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Job Description
Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
Job Details
- The SOC (Standard Occupational Classification) code is 11-9199.02
☝️ Information based on the reference occupation “Compliance Managers”.
Also Known As…
- Compliance Managers
- Internal Review and Audit Compliance
- Director, Global Ethics & Compliance and Assistant General Counsel
- Director of Compliance
- Corporate Operations Compliance Manager
- Compliance Review Officer
- Compliance Officer
- Compliance Manager
- Compliance Engineer-Products
- Compliance Coordinator
- Business Practices Supervisor
- Risk Manager
- Research Quality Assurance Specialist
- Research Quality Assurance Analyst
- Research Compliance and HIPPA Privacy Officer and Director of the Research Compliance Program
- Regulatory Compliance Specialist
- Regulatory Compliance Officer
- Regulatory Compliance Director
- Privacy Compliance Manager
- Manager, Quality Management, Corporate Compliance
- Legal Compliance Officer
- IRB Compliance Coordinator
- Head of Ethics and Compliance
- Financial Compliance Officer
- Ethics Officer
- Ethics Manager
- Director, Office of Human Subjects Protection
- Credit Compliance Officer
- Corporate Ethics Officer
- Corporate Compliance Officer
- Corporate Compliance Director
- Compliance Specialist
- Compliance Director
- Compliance Analyst
- Chief Compliance Officer
- BSA/AML Compliance Officer
- BSA Officer
Tasks for “Audit Manager”
- File appropriate compliance reports with regulatory agencies.
- Provide assistance to internal or external auditors in compliance reviews.
- Direct the development or implementation of compliance-related policies and procedures throughout an organization.
- 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.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Discuss emerging compliance issues with management or employees.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Conduct or direct the internal investigation of compliance issues.
- Advise internal management or business partners on the implementation or operation of compliance programs.
- Identify compliance issues that require follow-up or investigation.
- Develop or implement environmental compliance plans for programs, such as air quality, storm water, wastewater treatment, hazardous waste management, pollution prevention, or solid waste management.
- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
- Prepare management reports regarding compliance operations and progress.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
- Assess product, compliance, or operational risks and develop risk management strategies.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
- Monitor compliance systems to ensure their effectiveness.
- Disseminate written policies and procedures related to compliance activities.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
- Evaluate testing procedures to meet the specifications of environmental monitoring programs.
- Conduct environmental audits to ensure adherence to environmental standards.
- Provide employee training on compliance related topics, policies, or procedures.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
Related Technology & Tools
- Personal computers
- Desktop computers
- Multi-line telephone systems
- Photocopying equipment
- Laser facsimile machines
- Computer laser printers
- Laptop computers
- Neohapsis Certus GRC
- LexisNexis
- SAP BEx Report Designer
- Data analysis software
- Cura Software Solutions Cura for Compliance Management
- Microsoft PowerPoint
- MediRegs ComplyTrack
- Microsoft Excel
- Protiviti Governance Portal
- Microsoft SharePoint
- LRN Ethics and Compliance Alliance
- StataCorp Stata
- Aline GRC
- Keane SCORE
- The Garland Group RiskKey
- Methodware ERA
- Word processing software
- MetricStream Regulatory Reporting
- Microsoft Visio
- Sword Achiever Compliance Portal Dashboard
- Microsoft Office
- MasterControl MD
- CMO Compliance Regulatory Compliance Solution
- Human resource information system HRIS
- Audit2 AdaptiveGRC
- Microsoft Word
- AssurX CATSWeb
- Email software
- Horwath Software Magique
- Scheduling software
- ComplianceBridge Total Compliance
- AssurX Financial Services Compliance Management System
- Healthcare common procedure coding system HCPCS
- Oracle Enterprise Governance, Risk, and Compliance Manager
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- Desktop publishing software
- FRSGlobal RegPro
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- Thomson Reuters Paisley Enterprise GRC
- MasterControl TotalPharma
- Modulo Risk Manager
- Microsoft Outlook
- Microsoft Internet Explorer
- EtQ Environmental Health and Safety Software
- MyComplianceOffice Compliance Operations Management System
- 80-20 Software Leaders4
- Resolve Legislative Compliance Management
- MetricStream Compliance Management
- Adobe Systems Adobe Acrobat
- Fidessa Compliance Manager
- DoubleCheck GRC&T Platform
- Microsoft Project
- Spreadsheet software
- policyIQ
- RVR Systems Compliance
- Tax accounting software
- Compliance11 Supervisory Suite
- Oracle Insurance Compliance Tracker
- Web browser software
- Agiliance Compliance Manager
- Actimize Brokerage Compliance Solutions
- Governance, risk, and compliance GRC software
- Microsoft Access
- ARC Logics Sword
- Axentis Compliance Management
- Database management software
- Archer Compliance Management
- Compliance 360
- Apple Safari
- IBM Notes
- EtQ FDA cGxP Compliance Software for Life Sciences
- Guideline Risk Technologies RUBI
- Microsoft Windows
- ControlCase Compliance Manager