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