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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”
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
- 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.
- 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.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
- 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.
- 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.
- 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.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Disseminate written policies and procedures related to compliance activities.
- Evaluate testing procedures to meet the specifications of environmental monitoring programs.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- Discuss emerging compliance issues with management or employees.
- Identify compliance issues that require follow-up or investigation.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
- Provide employee training on compliance related topics, policies, or procedures.
- Assess product, compliance, or operational risks and develop risk management strategies.
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Monitor compliance systems to ensure their effectiveness.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Direct the development or implementation of compliance-related policies and procedures throughout an organization.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Provide assistance to internal or external auditors in compliance reviews.
- Conduct environmental audits to ensure adherence to environmental standards.
Related Technology & Tools
- Photocopying equipment
- Multi-line telephone systems
- Personal computers
- Desktop computers
- Computer laser printers
- Laptop computers
- Laser facsimile machines
- Tax accounting software
- AssurX Financial Services Compliance Management System
- Mozilla Firefox
- Protiviti Governance Portal
- ARC Logics Sword
- BWise Compliance Management
- Guideline Risk Technologies RUBI
- AssurX CATSWeb
- Aline GRC
- Microsoft Visio
- ControlCase Compliance Manager
- Archer Compliance Management
- Agiliance Compliance Manager
- Word processing software
- LexisNexis
- Thomson Reuters Paisley Enterprise GRC
- MediRegs ComplyTrack
- Apple Safari
- IBM Notes
- 80-20 Software Leaders4
- Compliance 360
- Axentis Compliance Management
- Microsoft SharePoint
- Desktop publishing software
- SAP BEx Report Designer
- Data analysis software
- Sword Achiever Compliance Portal Dashboard
- MetricStream Compliance Management
- StataCorp Stata
- Microsoft Excel
- policyIQ
- DoubleCheck GRC&T Platform
- Methodware ERA
- The Garland Group RiskKey
- Compliance11 Supervisory Suite
- Cura Software Solutions Cura for Compliance Management
- MasterControl TotalPharma
- Healthcare common procedure coding system HCPCS
- Microsoft PowerPoint
- Spreadsheet software
- BPS Compliance
- Actimize Brokerage Compliance Solutions
- QUMAS Compliance Solution
- Scheduling software
- Human resource information system HRIS
- Email software
- MetricStream Enterprise Compliance Platform
- Microsoft Office
- Oracle Enterprise Governance, Risk, and Compliance Manager
- Governance, risk, and compliance GRC software
- Audit2 AdaptiveGRC
- Microsoft Windows
- LRN Ethics and Compliance Alliance
- Microsoft Internet Explorer
- Fidessa Compliance Manager
- CMO Compliance Regulatory Compliance Solution
- MyComplianceOffice Compliance Operations Management System
- Web browser software
- Microsoft Access
- Modulo Risk Manager
- Neohapsis Certus GRC
- Keane SCORE
- Adobe Systems Adobe Acrobat
- MetricStream Regulatory Reporting
- Oracle Insurance Compliance Tracker
- FRSGlobal RegPro
- Microsoft Outlook
- Database management software
- RVR Systems Compliance
- Microsoft Word
- Horwath Software Magique
- MasterControl MD
- ComplianceBridge Total Compliance
- EtQ FDA cGxP Compliance Software for Life Sciences
- Microsoft Project
- Resolve Legislative Compliance Management
- EtQ Environmental Health and Safety Software