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Compliance Managers

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

  • Details

  • Work Activities

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

    Skills

    • Speaking
      • Talking to others.
    • Coordination
      • Changing what is done based on other people's actions.
    • Operations Monitoring
      • Watching gauges, dials, or display screens to make sure a machine is working.
    • Complex Problem Solving
      • Noticing a problem and figuring out the best way to solve it.
    • Technology Design
      • Making equipment and technology useful for customers.
    • Negotiation
      • Bringing people together to solve differences.
    • Active Listening
      • Listening to others, not interrupting, and asking good questions.
    • Troubleshooting
      • Figuring out what is causing equipment, machines, wiring, or computer programs to not work.
    • Programming
      • Writing computer programs.
    • Time Management
      • Managing your time and the time of other people.
    • Equipment Selection
      • Deciding what kind of tools and equipment are needed to do a job.
    • Monitoring
      • Keeping track of how well people and/or groups are doing in order to make improvements.
    • Service Orientation
      • Looking for ways to help people.
    • Judgment and Decision Making
      • Thinking about the pros and cons of different options and picking the best one.
    • Systems Evaluation
      • Measuring how well a system is working and how to improve it.
    • Operations Analysis
      • Figuring out what a product or service needs to be able to do.
    • Equipment Maintenance
      • Planning and doing the basic maintenance on equipment.
    • Installation
      • Installing equipment, machines, wiring, or computer programs.
    • Social Perceptiveness
      • Understanding people's reactions.
    • Critical Thinking
      • Thinking about the pros and cons of different ways to solve a problem.
    • Management of Material Resources
      • Managing equipment and materials.
    • Active Learning
      • Figuring out how to use new ideas or things.
    • Instructing
      • Teaching people how to do something.
    • Management of Financial Resources
      • Making spending decisions and keeping track of what is spent.
    • Learning Strategies
      • Using the best training or teaching strategies for learning new things.
    • Persuasion
      • Talking people into changing their minds or their behavior.
    • Reading Comprehension
      • Reading work-related information.
    • Operation and Control
      • Using equipment or systems.
    • Repairing
      • Repairing machines or systems using the right tools.
    • Quality Control Analysis
      • Testing how well a product or service works.
    • Systems Analysis
      • Figuring out how a system should work and how changes in the future will affect it.
    • Mathematics
      • Using math to solve problems.
    • Science
      • Using scientific rules and strategies to solve problems.
    • Writing
      • Writing things for co-workers or customers.
    • Management of Personnel Resources
      • Selecting and managing the best workers for a job.

    Abilities

    • Number Facility
      • Adding, subtracting, multiplying, or dividing.
    • Hearing Sensitivity
      • Telling the difference between sounds.
    • Multilimb Coordination
      • Using your arms and/or legs together while sitting, standing, or lying down.
    • Gross Body Coordination
      • Moving your arms, legs, and mid-section together while your whole body is moving.
    • Deductive Reasoning
      • Using rules to solve problems.
    • Static Strength
      • Lifting, pushing, pulling, or carrying.
    • Near Vision
      • Seeing details up close.
    • Mathematical Reasoning
      • Choosing the right type of math to solve a problem.
    • Dynamic Flexibility
      • Quickly and repeatedly bending, stretching, twisting, or reaching out with your body, arms, and/or legs.
    • Peripheral Vision
      • Seeing something to your side when your are looking ahead.
    • Glare Sensitivity
      • Seeing something even if there is a glare or very bright light.
    • Control Precision
      • Quickly changing the controls of a machine, car, truck or boat.
    • Response Orientation
      • Quickly deciding if you should move your hand, foot, or other body part.
    • Trunk Strength
      • Using your lower back and stomach.
    • Manual Dexterity
      • Holding or moving items with your hands.
    • Speed of Limb Movement
      • Quickly moving your arms and legs.
    • Oral Comprehension
      • Listening and understanding what people say.
    • Written Comprehension
      • Reading and understanding what is written.
    • Speech Clarity
      • Speaking clearly.
    • Perceptual Speed
      • Quickly comparing groups of letters, numbers, pictures, or other things.
    • Rate Control
      • Changing when and how fast you move based on how something else is moving.
    • Spatial Orientation
      • Knowing where things are around you.
    • Visualization
      • Imagining how something will look after it is moved around or changed.
    • Depth Perception
      • Deciding which thing is closer or farther away from you, or deciding how far away it is from you.
    • Oral Expression
      • Communicating by speaking.
    • Auditory Attention
      • Paying attention to one sound while there are other distracting sounds.
    • Time Sharing
      • Doing two or more things at the same time.
    • Wrist-Finger Speed
      • Making fast, simple, repeated movements of your fingers, hands, and wrists.
    • Category Flexibility
      • Grouping things in different ways.
    • Inductive Reasoning
      • Making general rules or coming up with answers from lots of detailed information.
    • Arm-Hand Steadiness
      • Keeping your arm or hand steady.
    • Gross Body Equilibrium
      • Keeping your balance or staying upright.
    • Night Vision
      • Seeing at night or under low light.
    • Sound Localization
      • Noticing the direction that a sound came from.
    • Originality
      • Creating new and original ideas.
    • Information Ordering
      • Ordering or arranging things.
    • Extent Flexibility
      • Bending, stretching, twisting, or reaching with your body, arms, and/or legs.
    • Flexibility of Closure
      • Seeing hidden patterns.
    • Fluency of Ideas
      • Coming up with lots of ideas.
    • Dynamic Strength
      • Exercising for a long time without your muscles getting tired.
    • Visual Color Discrimination
      • Noticing the difference between colors, including shades and brightness.
    • Speed of Closure
      • Quickly knowing what you are looking at.
    • Finger Dexterity
      • Putting together small parts with your fingers.
    • Speech Recognition
      • Recognizing spoken words.
    • Reaction Time
      • Quickly moving your hand, finger, or foot based on a sound, light, picture or other command.
    • Written Expression
      • Communicating by writing.
    • Explosive Strength
      • Jumping, sprinting, or throwing something.
    • Problem Sensitivity
      • Noticing when problems happen.
    • Far Vision
      • Seeing details that are far away.
    • Selective Attention
      • Paying attention to something without being distracted.
    • Memorization
      • Remembering words, numbers, pictures, or steps.
    • Stamina
      • Exercising for a long time without getting out of breath.

    Knowledge

    • Education and Training
      • Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
    • Medicine and Dentistry
      • Knowledge of the information and techniques needed to diagnose and treat human injuries, diseases, and deformities. This includes symptoms, treatment alternatives, drug properties and interactions, and preventive health-care measures.
    • Design
      • Knowledge of design techniques, tools, and principles involved in production of precision technical plans, blueprints, drawings, and models.
    • Sociology and Anthropology
      • Knowledge of group behavior and dynamics, societal trends and influences, human migrations, ethnicity, cultures, and their history and origins.
    • Mathematics
      • Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
    • Food Production
      • Knowledge of techniques and equipment for planting, growing, and harvesting food products (both plant and animal) for consumption, including storage/handling techniques.
    • Sales and Marketing
      • Knowledge of principles and methods for showing, promoting, and selling products or services. This includes marketing strategy and tactics, product demonstration, sales techniques, and sales control systems.
    • Fine Arts
      • Knowledge of the theory and techniques required to compose, produce, and perform works of music, dance, visual arts, drama, and sculpture.
    • Transportation
      • Knowledge of principles and methods for moving people or goods by air, rail, sea, or road, including the relative costs and benefits.
    • Chemistry
      • Knowledge of the chemical composition, structure, and properties of substances and of the chemical processes and transformations that they undergo. This includes uses of chemicals and their interactions, danger signs, production techniques, and disposal methods.
    • 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.
    • Physics
      • Knowledge and prediction of physical principles, laws, their interrelationships, and applications to understanding fluid, material, and atmospheric dynamics, and mechanical, electrical, atomic and sub-atomic structures and processes.
    • Production and Processing
      • Knowledge of raw materials, production processes, quality control, costs, and other techniques for maximizing the effective manufacture and distribution of goods.
    • Psychology
      • Knowledge of human behavior and performance; individual differences in ability, personality, and interests; learning and motivation; psychological research methods; and the assessment and treatment of behavioral and affective disorders.
    • Public Safety and Security
      • Knowledge of relevant equipment, policies, procedures, and strategies to promote effective local, state, or national security operations for the protection of people, data, property, and institutions.
    • Communications and Media
      • Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media.
    • Biology
      • Knowledge of plant and animal organisms, their tissues, cells, functions, interdependencies, and interactions with each other and the environment.
    • Economics and Accounting
      • Knowledge of economic and accounting principles and practices, the financial markets, banking, and the analysis and reporting of financial data.
    • 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.
    • Administrative
      • Knowledge of administrative and office procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and workplace terminology.
    • History and Archeology
      • Knowledge of historical events and their causes, indicators, and effects on civilizations and cultures.
    • Telecommunications
      • Knowledge of transmission, broadcasting, switching, control, and operation of telecommunications systems.
    • Computers and Electronics
      • Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
    • Building and Construction
      • Knowledge of materials, methods, and the tools involved in the construction or repair of houses, buildings, or other structures such as highways and roads.
    • Engineering and Technology
      • Knowledge of the practical application of engineering science and technology. This includes applying principles, techniques, procedures, and equipment to the design and production of various goods and services.
    • Mechanical
      • Knowledge of machines and tools, including their designs, uses, repair, and maintenance.
    • Geography
      • Knowledge of principles and methods for describing the features of land, sea, and air masses, including their physical characteristics, locations, interrelationships, and distribution of plant, animal, and human life.
    • 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.
    • Philosophy and Theology
      • Knowledge of different philosophical systems and religions. This includes their basic principles, values, ethics, ways of thinking, customs, practices, and their impact on human culture.
    • English Language
      • Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
    • Foreign Language
      • Knowledge of the structure and content of a foreign (non-English) language including the meaning and spelling of words, rules of composition and grammar, and pronunciation.
    • Therapy and Counseling
      • Knowledge of principles, methods, and procedures for diagnosis, treatment, and rehabilitation of physical and mental dysfunctions, and for career counseling and guidance.
    • Law and Government
      • Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.

    Education

    Education
    Bachelor's degree
    Work Experience
    Less than 5 years work experience
    Training
    No on-the-job training

    Pay

    Washington Annual Salary
    165080/yr
    Washington Hourly Wage
    79.37/hr

    Washington Employment Trends

    Currently Employed
    1,356,200
    Yearly Projected Openings
    105800

    Personality

    Conventional: People interested in this work like activities that include data, detail, and regular routines. They do well at jobs that need:
    • Integrity
    • Attention to Detail
    • Stress Tolerance
    • Dependability
    • Persistence
    • Self Control

    Tools

    • Desktop computers
    • Laser fax machine
    • Laser printers
    • Notebook computers
    • Personal computers
    • Photocopiers
    • Special purpose telephones

    Technology

    • Accounting software
    • Analytical or scientific software
    • Calendar and scheduling software
    • Cloud-based data access and sharing software
    • Compliance software
    • Data base management system software
    • Data base reporting software
    • Data base user interface and query software
    • Desktop publishing software
    • Document management software
    • Electronic mail software
    • Human resources software
    • Information retrieval or search software
    • Internet browser software
    • Medical software
    • Office suite software
    • Operating system software
    • Presentation software
    • Process mapping and design software
    • Project management software
    • Risk management data and analysis software
    • Spreadsheet software
    • Tax preparation software
    • Word processing software