Org.AI Foundation Partner

Compliance Managers

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

Tasks
29 tasks20 core, 9 supplemental
Family
ManagementOne of its 59 occupations
Code
11-9199.02SOC 2018: 11-9199

Read the 29 tasks Download this record as JSON

What the work is made of

20 core tasks and 9 supplemental, each quoted as published, with the survey it came from.

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Core: central to the jobSupplemental: done by some, not all

  1. Task 1. Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.Core taskTask 15645Rated by 77 people who do the job, August 2019
  2. Task 2. Identify compliance issues that require follow-up or investigation.Core taskTask 15650Rated by 76 people who do the job, August 2019
  3. Task 3. Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.Core taskTask 21088Rated by 77 people who do the job, August 2019
  4. Task 4. File appropriate compliance reports with regulatory agencies.Core taskTask 15653Rated by 77 people who do the job, August 2019
  5. Task 5. Maintain documentation of compliance activities, such as complaints received or investigation outcomes.Core taskTask 15638Rated by 77 people who do the job, August 2019
  6. Task 6. Consult with corporate attorneys as necessary to address difficult legal compliance issues.Core taskTask 15639Rated by 76 people who do the job, August 2019
  7. Task 7. Conduct or direct the internal investigation of compliance issues.Core taskTask 15656Rated by 77 people who do the job, August 2019
  8. Task 8. Provide employee training on compliance related topics, policies, or procedures.Core taskTask 15644Rated by 77 people who do the job, August 2019
  9. Task 9. Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.Core taskTask 15637Rated by 77 people who do the job, August 2019
  10. Task 10. Verify that all regulatory policies and procedures have been documented, implemented, and communicated.Core taskTask 21089Rated by 77 people who do the job, August 2019
  11. Task 11. Disseminate written policies and procedures related to compliance activities.Core taskTask 15652Rated by 76 people who do the job, August 2019
  12. Task 12. Prepare management reports regarding compliance operations and progress.Core taskTask 15647Rated by 77 people who do the job, August 2019
  13. Task 13. Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.Core taskTask 15655Rated by 77 people who do the job, August 2019
  14. Task 14. Keep informed regarding pending industry changes, trends, or best practices.Core taskTask 21090Rated by 76 people who do the job, August 2019
  15. Task 15. Monitor compliance systems to ensure their effectiveness.Core taskTask 15649Rated by 77 people who do the job, August 2019
  16. Task 16. Direct the development or implementation of policies and procedures related to compliance throughout an organization.Core taskTask 21091Rated by 77 people who do the job, August 2019
  17. Task 17. Advise internal management or business partners on the implementation or operation of compliance programs.Core taskTask 15642Rated by 76 people who do the job, August 2019
  18. Task 18. Design or implement improvements in communication, monitoring, or enforcement of compliance standards.Core taskTask 15654Rated by 76 people who do the job, August 2019
  19. Task 19. Provide assistance to internal or external auditors in compliance reviews.Core taskTask 15646Rated by 77 people who do the job, August 2019
  20. Task 20. Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.Core taskTask 15641Rated by 77 people who do the job, August 2019
  21. Task 21. Develop risk management strategies based on assessment of product, compliance, or operational risks.Supplemental taskTask 21092Rated by 76 people who do the job, August 2019
  22. Task 22. Advise technical professionals on the development or use of environmental compliance or reporting tools.Supplemental taskTask 19533Rated by 77 people who do the job, August 2019
  23. Task 23. Conduct environmental audits to ensure adherence to environmental standards.Supplemental taskTask 19534Rated by 77 people who do the job, August 2019
  24. Task 24. Evaluate testing procedures to meet the specifications of environmental monitoring programs.Supplemental taskTask 19537Rated by 75 people who do the job, August 2019
  25. Task 25. Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.Supplemental taskTask 19538Rated by 76 people who do the job, August 2019
  26. Task 26. Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.Supplemental taskTask 15643Rated by 77 people who do the job, August 2019
  27. Task 27. Oversee internal reporting systems, such as corporate compliance hotlines.Supplemental taskTask 21093Rated by 76 people who do the job, August 2019
  28. Task 28. Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.Supplemental taskTask 15636Rated by 76 people who do the job, August 2019
  29. Task 29. 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.Supplemental taskTask 19536Rated by 76 people who do the job, August 2019

Where this comes from

Quoted from the U.S. Department of Labor, and credited. Nothing on this page is written by us.

How we copy and credit sources
  1. Published by
    O*NET 29.0, U.S. Department of LaborEmployment and Training Administration
  2. Classification
    Standard Occupational Classification 2018, 11-9199
  3. License
    CC BY 4.0Free to copy and reuse, with credit
  4. Changed by us
    Nothing.

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