What You'll Do

  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  • Advise internal management or business partners on the implementation or operation of compliance programs.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
  • Provide employee training on compliance related topics, policies, or procedures.
  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • Provide assistance to internal or external auditors in compliance reviews.

Essential Skills

Reading Comprehension 4.0/5
Critical Thinking 4.0/5
Active Listening 3.88/5
Writing 3.88/5
Speaking 3.88/5
Active Learning 3.75/5
Monitoring 3.75/5
Coordination 3.75/5
Persuasion 3.62/5
Social Perceptiveness 3.5/5
Judgment and Decision Making 3.5/5
Instructing 3.38/5

Career Fit Overview

Use this summary to sense whether the day to day rhythm and focus of this path line up with what energizes you.

Top passions

  • Organizer: Bringing order to data and processes satisfies you.
  • Leader: Taking charge and moving ideas forward motivates you.
  • Helper: Supporting people and making a difference matters to you.

Common styles

Integrity, Attention to Detail, Stress Tolerance, Dependability, Persistence

Want a personal read on fit. Take the free assessment and see your exact compatibility with this career and many related roles.

Key Abilities

This career demands strong capabilities in the following areas:

Oral Expression 4.12/5
Written Expression 4.12/5
Problem Sensitivity 4.12/5
Oral Comprehension 4.0/5
Written Comprehension 4.0/5
Deductive Reasoning 4.0/5
Inductive Reasoning 4.0/5
Near Vision 3.62/5

Technologies & Tools

80-20 Software Leaders4 Actimize Brokerage Compliance Solutions Adobe Acrobat Agiliance Compliance Manager Aline GRC Apple Safari ARC Logics Sword 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

Work Environment & Style

Common Styles for This Career

  • Integrity (High importance: 4.8/5)
  • Attention to Detail (High importance: 4.62/5)
  • Stress Tolerance (High importance: 4.59/5)
  • Dependability (High importance: 4.56/5)
  • Persistence (High importance: 4.39/5)

Want to see how YOUR work style matches this career?

Take Free 15-Min Assessment →

How to Become One

Most employers require a bachelor's degree in a relevant field. Some positions may also require experience through internships, co-ops, or entry-level work to strengthen your candidacy.

Similar Careers to Explore

Regulatory Affairs Managers

99.7% similar profile

Compensation, Benefits, and Job Analysis Specialists

99.4% similar profile

Project Management Specialists

99.3% similar profile

Securities, Commodities, and Financial Services Sales Agents

99.3% similar profile

Administrative Services Managers

99.2% similar profile

Treasurers and Controllers

99.2% similar profile

Claims Adjusters, Examiners, and Investigators

99.1% similar profile

Loan Officers

99.1% similar profile

Also Known As

This career is known by many different job titles across industries. Here are all the variations:

Accreditation Lieutenant Accreditation Manager Anti Money Laundering Compliance Manager (AML Compliance Manager) Audit Manager Compliance Audit Manager Compliance Coordinator Compliance Director Compliance Manager Compliance Operations Manager Compliance Professional Compliance Program Manager Corporate Compliance Director Environmental Health and Safety Director Environmental Health and Safety Manager Environmental Manager Environmental Program Manager Ethics Manager Governance Compliance and Risk Manager (GCR Manager) Health Information Management Privacy and Security Officer Health, Safety, and Environmental Manager (HSE Manager) Licensing Manager Privacy Compliance Manager Privacy Officer Regulatory Compliance Director Regulatory Compliance Manager Risk Manager Trade Compliance Manager