Plans, directs, or coordinates activities of an organization to ensure compliance with ethical or regulatory standards.
This career is part of the Business Management and Administration cluster General Management pathway.
A person in this career:
- Reports violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Identifies compliance issues that require follow-up or investigation.
- Discusses emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
- Files appropriate compliance reports with regulatory agencies.
- Maintains documentation of compliance activities, such as complaints received or investigation outcomes.
- Consults with corporate attorneys as necessary to address difficult legal compliance issues.
- Conducts or directs the internal investigation of compliance issues.
- Provides employee training on compliance related topics, policies, or procedures.
- Serves as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Verifies that all regulatory policies and procedures have been documented, implemented, and communicated.