Compliance Managers
Overview
Demand
Core Tasks
Technology Skills
Tools Used
Top 10 Knowledge Required
Top 10 Skills
Top 10 Abilities
Top 10 Work Activities
Detailed Work Activities
Work Context
Education
Majors
Interests
Top 10 Work Styles
Work Values
Overview
Job Zone Four: Considerable Preparation Needed
Experience
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
Most of these occupations require a four-year bachelor's degree, but some do not.
Job Training
Employees in these occupations usually need several years of work-related experience, on-the-job training, and/or vocational training.
Examples
Many of these occupations involve coordinating, supervising, managing, or training others. Examples include real estate brokers, sales managers, database administrators, graphic designers, chemists, art directors, and cost estimators.
Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
Demand
Core Tasks
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.
Direct the development or implementation of policies and procedures related to compliance throughout an organization.
Keep informed regarding pending industry changes, trends, or best practices.
Monitor compliance systems to ensure their effectiveness.
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.
Advise technical professionals on the development or use of environmental compliance or reporting tools.
Provide assistance to internal or external auditors in compliance reviews.
Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
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.
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.
Oversee internal reporting systems, such as corporate compliance hotlines.
Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
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.
Technology Skills
Technology
Example
Hot Technology
Tools Used
Tool
Example
Top 10 Knowledge Required
Law and Government
92%
Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
English Language
91%
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
82%
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
75%
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
74%
Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.
Computers and Electronics
72%
Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
Education and Training
69%
Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
Clerical
68%
Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and other office procedures and terminology.
Public Safety and Security
66%
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.
Communications and Media
59%
Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media.
Top 10 Skills
Critical Thinking
80%
Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
Reading Comprehension
80%
Understanding written sentences and paragraphs in work related documents.
Active Listening
78%
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.
Speaking
78%
Talking to others to convey information effectively.
Writing
78%
Communicating effectively in writing as appropriate for the needs of the audience.
Active Learning
75%
Understanding the implications of new information for both current and future problem-solving and decision-making.
Coordination
75%
Adjusting actions in relation to others' actions.
Monitoring
75%
Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
Persuasion
73%
Persuading others to change their minds or behavior.
Judgment and Decision Making
70%
Considering the relative costs and benefits of potential actions to choose the most appropriate one.
Top 10 Abilities
Oral Expression
83%
The ability to communicate information and ideas in speaking so others will understand.
Problem Sensitivity
83%
The ability to tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing there is a problem.
Written Expression
83%
The ability to communicate information and ideas in writing so others will understand.
Deductive Reasoning
80%
The ability to apply general rules to specific problems to produce answers that make sense.
Inductive Reasoning
80%
The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
Oral Comprehension
80%
The ability to listen to and understand information and ideas presented through spoken words and sentences.
Written Comprehension
80%
The ability to read and understand information and ideas presented in writing.
Near Vision
73%
The ability to see details at close range (within a few feet of the observer).
Speech Clarity
73%
The ability to speak clearly so others can understand you.
Information Ordering
70%
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).
Top 10 Work Activities
Evaluating Information to Determine Compliance with Standards
96%
Using relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.
Getting Information
96%
Observing, receiving, and otherwise obtaining information from all relevant sources.
Communicating with Supervisors, Peers, or Subordinates
95%
Providing information to supervisors, co-workers, and subordinates by telephone, in written form, e-mail, or in person.
Interacting With Computers
94%
Using computers and computer systems (including hardware and software) to program, write software, set up functions, enter data, or process information.
Documenting/Recording Information
91%
Entering, transcribing, recording, storing, or maintaining information in written or electronic/magnetic form.
Making Decisions and Solving Problems
89%
Analyzing information and evaluating results to choose the best solution and solve problems.
Updating and Using Relevant Knowledge
89%
Keeping up-to-date technically and applying new knowledge to your job.
Establishing and Maintaining Interpersonal Relationships
87%
Developing constructive and cooperative working relationships with others, and maintaining them over time.
Identifying Objects, Actions, and Events
87%
Identifying information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events.
Communicating with Persons Outside Organization
85%
Communicating with people outside the organization, representing the organization to customers, the public, government, and other external sources. This information can be exchanged in person, in writing, or by telephone or e-mail.
Detailed Work Activities
Communicate with government agencies.
Communicate organizational policies and procedures.
Advise others on legal or regulatory compliance matters.
Maintain regulatory or compliance documentation.
Confer with organizational members to accomplish work activities.
Determine operational compliance with regulations or standards.
Conduct employee training programs.
Liaise between departments or other groups to improve function or communication.
Verify accuracy of records.
Implement organizational process or policy changes.
Prepare reports related to compliance matters.
Conduct financial or regulatory audits.
Stay informed about current developments in field of specialization.
Update knowledge about emerging industry or technology trends.
Maintain knowledge of current developments in area of expertise.
Monitor organizational compliance with regulations.
Develop organizational policies or programs.
Develop operating strategies, plans, or procedures.
Manage control system activities in organizations.
Advise others on business or operational matters.
Analyze risks to minimize losses or damages.
Develop emergency response plans or procedures.
Develop sustainable organizational policies or practices.
Conduct environmental audits.
Evaluate green operations or programs for compliance with standards or regulations.
Examine marketing materials to ensure compliance with policies or regulations.
Monitor organizational procedures to ensure proper functioning.
Coordinate reporting or editing activities.
Develop computer or information systems.
Manage environmental sustainability projects.
Work Context
Electronic Mail
How often do you use electronic mail in this job?
Indoors, Environmentally Controlled
How often does this job require working indoors in environmentally controlled conditions?
Telephone
How often do you have telephone conversations in this job?
Face-to-Face Discussions
How often do you have to have face-to-face discussions with individuals or teams in this job?
Work With Work Group or Team
How important is it to work with others in a group or team in this job?
Contact With Others
How much does this job require the worker to be in contact with others (face-to-face, by telephone, or otherwise) in order to perform it?
Importance of Being Exact or Accurate
How important is being very exact or highly accurate in performing this job?
Impact of Decisions on Co-workers or Company Results
What results do your decisions usually have on other people or the image or reputation or financial resources of your employer?
Time Pressure
How often does this job require the worker to meet strict deadlines?
Freedom to Make Decisions
How much decision making freedom, without supervision, does the job offer?
Education
Majors based on the broader career Managers, All Other
Major
Interests
Conventional
81%
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.
Enterprising
77%
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.
Investigative
53%
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.
Realistic
53%
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.
Social
24%
Social occupations frequently involve working with, communicating with, and teaching people. These occupations often involve helping or providing service to others.
Artistic
19%
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.
Top 10 Work Styles
Integrity
96%
Job requires being honest and ethical.
Attention to Detail
93%
Job requires being careful about detail and thorough in completing work tasks.
Dependability
92%
Job requires being reliable, responsible, and dependable, and fulfilling obligations.
Stress Tolerance
92%
Job requires accepting criticism and dealing calmly and effectively with high stress situations.
Persistence
88%
Job requires persistence in the face of obstacles.
Self Control
88%
Job requires maintaining composure, keeping emotions in check, controlling anger, and avoiding aggressive behavior, even in very difficult situations.
Leadership
87%
Job requires a willingness to lead, take charge, and offer opinions and direction.
Achievement/Effort
85%
Job requires establishing and maintaining personally challenging achievement goals and exerting effort toward mastering tasks.
Initiative
85%
Job requires a willingness to take on responsibilities and challenges.
Cooperation
84%
Job requires being pleasant with others on the job and displaying a good-natured, cooperative attitude.
Work Values
Achievement
72%
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
72%
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
67%
Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy.
Recognition
67%
Occupations that satisfy this work value offer advancement, potential for leadership, and are often considered prestigious. Corresponding needs are Advancement, Authority, Recognition and Social Status.
Relationships
67%
Occupations that satisfy this work value allow employees to provide service to others and work with co-workers in a friendly non-competitive environment. Corresponding needs are Co-workers, Moral Values and Social Service.
Working Conditions
65%
Occupations that satisfy this work value offer job security and good working conditions. Corresponding needs are Activity, Compensation, Independence, Security, Variety and Working Conditions.
