Related Job Titles: Compliance Officer; Compliance Manager; Compliance Coordinator; Business Practices Supervisor; Compliance Engineer-Products; Compliance Review Officer; Corporate Operations Compliance Manager; Director of Compliance; Internal Review and Audit Compliance; Director, Global Ethics & Compliance and Assistant General Counsel
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.
Discuss emerging compliance issues with management or employees.
Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
Advise internal management or business partners on the implementation or operation of compliance programs.
Consult with corporate attorneys as necessary to address difficult legal compliance issues.
Direct the development or implementation of compliance-related policies and procedures throughout an organization.
Monitor compliance systems to ensure their effectiveness.
Prepare management reports regarding compliance operations and progress.
Provide assistance to internal or external auditors in compliance reviews.
Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
Assess product, compliance, or operational risks and develop risk management strategies.
Reading Comprehension - Understanding written sentences and paragraphs in work related documents.
Monitoring - Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
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.
Coordination - Adjusting actions in relation to others' actions.
Speaking - Talking to others to convey information effectively.
Social Perceptiveness - Being aware of others' reactions and understanding why they react as they do.
Active Learning - Understanding the implications of new information for both current and future problem-solving and decision-making.
Persuasion - Persuading others to change their minds or behavior.