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