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