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: Accreditation Lieutenant; Accreditation Manager; Compliance Director; Compliance Manager; Compliance Operations Manager; Environmental Health and Safety Director; Environmental Manager; Environmental Program Manager; Health, Safety, and Environmental Manager (HSE Manager); Risk Manager
Tasks | Technology Skills | Tools Used | Knowledge | Skills | Abilities | Work Activities | Detailed Work Activities | Work Context | Job Zone | Education | Credentials | Interests | Work Styles | Work Values | Wages & Employment | Job Openings | Additional Information
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Identify compliance issues that require follow-up or investigation.
- Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
- File appropriate compliance reports with regulatory agencies.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Conduct or direct the internal investigation of compliance issues.
- Provide employee training on compliance related topics, policies, or procedures.
- 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.
- Disseminate written policies and procedures related to compliance activities.
- Prepare management reports regarding compliance operations and progress.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Keep informed regarding pending industry changes, trends, or best practices.
- Monitor compliance systems to ensure their effectiveness.
- Direct the development or implementation of policies and procedures related to compliance throughout an organization.
- Advise internal management or business partners on the implementation or operation of compliance programs.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Provide assistance to internal or external auditors in compliance reviews.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- Develop risk management strategies based on assessment of product, compliance, or operational risks.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
- 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.
- Conduct environmental audits to ensure adherence to environmental standards.
- Evaluate testing procedures to meet the specifications of environmental monitoring programs.
- Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.
- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
- Oversee internal reporting systems, such as corporate compliance hotlines.
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- 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.
- Accounting software — Tax software
- Analytical or scientific software — Data analysis software; Horwath Software Magique; StataCorp Stata
- Calendar and scheduling software — Scheduling software
- Cloud-based data access and sharing software — Microsoft SharePoint
- Compliance software — Actimize Brokerage Compliance Solutions; MetricStream Enterprise Compliance Platform; Oracle Enterprise Governance, Risk, and Compliance Manager; Thomson Reuters Paisley Enterprise GRC (see all 45 examples)
- Data base management system software — Database management software
- Data base reporting software — SAP BEx Report Designer
- Data base user interface and query software — Microsoft Access
- Desktop publishing software
- Document management software — Adobe Systems Adobe Acrobat
- Electronic mail software — Email software; IBM Notes ; Microsoft Outlook
- Human resources software — Human resource information system HRIS
- Information retrieval or search software — LexisNexis
- Internet browser software — Apple Safari; Microsoft Internet Explorer; Mozilla Firefox; Web browser software
- Medical software — Healthcare common procedure coding system HCPCS
- Office suite software — Microsoft Office
- Operating system software — Microsoft Windows
- Presentation software — Microsoft PowerPoint
- Process mapping and design software — Microsoft Visio
- Project management software — Microsoft Project
- Risk management data and analysis software — MasterControl MD; MasterControl TotalPharma
- Spreadsheet software — Microsoft Excel
- Tax preparation software — Tax accounting software
- Word processing software — Microsoft Word
Hot Technology — a technology requirement frequently included in employer job postings.
- Law and Government — Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
- English Language — Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
- 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.
- 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.
- Personnel and Human Resources — Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.
- Computers and Electronics — Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
- Education and Training — Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
- Administrative — Knowledge of administrative and office procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and workplace terminology.
- Public Safety and Security — Knowledge of relevant equipment, policies, procedures, and strategies to promote effective local, state, or national security operations for the protection of people, data, property, and institutions.
- Critical Thinking — Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
- Reading Comprehension — Understanding written sentences and paragraphs in work-related documents.
- 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.
- Speaking — Talking to others to convey information effectively.
- Writing — Communicating effectively in writing as appropriate for the needs of the audience.
- Active Learning — Understanding the implications of new information for both current and future problem-solving and decision-making.
- Coordination — Adjusting actions in relation to others' actions.
- Monitoring — Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
- Persuasion — Persuading others to change their minds or behavior.
- Judgment and Decision Making — Considering the relative costs and benefits of potential actions to choose the most appropriate one.
- Social Perceptiveness — Being aware of others' reactions and understanding why they react as they do.
- Instructing — Teaching others how to do something.
- Complex Problem Solving — Identifying complex problems and reviewing related information to develop and evaluate options and implement solutions.
- Learning Strategies — Selecting and using training/instructional methods and procedures appropriate for the situation when learning or teaching new things.
- Systems Analysis — Determining how a system should work and how changes in conditions, operations, and the environment will affect outcomes.
- Negotiation — Bringing others together and trying to reconcile differences.
- 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.
- Time Management — Managing one's own time and the time of others.
- Service Orientation — Actively looking for ways to help people.
- Oral Expression — The ability to communicate information and ideas in speaking so others will understand.
- 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 that there is a problem.
- Written Expression — The ability to communicate information and ideas in writing so others will understand.
- Deductive Reasoning — The ability to apply general rules to specific problems to produce answers that make sense.
- Inductive Reasoning — The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
- Oral Comprehension — The ability to listen to and understand information and ideas presented through spoken words and sentences.
- Written Comprehension — The ability to read and understand information and ideas presented in writing.
- Near Vision — The ability to see details at close range (within a few feet of the observer).
- Speech Clarity — The ability to speak clearly so others can understand you.
- 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).
- Speech Recognition — The ability to identify and understand the speech of another person.
- Category Flexibility — The ability to generate or use different sets of rules for combining or grouping things in different ways.
- Far Vision — The ability to see details at a distance.
- 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).
- Selective Attention — The ability to concentrate on a task over a period of time without being distracted.
- Communicating with Supervisors, Peers, or Subordinates — Providing information to supervisors, co-workers, and subordinates by telephone, in written form, e-mail, or in person.
- 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.
- Getting Information — Observing, receiving, and otherwise obtaining information from all relevant sources.
- Working with Computers — Using computers and computer systems (including hardware and software) to program, write software, set up functions, enter data, or process information.
- Documenting/Recording Information — Entering, transcribing, recording, storing, or maintaining information in written or electronic/magnetic form.
- Making Decisions and Solving Problems — Analyzing information and evaluating results to choose the best solution and solve problems.
- Updating and Using Relevant Knowledge — Keeping up-to-date technically and applying new knowledge to your job.
- Establishing and Maintaining Interpersonal Relationships — Developing constructive and cooperative working relationships with others, and maintaining them over time.
- Identifying Objects, Actions, and Events — Identifying information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events.
- Communicating with People Outside the 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.
- Organizing, Planning, and Prioritizing Work — Developing specific goals and plans to prioritize, organize, and accomplish your work.
- Processing Information — Compiling, coding, categorizing, calculating, tabulating, auditing, or verifying information or data.
- Judging the Qualities of Objects, Services, or People — Assessing the value, importance, or quality of things or people.
- Performing Administrative Activities — Performing day-to-day administrative tasks such as maintaining information files and processing paperwork.
- Analyzing Data or Information — Identifying the underlying principles, reasons, or facts of information by breaking down information or data into separate parts.
- Interpreting the Meaning of Information for Others — Translating or explaining what information means and how it can be used.
- Resolving Conflicts and Negotiating with Others — Handling complaints, settling disputes, and resolving grievances and conflicts, or otherwise negotiating with others.
- Training and Teaching Others — Identifying the educational needs of others, developing formal educational or training programs or classes, and teaching or instructing others.
- Monitoring Processes, Materials, or Surroundings — Monitoring and reviewing information from materials, events, or the environment, to detect or assess problems.
- Developing and Building Teams — Encouraging and building mutual trust, respect, and cooperation among team members.
- Developing Objectives and Strategies — Establishing long-range objectives and specifying the strategies and actions to achieve them.
- Scheduling Work and Activities — Scheduling events, programs, and activities, as well as the work of others.
- Providing Consultation and Advice to Others — Providing guidance and expert advice to management or other groups on technical, systems-, or process-related topics.
- Coaching and Developing Others — Identifying the developmental needs of others and coaching, mentoring, or otherwise helping others to improve their knowledge or skills.
- Coordinating the Work and Activities of Others — Getting members of a group to work together to accomplish tasks.
- Thinking Creatively — Developing, designing, or creating new applications, ideas, relationships, systems, or products, including artistic contributions.
- Guiding, Directing, and Motivating Subordinates — Providing guidance and direction to subordinates, including setting performance standards and monitoring performance.
- Assisting and Caring for Others — Providing personal assistance, medical attention, emotional support, or other personal care to others such as coworkers, customers, or patients.
- 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.
- Performing for or Working Directly with the Public — Performing for people or dealing directly with the public. This includes serving customers in restaurants and stores, and receiving clients or guests.
- Inspecting Equipment, Structures, or Materials — Inspecting equipment, structures, or materials to identify the cause of errors or other problems or defects.
Detailed Work Activities
- Communicate with government agencies.
- Communicate organizational policies and procedures.
- Advise others on legal or regulatory compliance matters.
- Maintain regulatory or compliance documentation.
- Confer with organizational members to accomplish work activities.
- Conduct employee training programs.
- Determine operational compliance with regulations or standards.
- Implement organizational process or policy changes.
- Liaise between departments or other groups to improve function or communication.
- Verify accuracy of records.
- Prepare reports related to compliance matters.
- Analyze risks to minimize losses or damages.
- Develop emergency response plans or procedures.
- Conduct financial or regulatory audits.
- Maintain knowledge of current developments in area of expertise.
- Stay informed about current developments in field of specialization.
- Update knowledge about emerging industry or technology trends.
- Develop operating strategies, plans, or procedures.
- Develop organizational policies or programs.
- Advise others on business or operational matters.
- Manage control system activities in organizations.
- Monitor organizational compliance with regulations.
- Develop sustainable organizational policies or practices.
- Conduct environmental audits.
- Evaluate green operations or programs for compliance with standards or regulations.
- Coordinate reporting or editing activities.
- Examine marketing materials to ensure compliance with policies or regulations.
- Monitor organizational procedures to ensure proper functioning.
- Develop computer or information systems.
- Manage environmental sustainability projects.
- Electronic Mail — 100% responded “Every day.”
- Face-to-Face Discussions — 78% responded “Every day.”
- Telephone — 81% responded “Every day.”
- Work With Work Group or Team — 76% responded “Extremely important.”
- Indoors, Environmentally Controlled — 88% responded “Every day.”
- Contact With Others — 69% responded “Constant contact with others.”
- Importance of Being Exact or Accurate — 65% responded “Extremely important.”
- Duration of Typical Work Week — 72% responded “More than 40 hours.”
- Structured versus Unstructured Work — 50% responded “Some freedom.”
- Time Pressure — 50% responded “Every day.”
- Freedom to Make Decisions — 49% responded “A lot of freedom.”
- Impact of Decisions on Co-workers or Company Results — 52% responded “Very important results.”
- Coordinate or Lead Others — 38% responded “Extremely important.”
- Frequency of Decision Making — 49% responded “Every day.”
- Responsible for Others' Health and Safety — 45% responded “Very high responsibility.”
- Spend Time Sitting — 39% responded “Continually or almost continually.”
- Deal With External Customers — 45% responded “Extremely important.”
- Responsibility for Outcomes and Results — 46% responded “Very high responsibility.”
- Importance of Repeating Same Tasks — 42% responded “Very important.”
- Letters and Memos — 36% responded “Once a month or more but not every week.”
- Frequency of Conflict Situations — 33% responded “Once a month or more but not every week.”
- Level of Competition — 34% responded “Highly competitive.”
- Deal With Unpleasant or Angry People — 35% responded “Once a year or more but not every month.”
- Physical Proximity — 38% responded “Moderately close (at arm's length).”
- Consequence of Error — 32% responded “Fairly serious.”
- Spend Time Using Your Hands to Handle, Control, or Feel Objects, Tools, or Controls — 35% responded “Never.”
|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 real estate brokers, sales managers, database administrators, graphic designers, chemists, art directors, and cost estimators.|
|SVP Range||(7.0 to < 8.0)|
Interest code: CER Want to discover your interests? Take the O*NET Interest Profiler at My Next Move.
- 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.
- 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.
- 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.
- Integrity — Job requires being honest and ethical.
- Attention to Detail — Job requires being careful about detail and thorough in completing work tasks.
- Stress Tolerance — Job requires accepting criticism and dealing calmly and effectively with high-stress situations.
- Dependability — Job requires being reliable, responsible, and dependable, and fulfilling obligations.
- Persistence — Job requires persistence in the face of obstacles.
- Self-Control — Job requires maintaining composure, keeping emotions in check, controlling anger, and avoiding aggressive behavior, even in very difficult situations.
- Leadership — Job requires a willingness to lead, take charge, and offer opinions and direction.
- Initiative — Job requires a willingness to take on responsibilities and challenges.
- Achievement/Effort — Job requires establishing and maintaining personally challenging achievement goals and exerting effort toward mastering tasks.
- Cooperation — Job requires being pleasant with others on the job and displaying a good-natured, cooperative attitude.
- Analytical Thinking — Job requires analyzing information and using logic to address work-related issues and problems.
- 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.
- Concern for Others — Job requires being sensitive to others' needs and feelings and being understanding and helpful on the job.
- Adaptability/Flexibility — Job requires being open to change (positive or negative) and to considerable variety in the workplace.
- Innovation — Job requires creativity and alternative thinking to develop new ideas for and answers to work-related problems.
- Social Orientation — Job requires preferring to work with others rather than alone, and being personally connected with others on the job.
- 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.
- 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.
- Independence — Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy.
Wages & Employment Trends
Median wage data for Personal Service Managers, All Other; Entertainment and Recreation Managers, Except Gambling; and Managers, All Other.
Employment data for Personal Service Managers, All Other; Entertainment and Recreation Managers, Except Gambling; and Managers, All Other.
Industry data for Personal Service Managers, All Other; Entertainment and Recreation Managers, Except Gambling; and Managers, All Other.
|Median wages (2020)||$55.94 hourly, $116,350 annual|
|Employment (2020)||573,000 employees|
|Projected growth (2020-2030)||Average (5% to 10%)|
|Projected job openings (2020-2030)||47,100|
|Top industries (2020)|
Source: Bureau of Labor Statistics 2020 wage data and 2020-2030 employment projections . "Projected growth" represents the estimated change in total employment over the projections period (2020-2030). "Projected job openings" represent openings due to growth and replacement.
Job Openings on the Web
Sources of Additional Information
Disclaimer: Sources are listed to provide additional information on related jobs, specialties, and/or industries. Links to non-DOL Internet sites are provided for your convenience and do not constitute an endorsement.