Compliance Managers

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About the Job

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

It is also Called

  • Chief Compliance Officer
  • Compliance Analyst
  • Compliance Coordinator
  • Compliance Director
  • Compliance Manager
  • Compliance Officer
  • Compliance Specialist
  • Corporate Compliance Director
  • Corporate Compliance Officer
  • Corporate Ethics Officer

What They Do

  • 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.

Interests

People who work in this occupation generally have the interest code: CER.

This means people who work in this occupation generally have Conventional interests, but also prefer Enterprising and Realistic environments.

Work Values

People who work in this occupation generally prize Achievement, but also value Support and Recognition in their jobs.

Things They Need to Know

  • English Language - Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
  • Law and Government - Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
  • 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.
  • 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.
  • Computers and Electronics - Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.

Things They Need to Be Able to Do

  • Critical Thinking - Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
  • Reading Comprehension - Understanding written sentences and paragraphs in work related documents.
  • Active Listening - Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
  • Monitoring - Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
  • Writing - Communicating effectively in writing as appropriate for the needs of the audience.
  • Coordination - Adjusting actions in relation to others' actions.
  • Speaking - Talking to others to convey information effectively.

Education Required

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

Wages

In 2012, the average annual wage in California was $123,580.00 with most people making between $62,700.00 and n/a

Outlook

1.17%
avg. annual growth

During 2010, this occupation employed approximately 87,900 people in California. It is projected that there will be 98,200 employed in 2020.

This occupation will have about 1,030 openings due to growth and about 1,950 replacement openings for approximately 2,980 total annual openings.

Common College Majors

Industries that Employ this Occupation


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