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