Occupation Details
Compliance Managers
Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
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Interests
Realistic
Realistic occupations frequently involve work activities that include practical, hands-on problems and solutions. They often deal with plants, animals, and real-world materials like wood, tools, and machinery. Many of the occupations require working outside, and do not involve a lot of paperwork or working closely with others.
Enterprising
Enterprising occupations frequently involve starting up and carrying out projects. These occupations can involve leading people and making many decisions. Sometimes they require risk taking and often deal with business.
Conventional
Conventional occupations frequently involve following set procedures and routines. These occupations can include working with data and details more than with ideas. Usually there is a clear line of authority to follow.
Work Values
Achievement
Occupations that satisfy this work value are results oriented and allow employees to use their strongest abilities, giving them a feeling of accomplishment. Corresponding needs are Ability Utilization and Achievement.
Support
Occupations that satisfy this work value offer supportive management that stands behind employees. Corresponding needs are Company Policies, Supervision: Human Relations and Supervision: Technical.
Independence
Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy.
Salary & Job Outlook
Starting Salary
$84,090.00
New York StateMedian Salary
$135,950.00
New York StateExperienced Salary
$194,710.00
New York StateNational Average for Comparison
New York State Job Market Outlook
Jobs Right Now (2018)
236,390
professionals in NYFuture Job Growth (2030)
276,430
+4,004 jobs/yearNew Jobs Every Year
24,663
new opportunities yearlyGrowth Rate
0.2%
projected increasePreparation: Experience, Training, and Education
The list below outlines the prior educational experience required to perform in this occupation.
Degree Needed - Four-year college
Experience Requirements
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 Requirements
Most of these occupations require a four-year bachelor's degree, but some do not.
Training Details
Employees in these occupations usually need several years of work-related experience, on-the-job training, and/or vocational training.
Transferrable Skills and Experience
Many of these occupations involve coordinating, supervising, managing, or training others. Examples include real estate brokers, sales managers, database administrators, graphic designers, conservation scientists, art directors, and cost estimators.
School Programs
The following lists school programs which are applicable to this occupation.
Licensing & Certification
State License and Certifications Requirements are not currently associated with this occupation.
Apprenticeship
Contact your regional representative to learn more about apprenticeships available in your area by visiting Apprenticeship Contacts.
Skills
The list below includes the skills required by workers in this occupation; skills are what allow you to learn more quickly and improve your performance.
Reading Comprehension
Understanding written sentences and paragraphs in work-related documents.
Critical Thinking
Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
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.
Writing
Communicating effectively in writing as appropriate for the needs of the audience.
Speaking
Talking to others to convey information effectively.
Monitoring
Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
Skill level is measured on a seven point scale, where one means 'some competence required for this occupation' and seven means 'a high level of expertise required for this occupation'.
Knowledge
The list below includes knowledge items, the principles and facts required by this occupation.
Law and Government
Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
English Language
Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
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.
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.
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.
Computers and Electronics
Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
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.
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.
Knowledge level is measured on a seven point scale, where one means 'some competence required for this occupation' and seven means 'a high level of expertise required for this occupation'.
Work Environment
The list below includes the physical and social factors that influence the nature of work in this occupation.
Hover over or tap each factor to see its description.
Work Styles
Included in the list below are the personal work style characteristics that can affect how well a worker is likely to perform in this occupation.
Achievement/Effort
Job requires establishing and maintaining personally challenging achievement goals and exerting effort toward mastering tasks.
Attention to Detail
Job requires being careful about detail and thorough in completing work tasks.
Cooperation
Job requires being pleasant with others on the job and displaying a good-natured, cooperative attitude.
Dependability
Job requires being reliable, responsible, and dependable, and fulfilling obligations.
Initiative
Job requires a willingness to take on responsibilities and challenges.
Integrity
Job requires being honest and ethical.
Leadership
Job requires a willingness to lead, take charge, and offer opinions and direction.
Persistence
Job requires persistence in the face of obstacles.
Self-Control
Job requires maintaining composure, keeping emotions in check, controlling anger, and avoiding aggressive behavior, even in very difficult situations.
Stress Tolerance
Job requires accepting criticism and dealing calmly and effectively with high-stress situations.
Tools & Technology
This list below describes the machines, equipment, tools, software, and information technology that workers in this occupation will use.
Tools
- Computer laser printers
- Desktop computers
- Laptop computers
- Laser facsimile machines
- Multi-line telephone systems
- Personal computers
Technology
- Actimize Brokerage Compliance Solutions
- Adobe Systems Adobe Acrobat
- Aline GRC
- Apple Safari
- Cura Software Solutions Cura for Compliance Management
- Data analysis software
- Database management software
- Desktop publishing software
- DoubleCheck GRC&T Platform
- Email software
- Guideline Risk Technologies RUBI
- Healthcare common procedure coding system HCPCS
- Horwath Software Magique
- Human resource information system (HRIS)
- IBM Notes
- LRN Ethics and Compliance Alliance
Duties
Job duties information is not available for this occupation.
Tasks
The list below outlines specific tasks that a worker in this occupation is called upon to do regularly.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Identify compliance issues that require follow-up or investigation.
- 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.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Conduct or direct the internal investigation of compliance issues.
- Provide employee training on compliance related topics, policies, or procedures.
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
- Develop risk management strategies based on assessment of product, compliance, or operational risks.
- Disseminate written policies and procedures related to compliance activities.
- Prepare management reports regarding compliance operations and progress.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Keep informed regarding pending industry changes, trends, or best practices.
- Monitor compliance systems to ensure their effectiveness.
- Direct the development or implementation of policies and procedures related to compliance throughout an organization.
- Advise internal management or business partners on the implementation or operation of compliance programs.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Provide assistance to internal or external auditors in compliance reviews.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- 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.
- Conduct environmental audits to ensure adherence to environmental standards.
- 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.
- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
- Oversee internal reporting systems, such as corporate compliance hotlines.
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- 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.