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