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