Will “Regulatory Compliance Director” 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
- 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 “Regulatory Compliance Director”
- 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.
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- Provide assistance to internal or external auditors in compliance reviews.
- Conduct environmental audits to ensure adherence to environmental standards.
- Direct the development or implementation of compliance-related policies and procedures throughout an organization.
- Provide employee training on compliance related topics, policies, or procedures.
- Disseminate written policies and procedures related to compliance activities.
- Advise internal management or business partners on the implementation or operation of compliance programs.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- Prepare management reports regarding compliance operations and progress.
- Discuss emerging compliance issues with management or employees.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- 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.
- Assess product, compliance, or operational risks and develop risk management strategies.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
- 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.
- Monitor compliance systems to ensure their effectiveness.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
- 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.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Identify compliance issues that require follow-up or investigation.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
Related Technology & Tools
- Laptop computers
- Computer laser printers
- Personal computers
- Multi-line telephone systems
- Desktop computers
- Laser facsimile machines
- Photocopying equipment
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- IBM Notes
- Oracle Enterprise Governance, Risk, and Compliance Manager
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- Microsoft Office
- MediRegs ComplyTrack
- Keane SCORE
- Microsoft Outlook
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- Mozilla Firefox
- Cura Software Solutions Cura for Compliance Management
- Guideline Risk Technologies RUBI
- Web browser software
- ARC Logics Sword
- Microsoft Project
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- Microsoft Visio
- DoubleCheck GRC&T Platform
- 80-20 Software Leaders4
- Sword Achiever Compliance Portal Dashboard
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- Desktop publishing software
- The Garland Group RiskKey
- MasterControl MD
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- MetricStream Compliance Management
- SAP BEx Report Designer
- Tax accounting software
- Audit2 AdaptiveGRC
- Scheduling software
- Governance, risk, and compliance GRC software
- Microsoft Windows
- Data analysis software
- Aline GRC
- FRSGlobal RegPro
- Methodware ERA
- policyIQ
- Microsoft PowerPoint
- Microsoft Internet Explorer
- Microsoft Access
- Axentis Compliance Management
- Microsoft Word
- MasterControl TotalPharma
- Compliance 360
- EtQ Environmental Health and Safety Software
- MetricStream Enterprise Compliance Platform
- Spreadsheet software
- Fidessa Compliance Manager
- Adobe Systems Adobe Acrobat
- CMO Compliance Regulatory Compliance Solution
- Microsoft SharePoint
- QUMAS Compliance Solution
- Protiviti Governance Portal
- Database management software
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- LRN Ethics and Compliance Alliance
- Microsoft Excel
- Word processing software
- Human resource information system HRIS
- Neohapsis Certus GRC
- Thomson Reuters Paisley Enterprise GRC
- MyComplianceOffice Compliance Operations Management System
- RVR Systems Compliance
- Modulo Risk Manager
- AssurX CATSWeb
- Resolve Legislative Compliance Management
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- Email software
- Compliance11 Supervisory Suite
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