% 112

Q18 What was the annual revenue of yourorganisation in the last financial year or

operating budget of your governmentdepartment?

Answered: 262 Skipped: 47

Total 262

less than ZAR4999 999

ZAR5 000 000to ZAR9 999 999

ZAR10 000 000to ZAR49 999...

ZAR50 000 000to ZAR99 999...

ZAR100 000 000to ZAR499 99...

ZAR500 000 000to ZAR999 99...

more thanZAR1bn

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

less than ZAR4 999 999

ZAR5 000 000 to ZAR9 999 999

ZAR10 000 000 to ZAR49 999 999

ZAR50 000 000 to ZAR99 999 999

ZAR100 000 000 to ZAR499 999 999

ZAR500 000 000 to ZAR999 999 999

more than ZAR1bn

22 / 48

SALARY SURVEY 2016

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15.18% 34

34.82% 78

12.05% 27

12.95% 29

4.46% 10

2.68% 6

17.86% 40

Q19 How many full-time people (includingyourself) are employed in your compliance

department?Answered: 224 Skipped: 85

Total 224

1

2 to 4

5 to 6

7 to 10

11 to 15

16 to 20

more than 20

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

1

2 to 4

5 to 6

7 to 10

11 to 15

16 to 20

more than 20

23 / 48

SALARY SURVEY 2016

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41.07% 92

58.93% 132

Q20 Do you have an allocated compliancebudget and/or resources for which you are

responsible?Answered: 224 Skipped: 85

Total 224

Yes

No

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes

No

24 / 48

SALARY SURVEY 2016

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59.82% 134

12.50% 28

8.93% 20

8.93% 20

4.46% 10

1.34% 3

1.34% 3

0.00% 0

2.68% 6

Q21 If Yes, please indicate the amount ofyour budget?

Answered: 224 Skipped: 85

Total 224

Not applicable

Less thanZAR500 000

ZAR500 000 toZAR999 999

ZAR1 000 000to ZAR4 999 999

ZAR5 000 000to ZAR9 999 999

ZAR10 000 000to ZAR19 999...

ZAR20 000 000to ZAR49 999...

ZAR50 000 000to ZAR99 999...

more than ZAR1000 000

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Not applicable

Less than ZAR500 000

ZAR500 000 to ZAR999 999

ZAR1 000 000 to ZAR4 999 999

ZAR5 000 000 to ZAR9 999 999

ZAR10 000 000 to ZAR19 999 999

ZAR20 000 000 to ZAR49 999 999

ZAR50 000 000 to ZAR99 999 999

more than ZAR1 000 000

25 / 48

SALARY SURVEY 2016

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55.36% 124

27.68% 62

40.63% 91

25.89% 58

37.50% 84

35.71% 80

23.21% 52

Q22 What does this budget cover? Pleasetick all applicable items

Answered: 224 Skipped: 85

Total Respondents: 224

Not applicable

Salaries

Education andtraining

Publicationsor regulator...

Membership fees

Conferences

IT systems

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Not applicable

Salaries

Education and training

Publications or regulatory alerts

Membership fees

Conferences

IT systems

26 / 48

SALARY SURVEY 2016

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30.80% 69

2.68% 6

4.02% 9

8.04% 18

12.50% 28

14.73% 33

8.93% 20

5.80% 13

12.50% 28

Q23 What is your annual budget allocationfor staff training, per staff member, within

the compliance function?Answered: 224 Skipped: 85

Total 224

0

less thanZAR999

ZAR1 000 toZAR2 499

ZAR2 500 toZAR4 999

ZAR5 000 toZAR9 999

ZAR10 000 toZAR19 999

ZAR20 000 toZAR29 999

ZAR30 000 TOZAR49 999

More thanZAR50 000

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

0

less than ZAR999

ZAR1 000 to ZAR2 499

ZAR2 500 to ZAR4 999

ZAR5 000 to ZAR9 999

ZAR10 000 to ZAR19 999

ZAR20 000 to ZAR29 999

ZAR30 000 TO ZAR49 999

More than ZAR50 000

27 / 48

SALARY SURVEY 2016

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56.25% 126

16.07% 36

27.68% 62

Q24 In the past 5 years, has the resourcingand investment in your compliance function

Answered: 224 Skipped: 85

Total 224

Increased

Decreased

Stayed the same

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Increased

Decreased

Stayed the same

28 / 48

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68.30% 153

0.00% 0

31.70% 71

Q25 Do you feel that your compliancedepartment is:

Answered: 224 Skipped: 85

Total 224

Under resourced

Over resourced

About right

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Under resourced

Over resourced

About right

29 / 48

SALARY SURVEY 2016

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31.70% 71

37.50% 84

5.80% 13

20.54% 46

4.02% 9

78.57% 176

31.70% 71

8.04% 18

35.27% 79

45.98% 103

Q26 What do you believe are the three topprimary roles of compliance in your

organisation?Answered: 224 Skipped: 85

Contributingto the...

Ensuringcompliance t...

Fosteringsustainability

Helping thebusiness to ...

Influencingbrand...

Making sureregulations ...

Managing therisk owned b...

Protecting thebusiness by...

Providing abridge betwe...

Raisingawareness...

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Contributing to the organisation's culture

Ensuring compliance to internal policies

Fostering sustainability

Helping the business to do better business

Influencing brand perceptions/reputation in the community

Making sure regulations and laws are complied with

Managing the risk owned by the business

Protecting the business by setting rules and targets

Providing a bridge between regulators and the internal environment

Raising awareness internally of compliance issues

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0.89% 2

Total Respondents: 224

Other (please specify)

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44.20% 99

66.96% 150

43.75% 98

20.98% 47

23.66% 53

29.91% 67

51.34% 115

38.84% 87

1.34% 3

Q27 What aspects of your complianceactivities take up most of your resources ona regular basis?Please select the top three.

Answered: 224 Skipped: 85

Total Respondents: 224

Implementingnew projects...

Monitoringcompliance

Reporting (toany and all...

Reporting (toany and all...

Continuousimprovement ...

Training ansupporting...

Monitoring andkeeping up t...

Administrationof the...

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Implementing new projects in response to legislative or regulatory changes

Monitoring compliance

Reporting (to any and all levels above you)

Reporting (to any and all regulators as required)

Continuous improvement of your programme

Training an supporting staff throughout the organisation to be compliant or adhere to compliance risk management policies

Monitoring and keeping up to date with your knowledge of regulatory and legislative changes

Administration of the compliance programme - collecting and managing data, paperwork and other requirements

Other (please specify)

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36.94% 82

10.36% 23

41.44% 92

3.60% 8

35.59% 79

12.61% 28

14.41% 32

13.96% 31

Q28 Where does your compliancedepartment report?You may choose more

than one if you have multiple reportinglines.

Answered: 222 Skipped: 87

Total Respondents: 222

Board

Business UnitManager

CEO orequivalent

CompanySecretary

Head ofCompliance

Head of Legal

Head of Risk

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Board

Business Unit Manager

CEO or equivalent

Company Secretary

Head of Compliance

Head of Legal

Head of Risk

Other (please specify)

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48.65% 108

51.35% 114

Q29 Does your organisation have acompliance committee?

Answered: 222 Skipped: 87

Total 222

Yes

No

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes

No

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42.34% 94

21.62% 48

14.41% 32

8.11% 18

3.60% 8

0.90% 2

9.01% 20

Q30 How many compliance teams orgroups do you have across your

organisation?Answered: 222 Skipped: 87

Total 222

1

2 to 4

5 to 6

7 to 10

11 to 15

16 to 20

more than 20

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

1

2 to 4

5 to 6

7 to 10

11 to 15

16 to 20

more than 20

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47.75% 106

13.96% 31

33.78% 75

3.15% 7

1.35% 3

Q31 Are any of the compliance and riskfunctions in your organisation combined?

Answered: 222 Skipped: 87

Total 222

Partly

All

No

N/A

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Partly

All

No

N/A

Other (please specify)

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9.46% 21

25.68% 57

31.08% 69

18.02% 40

15.77% 35

Q32 How many layers are there betweenyou and the board (or equivalent) of your

organisation?Answered: 222 Skipped: 87

Total 222

None - Ireport to th...

One - I reportto the CEO

Two

Three

More than three

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

None - I report to the board

One - I report to the CEO

Two

Three

More than three

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49.55% 110

17.57% 39

7.66% 17

6.31% 14

18.92% 42

Q33 Do you prepare reports for the board?Answered: 222 Skipped: 87

Total 222

Regularly

Sometimes

Rarely

Only ininstances wh...

Never

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Regularly

Sometimes

Rarely

Only in instances where there is an issue or a breach

Never

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16.22% 36

23.87% 53

15.77% 35

6.31% 14

37.84% 84

Q34 Do you have to do presentations to theboard?

Answered: 222 Skipped: 87

Total 222

Regularly

Sometimes

Rarely

Only ininstances wh...

Never

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Regularly

Sometimes

Rarely

Only in instances where there is an issue or breach

Never

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49.10% 109

20.72% 46

13.96% 31

16.22% 36

Q35 Do you interact with the regulators onbehalf of your organisation?

Answered: 222 Skipped: 87

Total 222

Regularly

Sometimes

Rarely

Never

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Regularly

Sometimes

Rarely

Never

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44.14% 98

18.02% 40

9.46% 21

5.86% 13

22.52% 50

Q36 Please indicate how many jurisdictionsfor which you are responsible for in terms

of compliance?Answered: 222 Skipped: 87

Total 222

1

2

3

4

5 or more

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

1

2

3

4

5 or more

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96.74% 208

3.26% 7

Q37 Are you a member of the ComplianceInstitute SA?

Answered: 215 Skipped: 94

Total 215

Yes

No

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes

No

42 / 48

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22.79% 49

77.21% 166

Q38 Have you written the Board I exam?Answered: 215 Skipped: 94

Total 215

Yes

No

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes

No

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24.65% 53

75.35% 162

Q39 Has the Compliance Practitionerdesignation been conferred upon you?

Answered: 215 Skipped: 94

Total 215

Yes

No

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes

No

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89.30% 192

8.84% 19

1.86% 4

Q40 Do you think that specialist compliancetraining is necessary for someone in a

compliance role?Answered: 215 Skipped: 94

Total 215

Yes

Neutral

No

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes

Neutral

No

45 / 48

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86.05% 185

40.00% 86

50.70% 109

16.74% 36

46.98% 101

62.79% 135

32.09% 69

5.58% 12

7.44% 16

Q41 What are some of the criteria that youlook for when selecting staff for a

compliance role?Answered: 215 Skipped: 94

Total Respondents: 215

Complianceexperience

Riskmanagement...

Compliancequalifications

Riskmanagement...

Legalqualifications

Appropriatebusiness or...

Industry orbusiness...

Not applicable

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Compliance experience

Risk management experience

Compliance qualifications

Risk management qualifications

Legal qualifications

Appropriate business or industry experience

Industry or business specialist knowledge

Not applicable

Other (please specify)

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46.98% 101

62.79% 135

73.49% 158

33.49% 72

45.58% 98

73.49% 158

51.63% 111

6.98% 15

Q42 Which of the following skills trainingdo you feel would benefit a compliance

officer?Answered: 215 Skipped: 94

Total Respondents: 215

Changemanagement...

Ethics

Governance

Generalmanagement...

Projectmanagement...

Riskmanagement...

Strategicmanagement...

Other (pleasespecify)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Change management principles

Ethics

Governance

General management principles

Project management principles

Risk management principles

Strategic management principles

Other (please specify)

47 / 48

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98.43% 125

94.49% 120

89.76% 114

62.99% 80

91.34% 116

87.40% 111

85.04% 108

89.76% 114

96.06% 122

90.55% 115

Q43 AddressAnswered: 127 Skipped: 182

Answer Choices Responses

Name

Company

Address

Address 2

City/Town

State/Province

ZIP/Postal Code

Country

Email Address

Phone Number

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