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