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