Compliance Managers :: Job Description

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Compliance Managers

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Summary Description


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

Sample Job Titles

1.	Audit Manager

2.	BSA Officer

3.	BSA/AML Compliance Officer

4.	Business Practices Supervisor

5.	Chief Compliance Officer

6.	Compliance Analyst

7.	Compliance Coordinator

8.	Compliance Director

9.	Compliance Engineer-Products

10.	Compliance Manager

11.	Compliance Officer

12.	Compliance Review Officer

13.	Compliance Specialist

14.	Corporate Compliance Director

15.	Corporate Compliance Officer

16.	Corporate Ethics Officer

17.	Corporate Operations Compliance Manager

18.	Credit Compliance Officer

19.	Director of Compliance

20.	Director, Global Ethics & Compliance and Assistant General Counsel

21.	Director, Office of Human Subjects Protection

22.	Ethics Manager

23.	Ethics Officer

24.	Financial Compliance Officer

25.	Head of Ethics and Compliance

26.	Internal Review and Audit Compliance

27.	IRB Compliance Coordinator

28.	Legal Compliance Officer

29.	Manager, Quality Management, Corporate Compliance

30.	Regulatory Compliance Director

31.	Regulatory Compliance Officer

32.	Regulatory Compliance Specialist

33.	Research Compliance and HIPPA Privacy Officer and Director of the Research Compliance Program

34.	Research Quality Assurance Analyst

35.	Research Quality Assurance Specialist

36.	Risk Manager

Job Tasks

	Maintain documentation of compliance activities, such as complaints received or investigation outcomes. Maintain regulatory or compliance documentation.

	File appropriate compliance reports with regulatory agencies. Maintain regulatory or compliance documentation.

	Conduct or direct the internal investigation of compliance issues. Determine operational compliance with regulations or standards.

	Identify compliance issues that require follow-up or investigation.

	Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required. Communicate with government agencies.

	Disseminate written policies and procedures related to compliance activities. Communicate organizational policies and procedures.

	Conduct periodic internal reviews or audits to ensure that compliance procedures are followed. Conduct financial or regulatory audits.

	Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities. Liaise between departments or other groups to improve function or communication.

	Provide employee training on compliance related topics, policies, or procedures. Conduct employee training programs.

	Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.

	Discuss emerging compliance issues with management or employees. Communicate organizational policies and procedures.

	Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes. Maintain knowledge of current developments in area of expertise.

	Advise internal management or business partners on the implementation or operation of compliance programs. Advise others on business or operational matters.

	Consult with corporate attorneys as necessary to address difficult legal compliance issues. Confer with organizational members to accomplish work activities.

	Direct the development or implementation of compliance-related policies and procedures throughout an organization. Develop organizational policies or programs. Develop operating strategies, plans, or procedures. Manage control system activities in organizations.

	Monitor compliance systems to ensure their effectiveness. Monitor organizational compliance with regulations.

	Prepare management reports regarding compliance operations and progress. Prepare reports related to compliance matters.

	Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations. Confer with organizational members to accomplish work activities.

	Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems. Monitor organizational procedures to ensure proper functioning. Communicate organizational policies and procedures.

	Provide assistance to internal or external auditors in compliance reviews.

	Design or implement improvements in communication, monitoring, or enforcement of compliance standards. Implement organizational process or policy changes. Develop operating strategies, plans, or procedures.

	Review communications such as securities sales advertising to ensure there are no violations of standards or regulations. Examine marketing materials to ensure compliance with policies or regulations.

	Assess product, compliance, or operational risks and develop risk management strategies. Analyze risks to minimize losses or damages. Develop emergency response plans or procedures.

	Verify that software technology is in place to adequately provide oversight and monitoring in all required areas. Develop computer or information systems.

Work Activities

Importance	Work Activity

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

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.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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.

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

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

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

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

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

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

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.

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

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

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

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

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.

Monitoring and Controlling Resources — Monitoring and controlling resources and overseeing the spending of money.

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

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Daniel Webster, Abraham Lincoln, John Marshall and Stephen A. Douglas are among the most famous lawyers in American history, but none went to Law School.

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