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