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