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