How do they match: Compliance Managers

  • Financial Compliance Officer

  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  • File appropriate compliance reports with regulatory agencies.
  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.

  • Communicate with government agencies.
  • Conduct financial or regulatory audits.