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

  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • Identify compliance issues that require follow-up or investigation.
  • Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
  • File appropriate compliance reports with regulatory agencies.
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  • Conduct or direct the internal investigation of compliance issues.
  • Provide employee training on compliance related topics, policies, or procedures.
  • 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.
  • Disseminate written policies and procedures related to compliance activities.
  • Prepare management reports regarding compliance operations and progress.
  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
  • Keep informed regarding pending industry changes, trends, or best practices.
  • Monitor compliance systems to ensure their effectiveness.
  • Direct the development or implementation of policies and procedures related to compliance throughout an organization.
  • Advise internal management or business partners on the implementation or operation of compliance programs.
  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
  • Provide assistance to internal or external auditors in compliance reviews.
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  • Develop risk management strategies based on assessment of product, compliance, or operational risks.
  • Advise technical professionals on the development or use of environmental compliance or reporting tools.
  • 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.
  • Conduct environmental audits to ensure adherence to environmental standards.
  • 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.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
  • Oversee internal reporting systems, such as corporate compliance hotlines.
  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
  • 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.
Work Context
  • Electronic Mail — 100% responded "Every day".
  • Telephone — 81% responded "Every day".
  • Face-to-Face Discussions — 78% responded "Every day".
  • Work With Work Group or Team — 76% responded "Extremely important".
  • Indoors, Environmentally Controlled — 88% responded "Every day".
  • Contact With Others — 70% responded "Constant contact with others".
  • Importance of Being Exact or Accurate — 66% responded "Extremely important".
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Work 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.
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Detailed Work Activities
  • Develop computer or information systems.
  • Liaise between departments or other groups to improve function or communication.
  • Maintain regulatory or compliance documentation.
  • Confer with organizational members to accomplish work activities.
  • Confer with organizational members to accomplish work activities.
  • Advise others on business or operational matters.
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Knowledge

Law and Government
  • Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
English Language
  • Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
Administration and Management
  • Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.
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Skills

Reading Comprehension
  • Understanding written sentences and paragraphs in work related documents.
Critical Thinking
  • Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
Active Listening
  • Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
Writing
  • Communicating effectively in writing as appropriate for the needs of the audience.
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Abilities

Oral Expression
  • The ability to communicate information and ideas in speaking so others will understand.
Written Expression
  • The ability to communicate information and ideas in writing so others will understand.
Problem Sensitivity
  • The ability to tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing there is a problem.
Oral Comprehension
  • The ability to listen to and understand information and ideas presented through spoken words and sentences.
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Personality

People interested in this work like activities that include ideas, thinking, and figuring things out.
They do well at jobs that need:
  • Achievement/Effort
  • Persistence
  • Initiative
  • Leadership
  • Cooperation
  • Concern for Others
  • Social Orientation
  • Self Control
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Technology

You might use software like this on the job:

Medical software
  • Healthcare common procedure coding system HCPCS Hot Technology
Office suite software
  • Microsoft Office Hot Technology
Presentation software
  • Microsoft PowerPoint Hot Technology
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Education

Get started on your career:

Job Outlook

New job opportunities are less likely in the future.
Salary
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