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