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