Occupation

Compliance Managers

Human Advantage 77%

Significant human skills needed

AI Automation Risk Low Risk
2.2 / 10

This occupation requires complex human judgment, social interaction, and creative problem-solving that are difficult to automate.

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

Also Known As: Accreditation Lieutenant, Accreditation Manager, Anti Money Laundering Compliance Manager (AML Compliance Manager), Audit Manager, Compliance Audit Manager, Compliance Coordinator, Compliance Director, Compliance Manager +19 more

Video

Core Tasks

  1. Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  2. Identify compliance issues that require follow-up or investigation.
  3. Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
  4. File appropriate compliance reports with regulatory agencies.
  5. Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  6. Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  7. Conduct or direct the internal investigation of compliance issues.
  8. Provide employee training on compliance related topics, policies, or procedures.
  9. Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  10. Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
  11. Disseminate written policies and procedures related to compliance activities.
  12. Prepare management reports regarding compliance operations and progress.
  13. Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
  14. Keep informed regarding pending industry changes, trends, or best practices.
  15. Monitor compliance systems to ensure their effectiveness.
  16. Direct the development or implementation of policies and procedures related to compliance throughout an organization.
  17. Advise internal management or business partners on the implementation or operation of compliance programs.
  18. Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
  19. Provide assistance to internal or external auditors in compliance reviews.
  20. Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.

Supplemental Tasks (9)

  1. Develop risk management strategies based on assessment of product, compliance, or operational risks.
  2. Advise technical professionals on the development or use of environmental compliance or reporting tools.
  3. Conduct environmental audits to ensure adherence to environmental standards.
  4. Evaluate testing procedures to meet the specifications of environmental monitoring programs.
  5. Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
  6. Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
  7. Oversee internal reporting systems, such as corporate compliance hotlines.
  8. Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
  9. 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.

Education & Training

Job Zone 4 Job Zone Four: Considerable Preparation Needed
Education: Most of these occupations require a four-year bachelor's degree, but some do not.
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.
On-the-Job Training: Employees in these occupations usually need several years of work-related experience, on-the-job training, and/or vocational training.

Education Level Distribution

Percentage of workers in this occupation with each education level.

Bachelor's Degree
63%
Master's Degree
14%
High School Diploma - or the equivalent (for example, GED)
9%
Post-Secondary Certificate - awarded for training completed after high school (for example, in agriculture or natural resources, computer services, personal or culinary services, engineering technologies, healthcare, construction trades, mechanic and repair technologies, or precision production)
7%
Associate's Degree (or other 2-year degree)
5%
Some College Courses
1%
First Professional Degree - awarded for completion of a program that: requires at least 2 years of college work before entrance into the program, includes a total of at least 6 academic years of work to complete, and provides all remaining academic requirements to begin practice in a profession.
0%
Find Training Programs

Technology & Tools

Hot Technologies

  • Adobe Acrobat
  • Microsoft Access
  • Microsoft Excel
  • Microsoft Office software
  • Microsoft Outlook
  • Microsoft PowerPoint
  • Microsoft Project
  • Microsoft SharePoint
  • Microsoft Visio
  • Microsoft Windows
  • Microsoft Word

Software (78)

  • 80-20 Software Leaders4
  • ARC Logics Sword
  • Actimize Brokerage Compliance Solutions
  • Agiliance Compliance Manager
  • Aline GRC
  • Apple Safari
  • Archer Compliance Management
  • AssurX CATSWeb
  • AssurX Financial Services Compliance Management System
  • Audit2 AdaptiveGRC
  • Axentis Compliance Management
  • BPS Compliance
  • BWise Compliance Management
  • CMO Compliance Regulatory Compliance Solution
  • Compliance 360
  • Compliance11 Supervisory Suite
  • ComplianceBridge Total Compliance
  • ControlCase Compliance Manager
  • Cura Software Solutions Cura for Compliance Management
  • Data analysis software
  • Database management software
  • Desktop publishing software
  • DoubleCheck GRC&T Platform
  • Email software
  • EtQ Environmental Health and Safety Software
  • EtQ FDA cGxP Compliance Software for Life Sciences
  • FRSGlobal RegPro
  • Fidessa Compliance Manager
  • Governance, risk, and compliance GRC software
  • Guideline Risk Technologies RUBI
  • Healthcare common procedure coding system HCPCS
  • Horwath Software Magique
  • Human resource information system (HRIS)
  • IBM Notes
  • Keane SCORE
  • LRN Ethics and Compliance Alliance
  • LexisNexis
  • MasterControl MD
  • MasterControl TotalPharma
  • MediRegs ComplyTrack
  • Methodware ERA
  • MetricStream Compliance Management
  • MetricStream Enterprise Compliance Platform
  • MetricStream Regulatory Reporting
  • Microsoft Internet Explorer
  • Modulo Risk Manager
  • Mozilla Firefox
  • MyComplianceOffice Compliance Operations Management System
  • Neohapsis Certus GRC
  • Oracle Enterprise Governance, Risk, and Compliance Manager
  • Oracle Insurance Compliance Tracker
  • Protiviti Governance Portal
  • QUMAS quality management solution software
  • RVR Systems Compliance
  • Resolve Legislative Compliance Management
  • SAP BEx Report Designer
  • Scheduling software
  • Spreadsheet software
  • StataCorp Stata
  • Sword Achiever Compliance Portal Dashboard
  • Tax accounting software
  • Tax software
  • The Garland Group RiskKey
  • Thomson Reuters Paisley Enterprise GRC
  • Web browser software
  • Word processing software
  • policyIQ

Tools & Equipment (7)

  • Computer laser printers
  • Desktop computers
  • Laptop computers
  • Laser facsimile machines
  • Multi-line telephone systems
  • Personal computers
  • Photocopying equipment

Where This Career Leads

Career progression organized by specialty track and experience level.

Leadership & Operations Advanced Manufacturing

Zone 2
Office Clerks, General 80% match
Zone 3
Administrative Services Managers 95% match
Zone 4
Compliance Managers You are here
Zone 5
Chief Executives 79% match

Local, State, & Federal Services Advanced Manufacturing

Zone 2
Court, Municipal, and License Clerks 79% match
Zone 3
Government Property Inspectors and Investigators 93% match
Zone 4
Compliance Managers You are here
Zone 5
Sociologists 79% match

Entrepreneurship & Small Business Construction

Zone 2
Cooks, Institution and Cafeteria 75% match
Zone 3
Administrative Services Managers 95% match
Zone 4
Compliance Managers You are here
Zone 5
Chief Executives 79% match

Resume Builder

Select key tasks to generate action-oriented resume bullets for Compliance Managers positions.

Related Occupations

Compare skills gap with any of these related roles.

Regulatory Affairs SpecialistsClosely Related Regulatory Affairs ManagersClosely Related Management AnalystsClosely Related Compliance OfficersClosely Related Environmental Compliance InspectorsClosely Related Security Managers Administrative Services Managers Security Management Specialists
Show all 20 related occupations
Information Security Engineers Government Property Inspectors and Investigators Financial Examiners Chief Executives Document Management Specialists Health and Safety Engineers, Except Mining Safety Engineers and Inspectors Compensation, Benefits, and Job Analysis Specialists First-Line Supervisors of Office and Administrative Support Workers Human Resources Managers Health Information Technologists and Medical Registrars Medical and Health Services Managers Chief Sustainability Officers

Real Talk

Hear from real Compliance Managerss about their work:

Reddit Day-in-the-life discussions Reddit Salary discussions YouTube Video day-in-the-life Glassdoor Reviews & salaries