Compliance Manager  What They Do

Just the Facts

Plans, directs, or coordinates activities of an organization to ensure compliance with ethical or regulatory standards.

This career is part of the Business Management and Administration cluster General Management pathway.

A person in this career:

  • Maintains documentation of compliance activities, such as complaints received or investigation outcomes.
  • Files appropriate compliance reports with regulatory agencies.
  • Conducts or directs the internal investigation of compliance issues.
  • Identifies compliance issues that require follow-up or investigation.
  • Reports violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • Disseminates written policies and procedures related to compliance activities.
  • Conducts periodic internal reviews or audits to ensure that compliance procedures are followed.
  • Serves as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  • Provides employee training on compliance related topics, policies, or procedures.
  • Verifies that all firm and regulatory policies and procedures have been documented, implemented, and communicated.

Working Conditions and Physical Demands

People who do this job report that:

  • You would sit most of the time. There's some walking and standing. You may have to lift and carry things like books, papers or tools weighing 10 lbs. or less.
  • Work in this occupation involves using your hands to hold, control, and feel objects more than one-third of the time
  • Work in this occupation requires being inside most of the time
  • Sound and noise levels are loud and distracting
  • Work in this occupation involves making repetitive motions more than one-third of the time
  • Work in this occupation involves sitting more than one-third of the time
  • Work in this occupation involves standing more than one-third of the time
  • Work in this occupation involves walking or running more than one-third of the time

Working in this career involves (physical activities):

  • Seeing clearly up close
  • Speaking clearly enough to be able to be understood by others
  • Identifying and understanding the speech of another person

Work Hours and Travel

  • Overtime work
  • Weekend work

Specialty and Similar Careers

Careers that are more detailed or close to this career:

  • Business Practices Supervisor --
  • Compliance Coordinator --
  • Compliance Engineer-Products --
  • Compliance Officer -- In charge of ensuring that any internal gaming controls are in line with regulations, and is involved in developing casino security procedures and investigating compliance and security problems as they occur.
  • Compliance Review Officer --
  • Corporate Operations Compliance Manager --
  • Director of Compliance --
  • Director, Global Ethics & Compliance and Assistant General Counsel --
  • Internal Review and Audit Compliance --