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