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