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Monitor compliance systems to ensure their effectiveness.
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Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
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File appropriate compliance reports with regulatory agencies.
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Prepare management reports regarding compliance operations and progress.
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Conduct or direct the internal investigation of compliance issues.
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Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
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Conduct environmental audits to ensure adherence to environmental standards.
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Keep informed regarding pending industry changes, trends, or best practices.
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Consult with corporate attorneys as necessary to address difficult legal compliance issues.
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Advise internal management or business partners on the implementation or operation of compliance programs.
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Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
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Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
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Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
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Provide assistance to internal or external auditors in compliance reviews.
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Direct the development or implementation of policies and procedures related to compliance throughout an organization.
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Advise technical professionals on the development or use of environmental compliance or reporting tools.
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Provide employee training on compliance related topics, policies, or procedures.
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Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
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Disseminate written policies and procedures related to compliance activities.
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Direct environmental programs, such as air or water compliance, aboveground or underground storage tanks, spill prevention or control, hazardous waste or materials management, solid waste recycling, medical waste management, indoor air quality, integrated pest management, employee training, or disaster preparedness.
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Evaluate testing procedures to meet the specifications of environmental monitoring programs.
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Identify compliance issues that require follow-up or investigation.
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Develop risk management strategies based on assessment of product, compliance, or operational risks.
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Oversee internal reporting systems, such as corporate compliance hotlines.
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Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
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Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
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Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
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Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
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Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.