Will “Internal Review and Audit Compliance” 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
- 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 “Internal Review and Audit Compliance”
- Advise internal management or business partners on the implementation or operation of compliance programs.
- 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.
- Provide employee training on compliance related topics, policies, or procedures.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Assess product, compliance, or operational risks and develop risk management strategies.
- 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.
- 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.
- Direct the development or implementation of compliance-related policies and procedures throughout an organization.
- Conduct environmental audits to ensure adherence to environmental standards.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
- 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.
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- Conduct or direct the internal investigation of compliance issues.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- Discuss emerging compliance issues with management or employees.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- File appropriate compliance reports with regulatory agencies.
- Evaluate testing procedures to meet the specifications of environmental monitoring programs.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- Identify compliance issues that require follow-up or investigation.
- Monitor compliance systems to ensure their effectiveness.
- 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.
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
Related Technology & Tools
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- Computer laser printers
- Photocopying equipment
- Personal computers
- Desktop computers
- Multi-line telephone systems
- Laptop computers
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- Microsoft Windows
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- policyIQ
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- DoubleCheck GRC&T Platform
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- Microsoft PowerPoint
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- Data analysis software
- ARC Logics Sword
- Guideline Risk Technologies RUBI
- Spreadsheet software
- IBM Notes
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- Horwath Software Magique
- Keane SCORE
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