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