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