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Summary Report for:
11-9199.02 - Compliance Managers

Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.

Sample of reported job titles: Business Practices Supervisor; Compliance Coordinator; Compliance Engineer-Products; Compliance Manager; Compliance Officer; Compliance Review Officer; Corporate Operations Compliance Manager; Director of Compliance; Director, Global Ethics & Compliance and Assistant General Counsel; Internal Review and Audit Compliance

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Tasks  |  Tools & Technology  |  Knowledge  |  Skills  |  Abilities  |  Work Activities  |  Detailed Work Activities  |  Work Context  |  Job Zone  |  Education  |  Credentials  |  Interests  |  Work Styles  |  Work Values  |  Wages & Employment  |  Job Openings

Tasks

  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes. See more occupations related to this task.
  • File appropriate compliance reports with regulatory agencies. See more occupations related to this task.
  • Conduct or direct the internal investigation of compliance issues. See more occupations related to this task.
  • Identify compliance issues that require follow-up or investigation. See more occupations related to this task.
  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required. See more occupations related to this task.
  • Disseminate written policies and procedures related to compliance activities. See more occupations related to this task.
  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed. See more occupations related to this task.
  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities. See more occupations related to this task.
  • Provide employee training on compliance related topics, policies, or procedures. See more occupations related to this task.
  • Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated. See more occupations related to this task.
  • Discuss emerging compliance issues with management or employees. See more occupations related to this task.
  • Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes. See more occupations related to this task.
  • Advise internal management or business partners on the implementation or operation of compliance programs. See more occupations related to this task.
  • Consult with corporate attorneys as necessary to address difficult legal compliance issues. See more occupations related to this task.
  • Direct the development or implementation of compliance-related policies and procedures throughout an organization. See more occupations related to this task.
  • Monitor compliance systems to ensure their effectiveness. See more occupations related to this task.
  • Prepare management reports regarding compliance operations and progress. See more occupations related to this task.
  • Provide assistance to internal or external auditors in compliance reviews. See more occupations related to this task.
  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards. See more occupations related to this task.
  • Assess product, compliance, or operational risks and develop risk management strategies. See more occupations related to this task.
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations. See more occupations related to this task.
  • Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems. See more occupations related to this task.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations. See more occupations related to this task.
  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas. See more occupations related to this task.
  • Advise technical professionals on the development or use of environmental compliance or reporting tools. Green Task Statement See more occupations related to this task.
  • Conduct environmental audits to ensure adherence to environmental standards. Green Task Statement See more occupations related to this task.
  • Develop or implement environmental compliance plans for programs, such as air quality, storm water, wastewater treatment, hazardous waste management, pollution prevention, or solid waste management. Green Task Statement See more occupations related to this task.
  • Direct environmental programs, such as air or water compliance, aboveground or underground storage tanks, spill prevention or control, hazardous waste or materials management, solid waste recycling, medical waste management, indoor air quality, integrated pest management, employee training, or disaster preparedness. Green Task Statement See more occupations related to this task.
  • Evaluate testing procedures to meet the specifications of environmental monitoring programs. Green Task Statement See more occupations related to this task.
  • Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations. Green Task Statement See more occupations related to this task.

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Tools & Technology

Tools used in this occupation:

  • Desktop computers See more occupations related to this tool.
  • Laser fax machine — Laser facsimile machines See more occupations related to this tool.
  • Laser printers — Computer laser printers See more occupations related to this tool.
  • Notebook computers — Laptop computers See more occupations related to this tool.
  • Personal computers See more occupations related to this tool.
  • Photocopiers — Photocopying equipment See more occupations related to this tool.
  • Special purpose telephones — Multi-line telephone systems See more occupations related to this tool.

Technology used in this occupation:

  • Analytical or scientific software — Data analysis software; Horwath Software Magique See more occupations related to this technology.
  • Calendar and scheduling software — Scheduling software See more occupations related to this technology.
  • Charting software — Microsoft Office Visio See more occupations related to this technology.
  • Compliance software — 80-20 Software Leaders4; Actimize Brokerage Compliance Solutions; The Garland Group RiskKey; Thomson Reuters Paisley Enterprise GRC (see all 48 examples) See more occupations related to this technology.
  • Data base reporting software — SAP BEx Report Designer See more occupations related to this technology.
  • Data base user interface and query software — Database management software; Microsoft Access See more occupations related to this technology.
  • Desktop publishing software See more occupations related to this technology.
  • Electronic mail software — Email software; IBM Lotus Notes; Microsoft Outlook See more occupations related to this technology.
  • Human resources software — Human resource information system HRIS software See more occupations related to this technology.
  • Internet browser software — Apple Safari; Microsoft Internet Explorer *; Mozilla Firefox *; Web browser software See more occupations related to this technology.
  • Office suite software — Microsoft Office software See more occupations related to this technology.
  • Operating system software — Microsoft Windows See more occupations related to this technology.
  • Presentation software — Microsoft PowerPoint See more occupations related to this technology.
  • Project management software — Microsoft Project See more occupations related to this technology.
  • Spreadsheet software — Microsoft Excel See more occupations related to this technology.
  • Tax preparation software — Tax accounting software See more occupations related to this technology.
  • Word processing software — Microsoft Word See more occupations related to this technology.

* Software developed by a government agency and/or distributed as freeware or shareware.

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Knowledge

  • English Language — Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar. See more occupations related to this knowledge.
  • Law and Government — Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process. See more occupations related to this knowledge.
  • Customer and Personal Service — Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction. See more occupations related to this knowledge.
  • Administration and Management — Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources. See more occupations related to this knowledge.

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Skills

  • Critical Thinking — Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems. See more occupations related to this skill.
  • Reading Comprehension — Understanding written sentences and paragraphs in work related documents. See more occupations related to this skill.
  • Active Listening — Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times. See more occupations related to this skill.
  • Monitoring — Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action. See more occupations related to this skill.
  • Coordination — Adjusting actions in relation to others' actions. See more occupations related to this skill.
  • Writing — Communicating effectively in writing as appropriate for the needs of the audience. See more occupations related to this skill.
  • Active Learning — Understanding the implications of new information for both current and future problem-solving and decision-making. See more occupations related to this skill.
  • Social Perceptiveness — Being aware of others' reactions and understanding why they react as they do. See more occupations related to this skill.
  • Speaking — Talking to others to convey information effectively. See more occupations related to this skill.
  • Judgment and Decision Making — Considering the relative costs and benefits of potential actions to choose the most appropriate one. See more occupations related to this skill.
  • Persuasion — Persuading others to change their minds or behavior. See more occupations related to this skill.
  • Instructing — Teaching others how to do something. See more occupations related to this skill.
  • Learning Strategies — Selecting and using training/instructional methods and procedures appropriate for the situation when learning or teaching new things. See more occupations related to this skill.
  • Negotiation — Bringing others together and trying to reconcile differences. See more occupations related to this skill.
  • Complex Problem Solving — Identifying complex problems and reviewing related information to develop and evaluate options and implement solutions. See more occupations related to this skill.
  • Time Management — Managing one's own time and the time of others. See more occupations related to this skill.
  • Systems Analysis — Determining how a system should work and how changes in conditions, operations, and the environment will affect outcomes. See more occupations related to this skill.
  • Systems Evaluation — Identifying measures or indicators of system performance and the actions needed to improve or correct performance, relative to the goals of the system. See more occupations related to this skill.

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Abilities

  • Oral Expression — The ability to communicate information and ideas in speaking so others will understand. See more occupations related to this ability.
  • Problem Sensitivity — The ability to tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing there is a problem. See more occupations related to this ability.
  • Oral Comprehension — The ability to listen to and understand information and ideas presented through spoken words and sentences. See more occupations related to this ability.
  • Written Comprehension — The ability to read and understand information and ideas presented in writing. See more occupations related to this ability.
  • Written Expression — The ability to communicate information and ideas in writing so others will understand. See more occupations related to this ability.
  • Deductive Reasoning — The ability to apply general rules to specific problems to produce answers that make sense. See more occupations related to this ability.
  • Inductive Reasoning — The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events). See more occupations related to this ability.
  • Near Vision — The ability to see details at close range (within a few feet of the observer). See more occupations related to this ability.
  • Speech Recognition — The ability to identify and understand the speech of another person. See more occupations related to this ability.
  • Information Ordering — The ability to arrange things or actions in a certain order or pattern according to a specific rule or set of rules (e.g., patterns of numbers, letters, words, pictures, mathematical operations). See more occupations related to this ability.
  • Speech Clarity — The ability to speak clearly so others can understand you. See more occupations related to this ability.
  • Category Flexibility — The ability to generate or use different sets of rules for combining or grouping things in different ways. See more occupations related to this ability.
  • Fluency of Ideas — The ability to come up with a number of ideas about a topic (the number of ideas is important, not their quality, correctness, or creativity). See more occupations related to this ability.
  • Selective Attention — The ability to concentrate on a task over a period of time without being distracted. See more occupations related to this ability.

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Work Activities

  • Communicating with Supervisors, Peers, or Subordinates — Providing information to supervisors, co-workers, and subordinates by telephone, in written form, e-mail, or in person. See more occupations related to this activity.
  • Evaluating Information to Determine Compliance with Standards — Using relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards. See more occupations related to this activity.
  • Establishing and Maintaining Interpersonal Relationships — Developing constructive and cooperative working relationships with others, and maintaining them over time. See more occupations related to this activity.
  • Documenting/Recording Information — Entering, transcribing, recording, storing, or maintaining information in written or electronic/magnetic form. See more occupations related to this activity.
  • Getting Information — Observing, receiving, and otherwise obtaining information from all relevant sources. See more occupations related to this activity.
  • Making Decisions and Solving Problems — Analyzing information and evaluating results to choose the best solution and solve problems. See more occupations related to this activity.
  • Analyzing Data or Information — Identifying the underlying principles, reasons, or facts of information by breaking down information or data into separate parts. See more occupations related to this activity.
  • Updating and Using Relevant Knowledge — Keeping up-to-date technically and applying new knowledge to your job. See more occupations related to this activity.
  • Developing and Building Teams — Encouraging and building mutual trust, respect, and cooperation among team members. See more occupations related to this activity.
  • Guiding, Directing, and Motivating Subordinates — Providing guidance and direction to subordinates, including setting performance standards and monitoring performance. See more occupations related to this activity.
  • Interpreting the Meaning of Information for Others — Translating or explaining what information means and how it can be used. See more occupations related to this activity.
  • Interacting With Computers — Using computers and computer systems (including hardware and software) to program, write software, set up functions, enter data, or process information. See more occupations related to this activity.
  • Monitor Processes, Materials, or Surroundings — Monitoring and reviewing information from materials, events, or the environment, to detect or assess problems. See more occupations related to this activity.
  • Organizing, Planning, and Prioritizing Work — Developing specific goals and plans to prioritize, organize, and accomplish your work. See more occupations related to this activity.
  • Identifying Objects, Actions, and Events — Identifying information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events. See more occupations related to this activity.
  • Performing Administrative Activities — Performing day-to-day administrative tasks such as maintaining information files and processing paperwork. See more occupations related to this activity.
  • Processing Information — Compiling, coding, categorizing, calculating, tabulating, auditing, or verifying information or data. See more occupations related to this activity.
  • Resolving Conflicts and Negotiating with Others — Handling complaints, settling disputes, and resolving grievances and conflicts, or otherwise negotiating with others. See more occupations related to this activity.
  • Coordinating the Work and Activities of Others — Getting members of a group to work together to accomplish tasks. See more occupations related to this activity.
  • Communicating with Persons Outside Organization — Communicating with people outside the organization, representing the organization to customers, the public, government, and other external sources. This information can be exchanged in person, in writing, or by telephone or e-mail. See more occupations related to this activity.
  • Training and Teaching Others — Identifying the educational needs of others, developing formal educational or training programs or classes, and teaching or instructing others. See more occupations related to this activity.
  • Judging the Qualities of Things, Services, or People — Assessing the value, importance, or quality of things or people. See more occupations related to this activity.
  • Provide Consultation and Advice to Others — Providing guidance and expert advice to management or other groups on technical, systems-, or process-related topics. See more occupations related to this activity.
  • Thinking Creatively — Developing, designing, or creating new applications, ideas, relationships, systems, or products, including artistic contributions. See more occupations related to this activity.
  • Coaching and Developing Others — Identifying the developmental needs of others and coaching, mentoring, or otherwise helping others to improve their knowledge or skills. See more occupations related to this activity.
  • Developing Objectives and Strategies — Establishing long-range objectives and specifying the strategies and actions to achieve them. See more occupations related to this activity.
  • Estimating the Quantifiable Characteristics of Products, Events, or Information — Estimating sizes, distances, and quantities; or determining time, costs, resources, or materials needed to perform a work activity. See more occupations related to this activity.
  • Scheduling Work and Activities — Scheduling events, programs, and activities, as well as the work of others. See more occupations related to this activity.

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Detailed Work Activities

  • Manage control system activities in organizations. See more occupations related to this activity.
  • Develop operating strategies, plans, or procedures. See more occupations related to this activity.
  • Advise others on legal or regulatory compliance matters. See more occupations related to this activity.
  • Analyze risks to minimize losses or damages. See more occupations related to this activity.
  • Maintain regulatory or compliance documentation. See more occupations related to this activity.
  • Monitor organizational compliance with regulations. See more occupations related to this activity.
  • Confer with organizational members to accomplish work activities. See more occupations related to this activity.
  • Communicate with government agencies. See more occupations related to this activity.
  • Conduct financial or regulatory audits. See more occupations related to this activity.
  • Manage environmental sustainability projects. See more occupations related to this activity.
  • Monitor organizational procedures to ensure proper functioning. See more occupations related to this activity.
  • Communicate organizational policies and procedures. See more occupations related to this activity.
  • Develop organizational policies or programs. See more occupations related to this activity.
  • Implement organizational process or policy changes. See more occupations related to this activity.
  • Examine marketing materials to ensure compliance with policies or regulations. See more occupations related to this activity.
  • Determine operational compliance with regulations or standards. See more occupations related to this activity.
  • Conduct employee training programs. See more occupations related to this activity.
  • Advise others on business or operational matters. See more occupations related to this activity.
  • Develop emergency response plans or procedures. See more occupations related to this activity.
  • Liaise between departments or other groups to improve function or communication. See more occupations related to this activity.
  • Maintain knowledge of current developments in area of expertise. See more occupations related to this activity.
  • Evaluate green operations or programs for compliance with standards or regulations. See more occupations related to this activity.
  • Prepare reports related to compliance matters. See more occupations related to this activity.
  • Develop sustainable organizational policies or practices. See more occupations related to this activity.
  • Develop computer or information systems. See more occupations related to this activity.
  • Conduct environmental audits. See more occupations related to this activity.

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Work Context

  • Electronic Mail — 99% responded “Every day.” See more occupations related to this work context.
  • Indoors, Environmentally Controlled — 100% responded “Every day.” See more occupations related to this work context.
  • Telephone — 100% responded “Every day.” See more occupations related to this work context.
  • Face-to-Face Discussions — 84% responded “Every day.” See more occupations related to this work context.
  • Freedom to Make Decisions — 67% responded “A lot of freedom.” See more occupations related to this work context.
  • Importance of Being Exact or Accurate — 63% responded “Extremely important.” See more occupations related to this work context.
  • Contact With Others — 65% responded “Constant contact with others.” See more occupations related to this work context.
  • Impact of Decisions on Co-workers or Company Results — 66% responded “Very important results.” See more occupations related to this work context.
  • Work With Work Group or Team — 70% responded “Extremely important.” See more occupations related to this work context.
  • Structured versus Unstructured Work — 35% responded “Some freedom.” See more occupations related to this work context.
  • Deal With External Customers — 61% responded “Extremely important.” See more occupations related to this work context.
  • Duration of Typical Work Week See more occupations related to this work context.
  • Frequency of Decision Making — 43% responded “Every day.” See more occupations related to this work context.
  • Responsible for Others' Health and Safety — 58% responded “Very high responsibility.” See more occupations related to this work context.
  • Responsibility for Outcomes and Results — 46% responded “High responsibility.” See more occupations related to this work context.
  • Spend Time Sitting — 48% responded “Continually or almost continually.” See more occupations related to this work context.
  • Coordinate or Lead Others See more occupations related to this work context.
  • Time Pressure — 57% responded “Once a week or more but not every day.” See more occupations related to this work context.
  • Frequency of Conflict Situations — 45% responded “Once a month or more but not every week.” See more occupations related to this work context.
  • Letters and Memos — 18% responded “Once a month or more but not every week.” See more occupations related to this work context.
  • Importance of Repeating Same Tasks — 60% responded “Very important.” See more occupations related to this work context.
  • Spend Time Making Repetitive Motions — 22% responded “Less than half the time.” See more occupations related to this work context.
  • Physical Proximity — 54% responded “I work with others but not closely (e.g., private office).” See more occupations related to this work context.
  • Deal With Unpleasant or Angry People — 45% responded “Once a year or more but not every month.” See more occupations related to this work context.
  • Level of Competition — 41% responded “Moderately competitive.” See more occupations related to this work context.

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Job Zone

Title Job Zone Four: Considerable Preparation Needed
Education Most of these occupations require a four-year bachelor's degree, but some do not.
Related Experience A considerable amount of work-related skill, knowledge, or experience is needed for these occupations. For example, an accountant must complete four years of college and work for several years in accounting to be considered qualified.
Job Training Employees in these occupations usually need several years of work-related experience, on-the-job training, and/or vocational training.
Job Zone Examples Many of these occupations involve coordinating, supervising, managing, or training others. Examples include accountants, sales managers, database administrators, teachers, chemists, art directors, and cost estimators.
SVP Range (7.0 to < 8.0)

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Education


Percentage of Respondents
Education Level Required
66   Bachelor's degree
14   Master's degree
9   Post-baccalaureate certificate Help

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Credentials

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Interests

Interest code: CER

  • Conventional — Conventional occupations frequently involve following set procedures and routines. These occupations can include working with data and details more than with ideas. Usually there is a clear line of authority to follow. See more occupations related to this interest.
  • Enterprising — Enterprising occupations frequently involve starting up and carrying out projects. These occupations can involve leading people and making many decisions. Sometimes they require risk taking and often deal with business. See more occupations related to this interest.
  • Realistic — Realistic occupations frequently involve work activities that include practical, hands-on problems and solutions. They often deal with plants, animals, and real-world materials like wood, tools, and machinery. Many of the occupations require working outside, and do not involve a lot of paperwork or working closely with others. See more occupations related to this interest.

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Work Styles

  • Attention to Detail — Job requires being careful about detail and thorough in completing work tasks. See more occupations related to this work style.
  • Persistence — Job requires persistence in the face of obstacles. See more occupations related to this work style.
  • Dependability — Job requires being reliable, responsible, and dependable, and fulfilling obligations. See more occupations related to this work style.
  • Integrity — Job requires being honest and ethical. See more occupations related to this work style.
  • Analytical Thinking — Job requires analyzing information and using logic to address work-related issues and problems. See more occupations related to this work style.
  • Self Control — Job requires maintaining composure, keeping emotions in check, controlling anger, and avoiding aggressive behavior, even in very difficult situations. See more occupations related to this work style.
  • Stress Tolerance — Job requires accepting criticism and dealing calmly and effectively with high stress situations. See more occupations related to this work style.
  • Adaptability/Flexibility — Job requires being open to change (positive or negative) and to considerable variety in the workplace. See more occupations related to this work style.
  • Concern for Others — Job requires being sensitive to others' needs and feelings and being understanding and helpful on the job. See more occupations related to this work style.
  • Leadership — Job requires a willingness to lead, take charge, and offer opinions and direction. See more occupations related to this work style.
  • Cooperation — Job requires being pleasant with others on the job and displaying a good-natured, cooperative attitude. See more occupations related to this work style.
  • Initiative — Job requires a willingness to take on responsibilities and challenges. See more occupations related to this work style.
  • Achievement/Effort — Job requires establishing and maintaining personally challenging achievement goals and exerting effort toward mastering tasks. See more occupations related to this work style.
  • Social Orientation — Job requires preferring to work with others rather than alone, and being personally connected with others on the job. See more occupations related to this work style.
  • Independence — Job requires developing one's own ways of doing things, guiding oneself with little or no supervision, and depending on oneself to get things done. See more occupations related to this work style.
  • Innovation — Job requires creativity and alternative thinking to develop new ideas for and answers to work-related problems. See more occupations related to this work style.

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Work Values

  • Achievement — Occupations that satisfy this work value are results oriented and allow employees to use their strongest abilities, giving them a feeling of accomplishment. Corresponding needs are Ability Utilization and Achievement. See more occupations related to this work value.
  • Support — Occupations that satisfy this work value offer supportive management that stands behind employees. Corresponding needs are Company Policies, Supervision: Human Relations and Supervision: Technical. See more occupations related to this work value.
  • Independence — Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy. See more occupations related to this work value.

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Wages & Employment Trends

Median wages data collected from Managers, All Other.
Employment data collected from Managers, All Other.
Industry data collected from Managers, All Other.

Median wages (2014) $50.51 hourly, $105,060 annual
State wages Local Salary Info
 
Employment (2012) 898,000 employees
Projected growth (2012-2022) Slower than average (3% to 7%) Slower than average (3% to 7%)
Projected job openings (2012-2022) 249,100
State trends Employment Trends
 
Top industries (2012)

Source: Bureau of Labor Statistics 2014 wage data external site and 2012-2022 employment projections external site. "Projected growth" represents the estimated change in total employment over the projections period (2012-2022). "Projected job openings" represent openings due to growth and replacement.

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Job Openings on the Web

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