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