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