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