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