What does a Compliance Manager do?

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

Jobs Roles

  • 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.
  • Discuss emerging compliance issues with management or employees.
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  • Advise internal management or business partners on the implementation or operation of compliance programs.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
  • 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.
  • Provide assistance to internal or external auditors in compliance reviews.
  • Prepare management reports regarding compliance operations and progress.
  • Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
  • Monitor compliance systems to ensure their effectiveness.
  • 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.
  • Disseminate written policies and procedures related to compliance activities.
  • File appropriate compliance reports with regulatory agencies.
  • 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.
  • Conduct or direct the internal investigation of compliance issues.
  • Assess product, compliance, or operational risks and develop risk management strategies.
  • Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
  • Direct the development or implementation of compliance-related policies and procedures throughout an organization.
  • Advise technical professionals on the development or use of environmental compliance or reporting tools.
  • Conduct environmental audits to ensure adherence to environmental 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.
  • 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.
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