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