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