Will “Director of Compliance” be Replaced By Robots? 🤔
Unknown Chance of Automation
Sadly, the research paper did not provide any information about this occupation. Maybe have a look at our directory?
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”
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
- Prepare management reports regarding compliance operations and progress.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- 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.
- 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.
- Provide employee training on compliance related topics, policies, or procedures.
- Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- Conduct or direct the internal investigation of compliance issues.
- File appropriate compliance reports with regulatory agencies.
- Monitor compliance systems to ensure their effectiveness.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- 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.
- Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
- Conduct environmental audits to ensure adherence to environmental standards.
- Direct the development or implementation of compliance-related policies and procedures throughout an organization.
- Evaluate testing procedures to meet the specifications of environmental monitoring programs.
- Advise internal management or business partners on the implementation or operation of compliance programs.
- Assess product, compliance, or operational risks and develop risk management strategies.
- Discuss emerging compliance issues with management or employees.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
- Identify compliance issues that require follow-up or investigation.
Related Technology & Tools
- Laptop computers
- Photocopying equipment
- Computer laser printers
- Multi-line telephone systems
- Desktop computers
- Laser facsimile machines
- Personal computers
- Microsoft Internet Explorer
- Tax accounting software
- MetricStream Compliance Management
- The Garland Group RiskKey
- ARC Logics Sword
- Guideline Risk Technologies RUBI
- Web browser software
- Microsoft Office
- AssurX CATSWeb
- MediRegs ComplyTrack
- Microsoft Word
- Adobe Systems Adobe Acrobat
- AssurX Financial Services Compliance Management System
- EtQ Environmental Health and Safety Software
- Archer Compliance Management
- LexisNexis
- EtQ FDA cGxP Compliance Software for Life Sciences
- Methodware ERA
- Human resource information system HRIS
- Email software
- Microsoft PowerPoint
- Protiviti Governance Portal
- StataCorp Stata
- MasterControl MD
- Axentis Compliance Management
- Compliance 360
- Cura Software Solutions Cura for Compliance Management
- Agiliance Compliance Manager
- BPS Compliance
- MetricStream Enterprise Compliance Platform
- Microsoft Project
- Word processing software
- Sword Achiever Compliance Portal Dashboard
- FRSGlobal RegPro
- Mozilla Firefox
- Microsoft Outlook
- Spreadsheet software
- MasterControl TotalPharma
- Microsoft SharePoint
- Microsoft Access
- 80-20 Software Leaders4
- SAP BEx Report Designer
- LRN Ethics and Compliance Alliance
- IBM Notes
- BWise Compliance Management
- Horwath Software Magique
- MyComplianceOffice Compliance Operations Management System
- CMO Compliance Regulatory Compliance Solution
- MetricStream Regulatory Reporting
- Keane SCORE
- Actimize Brokerage Compliance Solutions
- Microsoft Visio
- Audit2 AdaptiveGRC
- Apple Safari
- Compliance11 Supervisory Suite
- Fidessa Compliance Manager
- Aline GRC
- Governance, risk, and compliance GRC software
- Thomson Reuters Paisley Enterprise GRC
- ControlCase Compliance Manager
- DoubleCheck GRC&T Platform
- Microsoft Windows
- RVR Systems Compliance
- Database management software
- Microsoft Excel
- Desktop publishing software
- Oracle Enterprise Governance, Risk, and Compliance Manager
- QUMAS Compliance Solution
- Oracle Insurance Compliance Tracker
- Healthcare common procedure coding system HCPCS
- Data analysis software
- policyIQ
- Neohapsis Certus GRC
- Scheduling software
- Resolve Legislative Compliance Management
- Modulo Risk Manager
- ComplianceBridge Total Compliance