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11-9199.02 - Compliance Managers


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


Key Facts
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Bright Outlook
1
Career Details
Green Job
Career Details
Current Employment
985,600
Estimate
Forecasted Employment
1,023,600
Estimate
Change in Employment
+38,000
Estimate
Change in Employment %
+3.9%
Estimate
Tasks
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Tasks
The tasks listed below can be performed to prepare you for a career in this field.
Core
  • 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.
  • 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.
  • 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.
  • Monitor compliance systems to ensure their effectiveness.
  • Identify compliance issues that require follow-up or investigation.
  • 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.
  • Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
  • Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
  • Keep informed regarding pending industry changes, trends, or best practices.
  • Direct the development or implementation of policies and procedures related to compliance throughout an organization.
Supplemental
  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
  • 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.
  • Develop risk management strategies based on assessment of product, compliance, or operational risks.
  • Oversee internal reporting systems, such as corporate compliance hotlines.
All data sourced from US Department of Labor, Employment & Training Administration O*Net Database.
Knowledge
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Knowledge

The items listed below are organized into sections that contain knowledge useful for pursuing a career in this field. Each section also contains a "Percentage of Importance" statistic that shows how relevant an item is to the occupation.
 Law and Government
  • 91%
    Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
 English Language
  • 91%
    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
  • 81%
    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
  • 74%
    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
  • 74%
    Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.
 Computers and Electronics
  • 72%
    Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
 Education and Training
  • 69%
    Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
 Clerical
  • 67%
    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.
 Public Safety and Security
  • 66%
    Knowledge of relevant equipment, policies, procedures, and strategies to promote effective local, state, or national security operations for the protection of people, data, property, and institutions.
 Mathematics
  • 59%
    Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
 Communications and Media
  • 58%
    Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media.
 Economics and Accounting
  • 53%
    Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
 Telecommunications
  • 51%
    Knowledge of transmission, broadcasting, switching, control, and operation of telecommunications systems.
All data sourced from US Department of Labor, Employment & Training Administration O*Net Database.
Tools
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Tools
The tools listed below include machines, equipment, tools, and software that is useful for individuals who are interested in this career.
 Computer printers
  • Computer laser printers
 Computers
  • Desktop computers
  • Laptop computers
  • Personal computers
 Duplicating machines
  • Laser facsimile machines
  • Photocopying equipment
 Personal communication devices
  • Multi-line telephone systems
All data sourced from US Department of Labor, Employment & Training Administration O*Net Database.
Technology
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Technology
The technologies listed below include machines, equipment, tools, and software that is useful for individuals who are interested in this career.
 Industry specific software
  • 80-20 Software Leaders4
  • Actimize Brokerage Compliance Solutions
  • Agiliance Compliance Manager
  • Aline GRC
  • ARC Logics Sword
  • Archer Compliance Management
  • AssurX CATSWeb
  • AssurX Financial Services Compliance Management System
  • Audit2 AdaptiveGRC
  • Axentis Compliance Management
  • BPS Compliance
  • BWise Compliance Management
  • CMO Compliance Regulatory Compliance Solution
  • Compliance 360
  • Compliance11 Supervisory Suite
  • ComplianceBridge Total Compliance
  • ControlCase Compliance Manager
  • Cura Software Solutions Cura for Compliance Management
  • Data analysis software
  • DoubleCheck GRC&T Platform
  • EtQ Environmental Health and Safety Software
  • EtQ FDA cGxP Compliance Software for Life Sciences
  • Fidessa Compliance Manager
  • FRSGlobal RegPro
  • Governance, risk, and compliance GRC software
  • Guideline Risk Technologies RUBI
  • Healthcare common procedure coding system HCPCSHOT
  • Horwath Software Magique
  • Keane SCORE
  • LRN Ethics and Compliance Alliance
  • MasterControl MD
  • MasterControl TotalPharma
  • MediRegs ComplyTrack
  • Methodware ERA
  • MetricStream Compliance Management
  • MetricStream Enterprise Compliance Platform
  • MetricStream Regulatory Reporting
  • Modulo Risk Manager
  • MyComplianceOffice Compliance Operations Management System
  • Neohapsis Certus GRC
  • Oracle Enterprise Governance, Risk, and Compliance Manager
  • Oracle Insurance Compliance Tracker
  • policyIQ
  • Protiviti Governance Portal
  • QUMAS Compliance Solution
  • Resolve Legislative Compliance Management
  • RVR Systems Compliance
  • StataCorp Stata
  • Sword Achiever Compliance Portal Dashboard
  • The Garland Group RiskKey
  • Thomson Reuters Paisley Enterprise GRC
 Content management software
  • Adobe Systems Adobe AcrobatHOT
 Network applications software
  • Apple Safari
  • Microsoft Internet Explorer
  • Mozilla Firefox
  • Web browser software
 Data management and query software
  • Database management software
  • LexisNexis
  • Microsoft AccessHOT
  • SAP BEx Report Designer
 Content authoring and editing software
  • Desktop publishing software
  • Microsoft ExcelHOT
  • Microsoft PowerPointHOT
  • Microsoft VisioHOT
  • Microsoft WordHOT
  • Scheduling software
  • Spreadsheet software
  • Word processing software
 Information exchange software
  • Email software
  • IBM NotesHOT
  • Microsoft OutlookHOT
 Business function specific software
  • Human resource information system HRIS
  • Microsoft OfficeHOT
  • Microsoft ProjectHOT
  • Microsoft SharePointHOT
 Operating environment software
  • Microsoft WindowsHOT
 Finance accounting and enterprise resource planning ERP software
  • Tax accounting software
  • Tax software
All data sourced from US Department of Labor, Employment & Training Administration O*Net Database.
Certifications
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Certifications
The certifications listed below are useful to pursue if you are interested in a career in this field.
 Specialty
 Advanced
 Product/Equipment
  • IBM Certified Associate Developer - OpenPages Fundamentals
    1133 Westchester Avenue White Plains, NY 10604404-238-1234 (outside U.S.)

  • IBM Certified Advanced Deployment Professional - IBM Service Management Security and Compliance V4
    1133 Westchester Avenue White Plains, NY 10604404-238-1234 (outside U.S.)

 Core
All data sourced from US Department of Labor, Employment & Training Administration O*Net Database.
Licensing
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Licensing
The licensing information below is organized into sections and is useful for pursuing if you are interested in a career in this field.
No specific licensing information is listed for this occupation in the area you have selected.
All data sourced from US Department of Labor, Employment & Training Administration O*Net Database.
Related Programs
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Programs related to this career, offered by participating institution(s), are listed below.

Clicking on the Degree programs in the list below will take you away from the Careers page.
INSTITUTION
PROGRAMS
Peirce College
 Programs
Jobs
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Jobs related to this career may be found on Indeed.com or on the Google Job Search page.