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Compliance Managers - 11-9199.02

O*NET-SOC Description

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

Sample of Reported Job Titles

  • Business Practices Supervisor
  • Compliance Coordinator
  • Compliance Engineer-Products
  • Compliance Manager
  • Compliance Officer
  • Compliance Review Officer
  • Corporate Operations Compliance Manager
  • Director of Compliance
  • Director, Global Ethics & Compliance and Assistant General Counsel
  • Internal Review and Audit Compliance

SOC Occupation Groups

11-0000 Management Occupations
11-9000 Other Management Occupations
11-9190 Miscellaneous Managers
11-9199.00 Managers, All Other
11-9199.02 Compliance Managers

Related Occupations

No information available.

Tasks

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

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.
  • Conduct employee training programs.
  • Conduct environmental audits.
  • Conduct financial or regulatory audits.
  • Confer with organizational members to accomplish work activities.
  • Determine operational compliance with regulations or standards.
  • Develop computer or information systems.
  • Develop emergency response plans or procedures.
  • Develop operating strategies, plans, or procedures.
  • Develop organizational policies or programs.
  • Develop sustainable organizational policies or practices.
  • Evaluate green operations or programs for compliance with standards or regulations.
  • Examine marketing materials to ensure compliance with policies or regulations.
  • Implement organizational process or policy changes.
  • Liaise between departments or other groups to improve function or communication.
  • Maintain knowledge of current developments in area of expertise.
  • Maintain regulatory or compliance documentation.
  • Manage control system activities in organizations.
  • Manage environmental sustainability projects.
  • Monitor organizational compliance with regulations.
  • Monitor organizational procedures to ensure proper functioning.
  • Prepare reports related to compliance matters.

Military Crosswalk Titles

  • Knowledge Operations Management (Air Force - Enlisted)
  • Knowledge Operations Management Apprentice (Air Force - Enlisted)
  • Knowledge Operations Management Craftsman (Air Force - Enlisted)
  • Knowledge Operations Management Helper (Air Force - Enlisted)
  • Knowledge Operations Management Journeyman (Air Force - Enlisted)

Apprenticeship Crosswalk Titles

No information available.

DOT Crosswalk Titles

  • Manager, Regulated Program