How do they match: Compliance Managers

  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  • Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.

  • Communicate organizational policies and procedures.
  • Communicate with government agencies.
  • Liaise between departments or other groups to improve function or communication.
  • Update knowledge about emerging industry or technology trends.