Compliance Managers

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Code: 11-9199.02

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

JobTitles : Business Practices Supervisor; Compliance Coordinator; Compliance Engineer-Products; Compliance Manager; Compliance Officer; Compliance Review Officer; Corporate Operations Compliance Manager; Director of Compliance; Director, Global Ethics & Compliance and Assistant General Counsel; Internal Review and Audit Compliance

Tasks:
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • File appropriate compliance reports with regulatory agencies.
  • Conduct or direct the internal investigation of compliance issues.
  • 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.
  • Disseminate written policies and procedures related to compliance activities.
  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  • Provide employee training on compliance related topics, policies, or procedures.
  • Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.