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