Compliance Managers

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

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.

Conventional

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.

Enterprising

Investigative occupations frequently involve working with ideas, and require an extensive amount of thinking. These occupations can involve searching for facts and figuring out problems mentally.

Investigative

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.

Realistic

Social occupations frequently involve working with, communicating with, and teaching people. These occupations often involve helping or providing service to others.

Social

Artistic occupations frequently involve working with forms, designs and patterns. They often require self-expression and the work can be done without following a clear set of rules.

Artistic

Job Zone Four: Considerable Preparation Needed

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.

Email software

IBM Notes

Microsoft Outlook

Microsoft PowerPoint

Actimize Brokerage Compliance Solutions

MetricStream Enterprise Compliance Platform

Oracle Enterprise Governance, Risk, and Compliance Manager

Thomson Reuters Paisley Enterprise GRC

Apple Safari

Microsoft Internet Explorer

Mozilla Firefox

Web browser software

Data analysis software

Horwath Software Magique

StataCorp Stata

MasterControl MD

MasterControl TotalPharma

Microsoft Excel

Healthcare common procedure coding system HCPCS

Tax software

Adobe Systems Adobe Acrobat

Photocopying equipment

Laptop computers

Computer laser printers

Multi-line telephone systems

Laser facsimile machines

Get good grades in college and study hard for the LSAT. Where you went to college won't matter much in terms of law school admissions.

I respond to email first thing in the morning, review pending orders that are escalated to me, and work on special projects for the President of my company. Mixed in throughout I will talk to the HR directors of our clients (some Fortune 500 companies) and handle any other internal issues. Every day is different.

Morgan Reynolds

Legal Counsel / Compliance Officer

Milestones

Education

Career

Career Roadmap

My work combines:

My work combines:

Business

Law

Problem Solving

Day to Day

Advice for Getting Started

Recommended Education

Hurdles

The Noise I Shed

From Society in General:

Morgan Reynolds

Legal Counsel / Compliance Officer

Milestones

Education

Career

Career Roadmap

My work combines:

My work combines:

Business

Law

Problem Solving

Day to Day

Advice for Getting Started

Recommended Education

My career is not related to what I studied. I'd recommend this path instead:

Hurdles

The Noise I Shed

From Society in General:

Related Leaders