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