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How to become Compliance Manager in 2024

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

Compliance Manager is Also Know as

In different settings, Compliance Manager is titled as

  • Accreditation Lieutenant
  • Accreditation Manager
  • Compliance Director
  • Compliance Manager
  • Compliance Operations Manager
  • Environmental Health and Safety Director
  • Environmental Manager
  • Environmental Program Manager
  • Health, Safety, and Environmental Manager (HSE Manager)
  • Risk Manager

Education and Training of Compliance Manager

Compliance Manager is categorized in Job Zone Four: Considerable Preparation Needed

Experience Required for Compliance Manager

A considerable amount of work-related skill, knowledge, or experience is needed for these occupations. For example, an accountant must complete four years of college and work for several years in accounting to be considered qualified.

Education Required for Compliance Manager

Most of these occupations require a four-year bachelor's degree, but some do not.

Degrees Related to Compliance Manager

Training Required for Compliance Manager

Employees in these occupations usually need several years of work-related experience, on-the-job training, and/or vocational training.

Related Ocuupations

Some Ocuupations related to Compliance Manager in different industries are

What Do Compliance Manager do?

  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
  • 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.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
  • 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.
  • 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.
  • 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.
  • Develop risk management strategies based on assessment of product, compliance, or operational risks.
  • Oversee internal reporting systems, such as corporate compliance hotlines.

Qualities of Good Compliance Manager

  • Oral Expression: The ability to communicate information and ideas in speaking so others will understand.
  • Written Expression: The ability to communicate information and ideas in writing so others will understand.
  • Problem Sensitivity: The ability to tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing that there is a problem.
  • Written Comprehension: The ability to read and understand information and ideas presented in writing.
  • Oral Comprehension: The ability to listen to and understand information and ideas presented through spoken words and sentences.
  • Deductive Reasoning: The ability to apply general rules to specific problems to produce answers that make sense.
  • Inductive Reasoning: The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
  • Speech Clarity: The ability to speak clearly so others can understand you.
  • Near Vision: The ability to see details at close range (within a few feet of the observer).
  • Information Ordering: The ability to arrange things or actions in a certain order or pattern according to a specific rule or set of rules (e.g., patterns of numbers, letters, words, pictures, mathematical operations).
  • Speech Recognition: The ability to identify and understand the speech of another person.
  • Category Flexibility: The ability to generate or use different sets of rules for combining or grouping things in different ways.
  • Fluency of Ideas: The ability to come up with a number of ideas about a topic (the number of ideas is important, not their quality, correctness, or creativity).
  • Far Vision: The ability to see details at a distance.
  • Selective Attention: The ability to concentrate on a task over a period of time without being distracted.
  • Flexibility of Closure: The ability to identify or detect a known pattern (a figure, object, word, or sound) that is hidden in other distracting material.
  • Originality: The ability to come up with unusual or clever ideas about a given topic or situation, or to develop creative ways to solve a problem.
  • Perceptual Speed: The ability to quickly and accurately compare similarities and differences among sets of letters, numbers, objects, pictures, or patterns. The things to be compared may be presented at the same time or one after the other. This ability also includes comparing a presented object with a remembered object.
  • Memorization: The ability to remember information such as words, numbers, pictures, and procedures.
  • Speed of Closure: The ability to quickly make sense of, combine, and organize information into meaningful patterns.
  • Mathematical Reasoning: The ability to choose the right mathematical methods or formulas to solve a problem.
  • Auditory Attention: The ability to focus on a single source of sound in the presence of other distracting sounds.
  • Time Sharing: The ability to shift back and forth between two or more activities or sources of information (such as speech, sounds, touch, or other sources).
  • Number Facility: The ability to add, subtract, multiply, or divide quickly and correctly.
  • Visualization: The ability to imagine how something will look after it is moved around or when its parts are moved or rearranged.
  • Hearing Sensitivity: The ability to detect or tell the differences between sounds that vary in pitch and loudness.
  • Visual Color Discrimination: The ability to match or detect differences between colors, including shades of color and brightness.
  • Depth Perception: The ability to judge which of several objects is closer or farther away from you, or to judge the distance between you and an object.
  • Finger Dexterity: The ability to make precisely coordinated movements of the fingers of one or both hands to grasp, manipulate, or assemble very small objects.
  • Trunk Strength: The ability to use your abdominal and lower back muscles to support part of the body repeatedly or continuously over time without "giving out" or fatiguing.
  • Control Precision: The ability to quickly and repeatedly adjust the controls of a machine or a vehicle to exact positions.
  • Manual Dexterity: The ability to quickly move your hand, your hand together with your arm, or your two hands to grasp, manipulate, or assemble objects.
  • Arm-Hand Steadiness: The ability to keep your hand and arm steady while moving your arm or while holding your arm and hand in one position.
  • Speed of Limb Movement: The ability to quickly move the arms and legs.
  • Wrist-Finger Speed: The ability to make fast, simple, repeated movements of the fingers, hands, and wrists.
  • Glare Sensitivity: The ability to see objects in the presence of a glare or bright lighting.
  • Sound Localization: The ability to tell the direction from which a sound originated.
  • Peripheral Vision: The ability to see objects or movement of objects to one's side when the eyes are looking ahead.
  • Night Vision: The ability to see under low-light conditions.
  • Spatial Orientation: The ability to know your location in relation to the environment or to know where other objects are in relation to you.
  • Reaction Time: The ability to quickly respond (with the hand, finger, or foot) to a signal (sound, light, picture) when it appears.
  • Rate Control: The ability to time your movements or the movement of a piece of equipment in anticipation of changes in the speed and/or direction of a moving object or scene.
  • Response Orientation: The ability to choose quickly between two or more movements in response to two or more different signals (lights, sounds, pictures). It includes the speed with which the correct response is started with the hand, foot, or other body part.
  • Multilimb Coordination: The ability to coordinate two or more limbs (for example, two arms, two legs, or one leg and one arm) while sitting, standing, or lying down. It does not involve performing the activities while the whole body is in motion.
  • Gross Body Coordination: The ability to coordinate the movement of your arms, legs, and torso together when the whole body is in motion.
  • Stamina: The ability to exert yourself physically over long periods of time without getting winded or out of breath.
  • Gross Body Equilibrium: The ability to keep or regain your body balance or stay upright when in an unstable position.
  • Dynamic Flexibility: The ability to quickly and repeatedly bend, stretch, twist, or reach out with your body, arms, and/or legs.
  • Extent Flexibility: The ability to bend, stretch, twist, or reach with your body, arms, and/or legs.
  • Dynamic Strength: The ability to exert muscle force repeatedly or continuously over time. This involves muscular endurance and resistance to muscle fatigue.
  • Explosive Strength: The ability to use short bursts of muscle force to propel oneself (as in jumping or sprinting), or to throw an object.
  • Static Strength: The ability to exert maximum muscle force to lift, push, pull, or carry objects.

Tools Used by Compliance Manager

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

Technology Skills required for Compliance Manager

  • 80-20 Software Leaders4
  • Actimize Brokerage Compliance Solutions
  • Adobe Acrobat
  • Agiliance Compliance Manager
  • Aline GRC
  • Apple Safari
  • 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
  • Database management software
  • Desktop publishing software
  • DoubleCheck GRC&T Platform
  • Email software
  • 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 HCPCS
  • Horwath Software Magique
  • Human resource information system (HRIS)
  • IBM Notes
  • Keane SCORE
  • LexisNexis
  • LRN Ethics and Compliance Alliance
  • MasterControl MD
  • MasterControl TotalPharma
  • MediRegs ComplyTrack
  • Methodware ERA
  • MetricStream Compliance Management
  • MetricStream Enterprise Compliance Platform
  • MetricStream Regulatory Reporting
  • Microsoft Access
  • Microsoft Excel
  • Microsoft Internet Explorer
  • Microsoft Office software
  • Microsoft Outlook
  • Microsoft PowerPoint
  • Microsoft Project
  • Microsoft SharePoint
  • Microsoft Visio
  • Microsoft Windows
  • Microsoft Word
  • Modulo Risk Manager
  • Mozilla Firefox
  • MyComplianceOffice Compliance Operations Management System
  • Neohapsis Certus GRC
  • Oracle Enterprise Governance, Risk, and Compliance Manager
  • Oracle Insurance Compliance Tracker
  • policyIQ
  • Protiviti Governance Portal
  • QUMAS quality management solution software
  • Resolve Legislative Compliance Management
  • RVR Systems Compliance
  • SAP BEx Report Designer
  • Scheduling software
  • Spreadsheet software
  • StataCorp Stata
  • Sword Achiever Compliance Portal Dashboard
  • Tax accounting software
  • Tax software
  • The Garland Group RiskKey
  • Thomson Reuters Paisley Enterprise GRC
  • Web browser software
  • Word processing software