Compliance Managers

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SNAPSHOT
Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
Leadership
HIGH
Critical decision making
HIGH
Level of responsibilities
HIGH
Job challenge and pressure to meet deadlines
HIGH
Dealing and handling conflict
LOW
Competition for this position
HIGH
Communication with others
HIGH
Work closely with team members, clients etc.
HIGH
Comfort of the work setting
HIGH
Exposure to extreme environmental conditions
LOW
Exposure to job hazards
LOW
Physical demands
LOW
Daily tasks

Provide assistance to internal or external auditors in compliance reviews.

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

File appropriate compliance reports with regulatory agencies.

Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.

Consult with corporate attorneys as necessary to address difficult legal compliance issues.

Prepare management reports regarding compliance operations and progress.

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

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

Identify compliance issues that require follow-up or investigation.

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

Direct the development or implementation of policies and procedures related to compliance throughout an organization.

MAIN ACTIVITIES
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.
Getting Information Observing, receiving, and otherwise obtaining information from all relevant sources.
Communicating with Supervisors, Peers, or Subordinates Providing information to supervisors, co-workers, and subordinates by telephone, in written form, e-mail, or in person.
Interacting With Computers Using computers and computer systems (including hardware and software) to program, write software, set up functions, enter data, or process information.
Documenting/Recording Information Entering, transcribing, recording, storing, or maintaining information in written or electronic/magnetic form.
Making Decisions and Solving Problems Analyzing information and evaluating results to choose the best solution and solve problems.
Updating and Using Relevant Knowledge Keeping up-to-date technically and applying new knowledge to your job.
Establishing and Maintaining Interpersonal Relationships Developing constructive and cooperative working relationships with others, and maintaining them over time.
AREAS OF KNOWLEDGE
Law and Government Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
English Language Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
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.
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.
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.
Computers and Electronics Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
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.
Clerical Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and other office procedures and terminology.
TOP SKILLS
Reading Comprehension Understanding written sentences and paragraphs in work related documents.
Critical Thinking Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
Speaking Talking to others to convey information effectively.
Active Listening Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
Writing Communicating effectively in writing as appropriate for the needs of the audience.
Active Learning Understanding the implications of new information for both current and future problem-solving and decision-making.
Monitoring Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
Coordination Adjusting actions in relation to others' actions.