Plans, directs, or coordinates activities of an organization to ensure compliance with ethical or regulatory standards.
This career is part of the Management and Administration cluster Corporate/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.