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