Compliance Manager Career

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


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Compliance Manager Career

What Compliance Managers do:

  • Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
  • Provide employee training on compliance related topics, policies, or procedures.
  • Identify compliance issues that require follow-up or investigation.
  • Keep informed regarding pending industry changes, trends, or best practices.
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
  • Direct the development or implementation of policies and procedures related to compliance throughout an organization.
  • Monitor compliance systems to ensure their effectiveness.
  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • Prepare management reports regarding compliance operations and progress.
  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
  • Disseminate written policies and procedures related to compliance activities.
  • File appropriate compliance reports with regulatory agencies.
  • Advise internal management or business partners on the implementation or operation of compliance programs.
  • Conduct or direct the internal investigation of compliance issues.
  • Provide assistance to internal or external auditors in compliance reviews.
  • 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 regulatory policies and procedures have been documented, implemented, and communicated.
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  • Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  • Develop risk management strategies based on assessment of product, compliance, or operational risks.
  • Oversee internal reporting systems, such as corporate compliance hotlines.
  • 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.
  • Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
  • Evaluate testing procedures to meet the specifications of environmental monitoring programs.
  • 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.
  • 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.

What work activities are most important?

Importance Activities

Evaluating Information to Determine Compliance with Standards - Using relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.

Getting Information - Observing, receiving, and otherwise obtaining information from all relevant sources.

Communicating with Supervisors, Peers, or Subordinates - Providing information to supervisors, co-workers, and subordinates by telephone, in written form, e-mail, or in person.

Interacting With Computers - Using computers and computer systems (including hardware and software) to program, write software, set up functions, enter data, or process information.

Documenting/Recording Information - Entering, transcribing, recording, storing, or maintaining information in written or electronic/magnetic form.

Making Decisions and Solving Problems - Analyzing information and evaluating results to choose the best solution and solve problems.

Updating and Using Relevant Knowledge - Keeping up-to-date technically and applying new knowledge to your job.

Establishing and Maintaining Interpersonal Relationships - Developing constructive and cooperative working relationships with others, and maintaining them over time.

Identifying Objects, Actions, and Events - Identifying information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events.

Organizing, Planning, and Prioritizing Work - Developing specific goals and plans to prioritize, organize, and accomplish your work.

Communicating with Persons Outside Organization - Communicating with people outside the organization, representing the organization to customers, the public, government, and other external sources. This information can be exchanged in person, in writing, or by telephone or e-mail.

Processing Information - Compiling, coding, categorizing, calculating, tabulating, auditing, or verifying information or data.

Judging the Qualities of Things, Services, or People - Assessing the value, importance, or quality of things or people.

Performing Administrative Activities - Performing day-to-day administrative tasks such as maintaining information files and processing paperwork.

Analyzing Data or Information - Identifying the underlying principles, reasons, or facts of information by breaking down information or data into separate parts.

Interpreting the Meaning of Information for Others - Translating or explaining what information means and how it can be used.

Resolving Conflicts and Negotiating with Others - Handling complaints, settling disputes, and resolving grievances and conflicts, or otherwise negotiating with others.

Training and Teaching Others - Identifying the educational needs of others, developing formal educational or training programs or classes, and teaching or instructing others.

Monitor Processes, Materials, or Surroundings - Monitoring and reviewing information from materials, events, or the environment, to detect or assess problems.

Scheduling Work and Activities - Scheduling events, programs, and activities, as well as the work of others.

Developing Objectives and Strategies - Establishing long-range objectives and specifying the strategies and actions to achieve them.

Developing and Building Teams - Encouraging and building mutual trust, respect, and cooperation among team members.

Provide Consultation and Advice to Others - Providing guidance and expert advice to management or other groups on technical, systems-, or process-related topics.

Coaching and Developing Others - Identifying the developmental needs of others and coaching, mentoring, or otherwise helping others to improve their knowledge or skills.

Coordinating the Work and Activities of Others - Getting members of a group to work together to accomplish tasks.

Thinking Creatively - Developing, designing, or creating new applications, ideas, relationships, systems, or products, including artistic contributions.

Guiding, Directing, and Motivating Subordinates - Providing guidance and direction to subordinates, including setting performance standards and monitoring performance.

Assisting and Caring for Others - Providing personal assistance, medical attention, emotional support, or other personal care to others such as coworkers, customers, or patients.

Estimating the Quantifiable Characteristics of Products, Events, or Information - Estimating sizes, distances, and quantities; or determining time, costs, resources, or materials needed to perform a work activity.

Performing for or Working Directly with the Public - Performing for people or dealing directly with the public. This includes serving customers in restaurants and stores, and receiving clients or guests.

Inspecting Equipment, Structures, or Material - Inspecting equipment, structures, or materials to identify the cause of errors or other problems or defects.

Selling or Influencing Others - Convincing others to buy merchandise/goods or to otherwise change their minds or actions.

Operating Vehicles, Mechanized Devices, or Equipment - Running, maneuvering, navigating, or driving vehicles or mechanized equipment, such as forklifts, passenger vehicles, aircraft, or water craft.

Staffing Organizational Units - Recruiting, interviewing, selecting, hiring, and promoting employees in an organization.

Holland Code Chart for a Compliance Manager