Compliance Managers
Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
Sample of reported job titles:
Accreditation Lieutenant, Accreditation Manager, Compliance Director, Compliance Manager, Compliance Operations Manager, Environmental Health and Safety Director, Environmental Manager, Environmental Program Manager, Health, Safety, and Environmental Manager (HSE Manager), Risk Manager
Occupation-Specific Information
Tasks
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
Technology Skills
- Accounting software:Tax software
- Analytical or scientific software:Data analysis software,Horwath Software Magique,StataCorp Stata
- Calendar and scheduling software:Scheduling software
- Cloud-based data access and sharing software:Microsoft SharePoint
- Compliance software:80-20 Software Leaders4,Actimize Brokerage Compliance Solutions,Agiliance Compliance Manager,Aline GRC,ARC Logics Sword,Archer Compliance Management,AssurX CATSWeb,AssurX Financial Services Compliance Management System,Audit2 AdaptiveGRC,Axentis Compliance Management,BPS Compliance,BWise Compliance Management,CMO Compliance Regulatory Compliance Solution,Compliance 360,Compliance11 Supervisory Suite,ComplianceBridge Total Compliance,ControlCase Compliance Manager,Cura Software Solutions Cura for Compliance Management,DoubleCheck GRC&T Platform,EtQ Environmental Health and Safety Software,EtQ FDA cGxP Compliance Software for Life Sciences,Fidessa Compliance Manager,FRSGlobal RegPro,Governance, risk, and compliance GRC software,Guideline Risk Technologies RUBI,Keane SCORE,LRN Ethics and Compliance Alliance,MediRegs ComplyTrack,Methodware ERA,MetricStream Compliance Management,MetricStream Enterprise Compliance Platform,MetricStream Regulatory Reporting,Modulo Risk Manager,MyComplianceOffice Compliance Operations Management System,Neohapsis Certus GRC,Oracle Enterprise Governance, Risk, and Compliance Manager,Oracle Insurance Compliance Tracker,policyIQ,Protiviti Governance Portal,QUMAS quality management solution software,Resolve Legislative Compliance Management,RVR Systems Compliance,Sword Achiever Compliance Portal Dashboard,The Garland Group RiskKey,Thomson Reuters Paisley Enterprise GRC
Occupational Requirements
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.
- Working 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.
Detailed Work Activities
- Advise others on business or operational matters.
- Advise others on legal or regulatory compliance matters.
- Analyze risks to minimize losses or damages.
- Communicate organizational policies and procedures.
- Communicate with government agencies.
Work Context
- Electronic Mail:100% responded"Every day"
- Indoors, Environmentally Controlled:88% 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"
Worker Requirements
Skills
- Critical Thinking:Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
- Reading Comprehension:Understanding written sentences and paragraphs in work-related documents.
- 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.
- Speaking:Talking to others to convey information effectively.
- Writing:Communicating effectively in writing as appropriate for the needs of the audience.
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.
- Customer and Personal Service:Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
- Personnel and Human Resources:Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.
Education
How much education does a new hire need to perform a job in this occupation? Respondents said:
- 63%Bachelor's Degree
- 14%Master's Degree
- 9%High School Diploma - or the equivalent (for example, GED)
Worker Characteristics
Abilities
- Oral Expression:The ability to communicate information and ideas in speaking 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 that there is a problem.
- Written Expression:The ability to communicate information and ideas in writing so others will understand.
- Deductive Reasoning:The ability to apply general rules to specific problems to produce answers that make sense.
- Inductive Reasoning:The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
Interests
- Conventional:Conventional occupations frequently involve following set procedures and routines. These occupations can include working with data and details more than with ideas. Usually there is a clear line of authority to follow.
- Enterprising:Enterprising occupations frequently involve starting up and carrying out projects. These occupations can involve leading people and making many decisions. Sometimes they require risk taking and often deal with business.
- Realistic:Realistic occupations frequently involve work activities that include practical, hands-on problems and solutions. They often deal with plants, animals, and real-world materials like wood, tools, and machinery. Many of the occupations require working outside, and do not involve a lot of paperwork or working closely with others.
Work Values
- Achievement:Occupations that satisfy this work value are results oriented and allow employees to use their strongest abilities, giving them a feeling of accomplishment. Corresponding needs are Ability Utilization and Achievement.
- Support:Occupations that satisfy this work value offer supportive management that stands behind employees. Corresponding needs are Company Policies, Supervision: Human Relations and Supervision: Technical.
- Independence:Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy.
Work Styles
- Integrity:Job requires being honest and ethical.
- Attention to Detail:Job requires being careful about detail and thorough in completing work tasks.
- Stress Tolerance:Job requires accepting criticism and dealing calmly and effectively with high-stress situations.
- Dependability:Job requires being reliable, responsible, and dependable, and fulfilling obligations.
- Persistence:Job requires persistence in the face of obstacles.
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