Compliance Managers

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.

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.

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

Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.

Provide assistance to internal or external auditors in compliance reviews.

Design or implement improvements in communication, monitoring, or enforcement of compliance standards.

Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.

Assess product, compliance, or operational risks and develop risk management strategies.

Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.

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.

Advise technical professionals on the development or use of environmental compliance or reporting tools.

Evaluate testing procedures to meet the specifications of environmental monitoring programs.

Conduct environmental audits to ensure adherence to environmental standards.

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.

Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.