Compliance Managers: Career & Application Guide

What do compliance managers do?

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

This describes a U.S. occupation, not a live vacancy. Individual employers may use different titles and requirements.

O*NET reports these titles for this occupation. Compare the responsibilities in each posting before treating titles as equivalent.

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.

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Choose two or three tasks above that match the posting and your actual experience.
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Practice explaining your contribution, decisions and results before an interview.

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