Career Details
11-9199.02 - Compliance Managers
Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
Key Facts

Tasks

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.
Knowledge

- 91%Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
- 91%Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
- 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.
- 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.
- 74%Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.
- 72%Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
- 69%Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
- 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.
- 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.
- 59%Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
- 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.
- 53%Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
- 51%Knowledge of transmission, broadcasting, switching, control, and operation of telecommunications systems.
Tools

- Multi-line telephone systems
- Laptop computers
- Desktop computers
- Personal computers
- Computer laser printers
- Photocopying equipment
- Laser facsimile machines
Technology

- Human resource information system HRIS
- Microsoft ProjectHOT
- Microsoft SharePointHOT
- Microsoft OfficeHOT
- Tax software
- Tax accounting software
- Microsoft VisioHOT
- Microsoft WordHOT
- Word processing software
- Microsoft PowerPointHOT
- Scheduling software
- Microsoft ExcelHOT
- Spreadsheet software
- Desktop publishing software
- Adobe Systems Adobe AcrobatHOT
- Database management software
- SAP BEx Report Designer
- Microsoft AccessHOT
- LexisNexis
- Data analysis software
- Horwath Software Magique
- StataCorp Stata
- 80-20 Software Leaders4
- ARC Logics Sword
- Actimize Brokerage Compliance Solutions
- Agiliance Compliance Manager
- Aline GRC
- 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
- DoubleCheck GRC&T Platform
- EtQ Environmental Health and Safety Software
- EtQ FDA cGxP Compliance Software for Life Sciences
- FRSGlobal RegPro
- Fidessa Compliance Manager
- Governance, risk, and compliance GRC software
- Guideline Risk Technologies RUBI
- 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
- Protiviti Governance Portal
- QUMAS Compliance Solution
- RVR Systems Compliance
- Resolve Legislative Compliance Management
- Sword Achiever Compliance Portal Dashboard
- The Garland Group RiskKey
- Thomson Reuters Paisley Enterprise GRC
- policyIQ
- Healthcare common procedure coding system HCPCSHOT
- Apple Safari
- Microsoft Internet Explorer
- Mozilla Firefox
- Web browser software
- Microsoft WindowsHOT
- Email software
- IBM NotesHOT
- Microsoft OutlookHOT
Certifications

- Certified in Health Care Compliance6500 Barrie Rd, Suite 250 Minneapolis, MN 55435952-988-0141
- Healthcare Research Compliance Certification6500 Barrie Rd, Suite 250 Minneapolis, MN 55435952-988-0141
- Certified Professional Medical Auditor309 West 700 South, Salt Lake City, UT 84101
- Certified Consumer Compliance Specialist1155 Connecticut Ave NW, 5th Floor , Washington, DC 20036-4306
- Certified Consumer Compliance Specialist1129 20th Street, N.W. 9th Floor Washington, D.C., MN 20036
- Certified Regulatory Compliance ManagerInstitute of Certified Bankers, 1120 Connecticut Avenue, NW, Washington, DC 20036
- SES Standards Professional Certification13340 SW 96th Ave, Miami, FL 33176
- Certified Refrigeration Compliance ManagerPO Box 2099, Glenview, IL 60025-6099
- Certified U.S. Export Compliance Officer11225 N. 28th Dr. Suite B201 Phoenix, AZ 85029(602) 648-5750
- Responsible Care Auditor247 Maitland Avenue, Altamonte Springs, Florida 32701-4201
- Certified in Healthcare Privacy and Security233 N. Michigan Avenue, Suite 2150, Chicago, IL 60601-5519
- Certification for Institutional Review Board (IRB) Professionals
- Certified Professional IACUC Administrator
- Chartered Compliance Analyst1670-F East Cheyenne Mtn. Blvd.; Box #293 Colorado Springs, CO 80906
- Credit Union Compliance Expert5710 Mineral Point Road, Madison, WI 53701-0333
- IBM Certified Advanced Deployment Professional - IBM Service Management Security and Compliance V41133 Westchester Avenue White Plains, NY 10604404-238-1234 (outside U.S.)
- IBM Certified Associate Developer - OpenPages Fundamentals1133 Westchester Avenue White Plains, NY 10604404-238-1234 (outside U.S.)
- Fair Housing Compliance526 King Street, Ste. 511, Alexandria, VA 22314
- Certified FISMA Compliance Practitioner
- Certified Professional Compliance Officer309 West 700 South, Salt Lake City, UT 84101
- Associate, Insurance Regulatory Compliance2300 Windy Ridge Parkway, Suite 600 Atlanta, GA 303391-800-ASK-LOMA
- Certified Compliance Technician11240 Waples Mill Road, Suite 200, Fairfax, VA 22030
- Certified Community Bank Compliance Officer1615 L Street NW, Suite 900 Washington, D.C., DC 20036
- Certified Healthcare Billing and Management Executive1540 South Coast Highway, Suite 203 Laguna Beach, CA 92651
Licensing

Related Programs

Clicking on the Degree programs in the list below will take you away from the Careers page.
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This degree is excellent for those interested in the organization and reporting of financial data. Upon completion of the program, students can take an additional three courses for the Accounting Career Studies Certificate, and then are eligible to proceed to the CPA exam, if other education requirements are satisfied. Contact the Virginia Board of Accountancy for all education requirements.
The curriculum is designed for individuals who seek employment in business management or for those presently in management who are seeking promotion. Job opportunities include administrative assistant, management trainee, department head, branch manager, office manager, manager of small business, and supervisor.
This curriculum is designed for individuals who plan to transfer to a four-year college or university to complete a baccalaureate degree program in business administration with a major in accounting, business management, decision science and management, information systems, finance, marketing, etc.
This curriculum is designed for individuals who plan to seek employment in contract management positions and for those presently in contract management positions who seek career advancement. The program is designed to create opportunities for positions in contract management for both government agencies and private industry. Instruction includes both the theoretical concepts and the practical applications needed for future success in the contract management field. This will provide a greater understanding of acquisition, life cycle management, and contracting processes. Job opportunities include project manager, procurement analyst, contract administrator, contract specialist, contract negotiator, contract price analyst, and contract termination specialist.
The curriculum is designed to provide a broad foundation that will prepare students to enter any of the varied fields in criminal justice or to prepare for professional advancement. Job opportunities for students include local, state, and federal enforcement officers, police officers, private or government investigators, adult/juvenile correction officers, probation/parole officers and counselors, security directors (managers), loss prevention directors, classification managers, and personnel clearance administrators. Most of the ADJ courses in this curriculum are 'core courses' that provide a basic entry-level foundation in both criminal justice and security administration. These courses must be taken by ALL STUDENTS in this program. At several points in the curriculum, 'course options' are provided for selection by the students.
Special Curriculum Admission Requirements: Students are advised that many criminal justice and private/government security agencies require excellent moral character and a written record of conduct prior to consideration for employment.
This program prepares students for entry-level opportunities as a local, state, or federal law enforcement officer; commercial and industrial security officer; police officer; or private or government investigator, particularly in the areas of homeland security.
This program is designed to prepare students to transfer to a four-year college or university to complete a baccalaureate degree program in criminal justice, criminology, or related fields.
This program is designed for individuals who plan to transfer to a four-year institution to complete a bachelor of arts (B.A.).
This program is designed to prepare students who intend to transfer to a four-year institution to complete a bachelor's degree in international studies. This specialization will broaden the student's education to include more emphasis on other cultures and countries in recognition of the increasing interdependence of today's world.
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This program is a flexible associate degree. For students who plan to transfer, the degree can parallel the first two years of a four-year bachelor of science program if they choose courses that match the transfer institution's requirements. For those students who do not plan to transfer, the degree allows them to structure a program to suit their needs using accumulated credits from a variety of formal and experiential sources.
This program is designed for individuals who plan to transfer to a four-year college or university to complete a bachelor of science in one of the social sciences. It also prepares students for some teacher certification programs. Students from the A.S. program major in a wide variety of fields, including anthropology, economics, government/political science, history, mass communications, pre-law, psychology, public administration, social work, and sociology.
This curriculum prepares students to transfer to a four-year college or university teacher preparation program. It is specifically designed for students who plan to seek endorsement and licensure as teachers in PK-3, PK-6, middle school, or special education.
This degree program is designed to help students earn all of the required endorsement course hours for a teaching license in elementary education for the state of Virginia. In addition, this degree program includes many of the required endorsement courses for licensure in middle school (any subject) and high school history and social sciences. Some of these universities will guarantee admission to graduates of this program who have a cumulative GPA of at least 2.5, earn at least a 'C' in all English courses. Students are strongly encouraged to take the VCLA exam shortly after completing their 200-level English course. Students may want to take the Praxis CORE math exam after completing 9-12 hours of mathematics. The student, working directly with a NOVA Teacher Education Specialization advisor/counselor, should complete a transfer letter of agreement.
This program is designed for individuals who plan to transfer to a four-year college or university to complete a bachelor of science in a program that requires a background in American Sign Language and the Deaf community. Graduates may use their skills to work in human service fields such as daycare settings and as teacher assistants. Graduates from the program can also transfer to 4-year institutions and major in a wide variety of fields, including ASL instruction, Deaf education, linguistics, Deaf studies (e.g. history, literature, research, etc.), speech-language pathology and audiology, human services, communication sciences and disorders, and social work.
This program is designed for individuals who plan to transfer to a four-year college or university to complete a baccalaureate degree. Graduates will have the knowledge, skills, and abilities equivalent to students entering the junior level at four-year colleges and universities.
This program is designed to prepare students to transfer into baccalaureate programs in the geospatial or social sciences at a four-year institution. Students will learn theory about geospatial systems and how they are used.
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Preparation: Students are expected to understand fundamental computer applications and concepts before enrolling in GIS courses.
Students with a baccalaureate degree who wish to pursue the Certified Public Accountant (CPA) examination may use specific course work toward fulfillment of accounting educational requirements. Some course work also meets federal government guidelines for those interested in qualifying for positions or promotions in the federal government. Students should consult an accounting instructor to determine the courses that meet the educational requirements.
The Associate of Applied Science (A.A.S.) degree provides students with a strong foundation in accounting and business, along with general education requirements, enabling students to seek entry-level employment in accounting. In addition, the course work prepares students for certification exams.
The certificate programs provide course work that gives students the skills to sit for one or more certification exams administered by the Accreditation Council for Accountancy and Taxation (ACAT).
Students completing the A.A.S. in Management have opportunities to transfer to four-year universities to pursue B.S. degrees in Business Administration, Management, and related areas. See https://www.tcc.edu/programs/transfer/transfer-agreements/ for agreements.
Courses required for the Business Administration degree are available on all four campuses.
For those who wish to continue their education pursuits beyond the associate degree, Tidewater Community College has entered into formal articulation agreements with colleges and universities to ease transfer. Individuals interested in this option are encouraged to consult with a TCC advisor early in their academic program.
Students are advised to consult with the program coordinator prior to entering the program.
Courses required for the Liberal Arts degree are available on all four campuses.
Courses required for the General Studies degree are available on all four campuses.
Courses required for the Social Sciences degree are available on all four campuses.
Graduates of the maritime logistics program may enter or continue employment in the field of logistics management in maritime or traditional business environments.
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