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