Careers and Occupations

Compliance Managers

Compliance Managers

Related Areas of Study
Related Areas of Study
Compliance Managers Description

Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.

Compliance Managers Related Job Titles

BSA Officer, BSA/AML Compliance Officer, Business Practices Supervisor, Chief Compliance Officer, Compliance Analyst, Compliance Coordinator, Compliance Director, Compliance Engineer-Products, Compliance Manager, Compliance Officer, Compliance Review Officer, Compliance Specialist, Corporate Compliance Director, Corporate Compliance Officer, Corporate Ethics Officer, Corporate Operations Compliance Manager, Credit Compliance Officer, Director of Compliance, Director, Global Ethics & Compliance and Assistant General Counsel, Director, Office of Human Subjects Protection, Ethics Manager, Ethics Officer, Financial Compliance Officer, Head of Ethics and Compliance, Internal Review and Audit Compliance, IRB Compliance Coordinator, Legal Compliance Officer, Manager, Quality Management, Corporate Compliance, Regulatory Compliance Director, Regulatory Compliance Officer, Regulatory Compliance Specialist, Research Compliance and HIPPA Privacy Officer and Director of the Research Compliance Program, Research Quality Assurance Analyst, Research Quality Assurance Specialist,

Compliance Managers Tasks
Core Tasks
  • Assess product, compliance, or operational risks and develop risk management strategies.
  • File appropriate compliance reports with regulatory agencies.
  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • 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.
  • Advise internal management or business partners on the implementation or operation of compliance programs.
  • Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  • Direct the development or implementation of compliance-related policies and procedures throughout an organization.
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • Conduct or direct the internal investigation of compliance issues.
  • Identify compliance issues that require follow-up or investigation.
  • Disseminate written policies and procedures related to compliance activities.
  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
  • Provide employee training on compliance related topics, policies, or procedures.
  • 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.
  • Monitor compliance systems to ensure their effectiveness.
  • Prepare management reports regarding compliance operations and progress.
  • Provide assistance to internal or external auditors in compliance reviews.
  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
Supplemental Tasks
  • Advise technical professionals on the development or use of environmental compliance or reporting tools.
  • Conduct environmental audits to ensure adherence to environmental standards.
  • 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.
  • 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.
  • Evaluate testing procedures to meet the specifications of environmental monitoring programs.
  • Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  • 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.

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