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