Compliance Auditing

Are your employees in compliance?

Compliance auditing is a form of mystery shopping in which employees are tested for being in compliance with a regulatory body. Whether that’s the federal government, an association, company policy or management’s rule, ensure your employees are in compliance with your required standards and guidelines.

  • Test Employees for Compliance with Disclosures, Standards, Laws, and More
  • Anonymous and Objective
  • Useful for Ensuring Regulatory Compliance
  • Material Uploads, Video and Audio Shops too

Are your servers checking ID’s before serving alcohol? Are your agents giving federal disclosures before opening accounts or in compliance with the Fair Lending Laws? Are you in compliance with the Federal Trade Commission’s pricing accuracy laws? Is the wet floor sign in good condition and properly displayed? What areas at your business are in compliance with OSHA, the Occupational Safety and Health Administration? What paper and verbal disclosures are your new patients receiving? When you’re not supervising, are your employees representing your brand well?

“We know our employees are in compliance”

“I knew my staff were not carding guests and I had a feeling they were giving away product. With CX Orlando’s program, we are in compliance with state, local and federal laws and I feel much better when I’m away from the venue.”

Phillip R / Pubside

What is Compliance Auditing?

On-site Compliance Auditing is a great tool to obtain an honest, objective assessment of your employees’ adherence to regulatory standards and guidelines, whether legal or corporate.

This methodology incorporates the use of 500,000+ trained “shoppers” or independent evaluators who anonymously enter your locations and follow the observation and interaction guidelines that you compose in consultation with our experienced staff. Posing as ordinary customers, and maintaining anonymity at all times, evaluators discreetly take note of the variables important to you as the client, and enter the data on-line immediately after collection. After going through a two-step quality control process, the results are then published to our exclusive system and made available to your designated and approved executives.

The mystery shoppers follow the footsteps of your typical customer. Whether that’s opening a bank account, setting a doctor’s appointment, ordering from the bar, purchasing tobacco, or any behavior normally conducted by your customers, the mystery shoppers will report if your employees were in compliance or not. Any demographic can be tested – age compliance for alcohol or tobacco are examples of demographics testing.

Since the mystery shoppers will already be on-site, it may be worthwhile to capture other data such as customer experience. While all mystery shopping provides a static, objective capture of data from a given point in time, it does not, by nature and definition, provide any subjective impressionistic data. Its results will tell you whether or not the evaluator was greeted upon entry, but will not tell you how that greeting made the shopper feel – welcomed, indifferent, valued or processed. However to gain a complete picture of the experience, CX Orlando recommends the addition of Neuro-Economic Profiling to capture not only what happened, but how that experience emotionally impacted the consumer. Is the consumer more likely to return often? Are they more likely to speak highly of the location or brand in social media, as a result of specific observations or interactions experienced as part of the mystery shopping evaluation. You can click on Neuro-Economic Profiling to learn more about this powerful predictive tool.

“To see what our customers see, it’s incredible”

“We use CX Orlando to help us find data and trends that allow us to truly engage our customers. To see what our customers see, its incredible and we’re able to tailor our service to meet their needs.”

Sarah B / S.E.B. Consultants

Compliance mystery shopping is conducted in almost every business line you can think of, including retail, quick service, casual dining, fine dining, automotive, multi-family housing (apartments), new home sales, governmental agencies, banking, sports and entertainment operations and venues, health care facilities, educational institutions (public and private), hospitality, travel/transportation, home services, cooperatives and associations, theme parks and attractions, gaming and many, many others.

Some of America’s most astute brands not only use mystery shopping at their own locations, but also, using the same evaluation form for an apples-to-apples comparison, conduct it at their competitor’s locations as well for a true objective snapshot of the strengths and weaknesses of the company versus the competition. This analysis allows management to make reasoned adjustments in operations in order to capture greater market share.

Finally, while many companies prefer simple written and scored electronic reports to assess the operations and experiences of their locations, others want an audio or video recording of the evaluation. In this instance, written and scored electronic reports are still published, but with a link on the results page to open an audio or video player to see and/or hear the shop experience. Audio Mystery Shopping and Video Mystery Shopping is conducted in virtually every industry, but more often in automotive, new home sales, education (admissions, touring, financial aid) and health care.

Please contact us today for additional information!