What do they do?

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

  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • File appropriate compliance reports with regulatory agencies.
  • Identify compliance issues that require follow-up or investigation.
  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • Disseminate written policies and procedures related to compliance activities.

Basic Skills
Reading Comprehension
Critical Thinking

Technical Skills
Operations Analysis
Operations Monitoring

Social Skills
Social Perceptiveness

Systems Skills
Judgment and Decision Making
Systems Analysis
Systems Evaluation

Problem Solving Skills
Complex Problem Solving

Resource Management Skills
Time Management
Management of Personnel Resources
Management of Financial Resources

  • Salary range: $40,000-$115,000 +
  • Education and Professional Requirements: Entry — Bachelor’s degree or multiple years related work experience; Managerial — Bachelor’s degree, multiple years related work experience, professional certification; Executive — Bachelor’s degree, many years related work experience, professional certification, post-graduate degree preferred
  • Possible career path: Compliance Officer > Compliance Manager > Director of Compliance

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