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Compliance Managers

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

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    Work Activities

    Work Activities

    • Keep informed regarding pending industry changes, trends, or best practices.
    • Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
    • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
    • Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
    • Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
    • File appropriate compliance reports with regulatory agencies.
    • Conduct or direct the internal investigation of compliance issues.
    • Direct the development or implementation of policies and procedures related to compliance throughout an organization.
    • Conduct environmental audits to ensure adherence to environmental standards.
    • Oversee internal reporting systems, such as corporate compliance hotlines.
    • Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
    • Keep informed regarding pending industry changes, trends, or best practices.
    • Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
    • Advise technical professionals on the development or use of environmental compliance or reporting tools.
    • Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
    • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
    • Identify compliance issues that require follow-up or investigation.
    • Consult with corporate attorneys as necessary to address difficult legal compliance issues.
    • Prepare management reports regarding compliance operations and progress.
    • Direct the development or implementation of policies and procedures related to compliance throughout an organization.
    • 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.
    • Oversee internal reporting systems, such as corporate compliance hotlines.
    • 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.
    • Disseminate written policies and procedures related to compliance activities.
    • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
    • 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.
    • Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
    • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
    • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
    • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
    • Provide employee training on compliance related topics, policies, or procedures.
    • Provide assistance to internal or external auditors in compliance reviews.
    • Evaluate testing procedures to meet the specifications of environmental monitoring programs.
    • Monitor compliance systems to ensure their effectiveness.
    • 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.
    • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
    • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
    • Develop risk management strategies based on assessment of product, compliance, or operational risks.
    • 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.

    Skills

    • Systems Analysis

      Figuring out how a system should work and how changes in the future will affect it.

    • Management of Personnel Resources

      Selecting and managing the best workers for a job.

    • Troubleshooting

      Figuring out what is causing equipment, machines, wiring, or computer programs to not work.

    • Repairing

      Repairing machines or systems using the right tools.

    • Judgment and Decision Making

      Thinking about the pros and cons of different options and picking the best one.

    • Persuasion

      Talking people into changing their minds or their behavior.

    • Active Learning

      Figuring out how to use new ideas or things.

    • Social Perceptiveness

      Understanding people's reactions.

    • Writing

      Writing things for co-workers or customers.

    • Programming

      Writing computer programs.

    • Equipment Maintenance

      Planning and doing the basic maintenance on equipment.

    • Quality Control Analysis

      Testing how well a product or service works.

    • Management of Financial Resources

      Making spending decisions and keeping track of what is spent.

    • Operations Analysis

      Figuring out what a product or service needs to be able to do.

    • Equipment Selection

      Deciding what kind of tools and equipment are needed to do a job.

    • Negotiation

      Bringing people together to solve differences.

    • Active Listening

      Listening to others, not interrupting, and asking good questions.

    • Mathematics

      Using math to solve problems.

    • Speaking

      Talking to others.

    • Coordination

      Changing what is done based on other people's actions.

    • Learning Strategies

      Using the best training or teaching strategies for learning new things.

    • Installation

      Installing equipment, machines, wiring, or computer programs.

    • Operations Monitoring

      Watching gauges, dials, or display screens to make sure a machine is working.

    • Operation and Control

      Using equipment or systems.

    • Systems Evaluation

      Measuring how well a system is working and how to improve it.

    • Time Management

      Managing your time and the time of other people.

    • Management of Material Resources

      Managing equipment and materials.

    • Technology Design

      Making equipment and technology useful for customers.

    • Instructing

      Teaching people how to do something.

    • Service Orientation

      Looking for ways to help people.

    • Complex Problem Solving

      Noticing a problem and figuring out the best way to solve it.

    • Critical Thinking

      Thinking about the pros and cons of different ways to solve a problem.

    • Reading Comprehension

      Reading work-related information.

    • Monitoring

      Keeping track of how well people and/or groups are doing in order to make improvements.

    • Science

      Using scientific rules and strategies to solve problems.

    WorkKeys®

    Applied Math
    5
    Workplace Documents
    5
    Graphic Literacy
    5

    Abilities

    • Oral Comprehension

      Listening and understanding what people say.

    • Visualization

      Imagining how something will look after it is moved around or changed.

    • Far Vision

      Seeing details that are far away.

    • Visual Color Discrimination

      Noticing the difference between colors, including shades and brightness.

    • Auditory Attention

      Paying attention to one sound while there are other distracting sounds.

    • Fluency of Ideas

      Coming up with lots of ideas.

    • Arm-Hand Steadiness

      Keeping your arm or hand steady.

    • Control Precision

      Quickly changing the controls of a machine, car, truck or boat.

    • Static Strength

      Lifting, pushing, pulling, or carrying.

    • Trunk Strength

      Using your lower back and stomach.

    • Gross Body Coordination

      Moving your arms, legs, and mid-section together while your whole body is moving.

    • Near Vision

      Seeing details up close.

    • Oral Expression

      Communicating by speaking.

    • Perceptual Speed

      Quickly comparing groups of letters, numbers, pictures, or other things.

    • Explosive Strength

      Jumping, sprinting, or throwing something.

    • Mathematical Reasoning

      Choosing the right type of math to solve a problem.

    • Spatial Orientation

      Knowing where things are around you.

    • Dynamic Strength

      Exercising for a long time without your muscles getting tired.

    • Number Facility

      Adding, subtracting, multiplying, or dividing.

    • Selective Attention

      Paying attention to something without being distracted.

    • Flexibility of Closure

      Seeing hidden patterns.

    • Speech Clarity

      Speaking clearly.

    • Memorization

      Remembering words, numbers, pictures, or steps.

    • Glare Sensitivity

      Seeing something even if there is a glare or very bright light.

    • Sound Localization

      Noticing the direction that a sound came from.

    • Written Expression

      Communicating by writing.

    • Information Ordering

      Ordering or arranging things.

    • Rate Control

      Changing when and how fast you move based on how something else is moving.

    • Stamina

      Exercising for a long time without getting out of breath.

    • Originality

      Creating new and original ideas.

    • Category Flexibility

      Grouping things in different ways.

    • Reaction Time

      Quickly moving your hand, finger, or foot based on a sound, light, picture or other command.

    • Written Comprehension

      Reading and understanding what is written.

    • Deductive Reasoning

      Using rules to solve problems.

    • Problem Sensitivity

      Noticing when problems happen.

    • Speed of Limb Movement

      Quickly moving your arms and legs.

    • Dynamic Flexibility

      Quickly and repeatedly bending, stretching, twisting, or reaching out with your body, arms, and/or legs.

    • Gross Body Equilibrium

      Keeping your balance or staying upright.

    • Night Vision

      Seeing at night or under low light.

    • Peripheral Vision

      Seeing something to your side when your are looking ahead.

    • Depth Perception

      Deciding which thing is closer or farther away from you, or deciding how far away it is from you.

    • Hearing Sensitivity

      Telling the difference between sounds.

    • Inductive Reasoning

      Making general rules or coming up with answers from lots of detailed information.

    • Speed of Closure

      Quickly knowing what you are looking at.

    • Time Sharing

      Doing two or more things at the same time.

    • Manual Dexterity

      Holding or moving items with your hands.

    • Finger Dexterity

      Putting together small parts with your fingers.

    • Multilimb Coordination

      Using your arms and/or legs together while sitting, standing, or lying down.

    • Response Orientation

      Quickly deciding if you should move your hand, foot, or other body part.

    • Extent Flexibility

      Bending, stretching, twisting, or reaching with your body, arms, and/or legs.

    • Speech Recognition

      Recognizing spoken words.

    • Wrist-Finger Speed

      Making fast, simple, repeated movements of your fingers, hands, and wrists.

    Knowledge

    • Law and Government

      Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.

    • Sociology and Anthropology

      Knowledge of group behavior and dynamics, societal trends and influences, human migrations, ethnicity, cultures, and their history and origins.

    • Therapy and Counseling

      Knowledge of principles, methods, and procedures for diagnosis, treatment, and rehabilitation of physical and mental dysfunctions, and for career counseling and guidance.

    • Geography

      Knowledge of principles and methods for describing the features of land, sea, and air masses, including their physical characteristics, locations, interrelationships, and distribution of plant, animal, and human life.

    • Philosophy and Theology

      Knowledge of different philosophical systems and religions. This includes their basic principles, values, ethics, ways of thinking, customs, practices, and their impact on human culture.

    • Personnel and Human Resources

      Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.

    • Physics

      Knowledge and prediction of physical principles, laws, their interrelationships, and applications to understanding fluid, material, and atmospheric dynamics, and mechanical, electrical, atomic and sub-atomic structures and processes.

    • Education and Training

      Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.

    • Telecommunications

      Knowledge of transmission, broadcasting, switching, control, and operation of telecommunications systems.

    • Economics and Accounting

      Knowledge of economic and accounting principles and practices, the financial markets, banking, and the analysis and reporting of financial data.

    • Sales and Marketing

      Knowledge of principles and methods for showing, promoting, and selling products or services. This includes marketing strategy and tactics, product demonstration, sales techniques, and sales control systems.

    • English Language

      Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.

    • History and Archeology

      Knowledge of historical events and their causes, indicators, and effects on civilizations and cultures.

    • Biology

      Knowledge of plant and animal organisms, their tissues, cells, functions, interdependencies, and interactions with each other and the environment.

    • Foreign Language

      Knowledge of the structure and content of a foreign (non-English) language including the meaning and spelling of words, rules of composition and grammar, and pronunciation.

    • Administration and Management

      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.

    • Engineering and Technology

      Knowledge of the practical application of engineering science and technology. This includes applying principles, techniques, procedures, and equipment to the design and production of various goods and services.

    • Mechanical

      Knowledge of machines and tools, including their designs, uses, repair, and maintenance.

    • Mathematics

      Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.

    • Psychology

      Knowledge of human behavior and performance; individual differences in ability, personality, and interests; learning and motivation; psychological research methods; and the assessment and treatment of behavioral and affective disorders.

    • Public Safety and Security

      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.

    • Fine Arts

      Knowledge of the theory and techniques required to compose, produce, and perform works of music, dance, visual arts, drama, and sculpture.

    • Production and Processing

      Knowledge of raw materials, production processes, quality control, costs, and other techniques for maximizing the effective manufacture and distribution of goods.

    • Computers and Electronics

      Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.

    • Customer and Personal Service

      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.

    • Transportation

      Knowledge of principles and methods for moving people or goods by air, rail, sea, or road, including the relative costs and benefits.

    • Food Production

      Knowledge of techniques and equipment for planting, growing, and harvesting food products (both plant and animal) for consumption, including storage/handling techniques.

    • Design

      Knowledge of design techniques, tools, and principles involved in production of precision technical plans, blueprints, drawings, and models.

    • Chemistry

      Knowledge of the chemical composition, structure, and properties of substances and of the chemical processes and transformations that they undergo. This includes uses of chemicals and their interactions, danger signs, production techniques, and disposal methods.

    • Communications and Media

      Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media.

    • Building and Construction

      Knowledge of materials, methods, and the tools involved in the construction or repair of houses, buildings, or other structures such as highways and roads.

    • Administrative

      Knowledge of administrative and office procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and workplace terminology.

    • Medicine and Dentistry

      Knowledge of the information and techniques needed to diagnose and treat human injuries, diseases, and deformities. This includes symptoms, treatment alternatives, drug properties and interactions, and preventive health-care measures.

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    Pay

    • Ohio Annual Salary 125280/yr
    • Typical Salary
    • Ohio Hourly Wage 60.23/hr
    • Typical Hourly Wage

    Ohio Employment Trends

    • Currently Employed 15,250
    • Yearly Projected Openings 1150

    Typical Education

    Personality

    Conventional: People interested in this work like activities that include data, detail, and regular routines.They do well at jobs that need:
    • Integrity
    • Attention to Detail
    • Stress Tolerance
    • Dependability
    • Persistence
    • Self Control

    Tools

    • Desktop computers
    • Laser fax machine
    • Laser printers
    • Notebook computers
    • Personal computers
    • Photocopiers
    • Special purpose telephones

    Technology

    • Accounting software
    • Analytical or scientific software
    • Calendar and scheduling software
    • Cloud-based data access and sharing software
    • Compliance software
    • Data base management system software
    • Data base reporting software
    • Data base user interface and query software
    • Desktop publishing software
    • Document management software
    • Electronic mail software
    • Human resources software
    • Information retrieval or search software
    • Internet browser software
    • Medical software
    • Office suite software
    • Operating system software
    • Presentation software
    • Process mapping and design software
    • Project management software
    • Risk management data and analysis software
    • Spreadsheet software
    • Tax preparation software
    • Word processing software

    Tags

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