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