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Career Details
11-9199.02 - Compliance Managers
Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
Key Facts

Tasks

Core
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- Advise internal management or business partners on the implementation or operation of compliance programs.
- Provide employee training on compliance related topics, policies, or procedures.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Provide assistance to internal or external auditors in compliance reviews.
- Prepare management reports regarding compliance operations and progress.
- Monitor compliance systems to ensure their effectiveness.
- Identify compliance issues that require follow-up or investigation.
- Disseminate written policies and procedures related to compliance activities.
- File appropriate compliance reports with regulatory agencies.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Conduct or direct the internal investigation of compliance issues.
- Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
- Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
- Keep informed regarding pending industry changes, trends, or best practices.
- Direct the development or implementation of policies and procedures related to compliance throughout an organization.
Supplemental
- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
- Conduct environmental audits to ensure adherence to environmental standards.
- 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.
- 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.
- 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.
- Develop risk management strategies based on assessment of product, compliance, or operational risks.
- Oversee internal reporting systems, such as corporate compliance hotlines.
Knowledge

- 91%Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
- 91%Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
- 81%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.
- 74%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.
- 74%Knowledge of principles and procedures for personnel recruitment, selection, training, compensation and benefits, labor relations and negotiation, and personnel information systems.
- 72%Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
- 69%Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
- 67%Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and other office procedures and terminology.
- 66%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.
- 59%Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
- 58%Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media.
- 53%Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
- 51%Knowledge of transmission, broadcasting, switching, control, and operation of telecommunications systems.
Tools

- Computer laser printers
- Desktop computers
- Laptop computers
- Personal computers
- Laser facsimile machines
- Photocopying equipment
- Multi-line telephone systems
Technology

- 80-20 Software Leaders4
- Actimize Brokerage Compliance Solutions
- Agiliance Compliance Manager
- Aline GRC
- ARC Logics Sword
- Archer Compliance Management
- AssurX CATSWeb
- AssurX Financial Services Compliance Management System
- Audit2 AdaptiveGRC
- Axentis Compliance Management
- BPS Compliance
- BWise Compliance Management
- CMO Compliance Regulatory Compliance Solution
- Compliance 360
- Compliance11 Supervisory Suite
- ComplianceBridge Total Compliance
- ControlCase Compliance Manager
- Cura Software Solutions Cura for Compliance Management
- Data analysis software
- DoubleCheck GRC&T Platform
- EtQ Environmental Health and Safety Software
- EtQ FDA cGxP Compliance Software for Life Sciences
- Fidessa Compliance Manager
- FRSGlobal RegPro
- Governance, risk, and compliance GRC software
- Guideline Risk Technologies RUBI
- Healthcare common procedure coding system HCPCSHOT
- Horwath Software Magique
- Keane SCORE
- LRN Ethics and Compliance Alliance
- MasterControl MD
- MasterControl TotalPharma
- MediRegs ComplyTrack
- Methodware ERA
- MetricStream Compliance Management
- MetricStream Enterprise Compliance Platform
- MetricStream Regulatory Reporting
- Modulo Risk Manager
- MyComplianceOffice Compliance Operations Management System
- Neohapsis Certus GRC
- Oracle Enterprise Governance, Risk, and Compliance Manager
- Oracle Insurance Compliance Tracker
- policyIQ
- Protiviti Governance Portal
- QUMAS Compliance Solution
- Resolve Legislative Compliance Management
- RVR Systems Compliance
- StataCorp Stata
- Sword Achiever Compliance Portal Dashboard
- The Garland Group RiskKey
- Thomson Reuters Paisley Enterprise GRC
- Adobe Systems Adobe AcrobatHOT
- Apple Safari
- Microsoft Internet Explorer
- Mozilla Firefox
- Web browser software
- Database management software
- LexisNexis
- Microsoft AccessHOT
- SAP BEx Report Designer
- Desktop publishing software
- Microsoft ExcelHOT
- Microsoft PowerPointHOT
- Microsoft VisioHOT
- Microsoft WordHOT
- Scheduling software
- Spreadsheet software
- Word processing software
- Email software
- IBM NotesHOT
- Microsoft OutlookHOT
- Human resource information system HRIS
- Microsoft OfficeHOT
- Microsoft ProjectHOT
- Microsoft SharePointHOT
- Microsoft WindowsHOT
- Tax accounting software
- Tax software
Certifications

- Certified Consumer Compliance Specialist1155 Connecticut Ave NW, 5th Floor , Washington, DC 20036-4306
- Certified Professional Medical Auditor309 West 700 South, Salt Lake City, UT 84101
- Certified Consumer Compliance Specialist1129 20th Street, N.W. 9th Floor Washington, D.C., MN 20036
- Healthcare Research Compliance Certification6500 Barrie Rd, Suite 250 Minneapolis, MN 55435952-988-0141
- Certified in Health Care Compliance6500 Barrie Rd, Suite 250 Minneapolis, MN 55435952-988-0141
- Certified Regulatory Compliance ManagerInstitute of Certified Bankers, 1120 Connecticut Avenue, NW, Washington, DC 20036
- SES Standards Professional Certification13340 SW 96th Ave, Miami, FL 33176
- Certified Refrigeration Compliance ManagerPO Box 2099, Glenview, IL 60025-6099
- Certified U.S. Export Compliance Officer11225 N. 28th Dr. Suite B201 Phoenix, AZ 85029(602) 648-5750
- Credit Union Compliance Expert5710 Mineral Point Road, Madison, WI 53701-0333
- Responsible Care Auditor247 Maitland Avenue, Altamonte Springs, Florida 32701-4201
- Certified in Healthcare Privacy and Security233 N. Michigan Avenue, Suite 2150, Chicago, IL 60601-5519
- Chartered Compliance Analyst1670-F East Cheyenne Mtn. Blvd.; Box #293 Colorado Springs, CO 80906
- Certified Professional IACUC Administrator
- Certification for Institutional Review Board (IRB) Professionals
- IBM Certified Associate Developer - OpenPages Fundamentals1133 Westchester Avenue White Plains, NY 10604404-238-1234 (outside U.S.)
- IBM Certified Advanced Deployment Professional - IBM Service Management Security and Compliance V41133 Westchester Avenue White Plains, NY 10604404-238-1234 (outside U.S.)
- Certified Healthcare Billing and Management Executive1540 South Coast Highway, Suite 203 Laguna Beach, CA 92651
- Certified Community Bank Compliance Officer1615 L Street NW, Suite 900 Washington, D.C., DC 20036
- Certified Compliance Technician11240 Waples Mill Road, Suite 200, Fairfax, VA 22030
- Associate, Insurance Regulatory Compliance2300 Windy Ridge Parkway, Suite 600 Atlanta, GA 303391-800-ASK-LOMA
- Certified Professional Compliance Officer309 West 700 South, Salt Lake City, UT 84101
- Certified FISMA Compliance Practitioner
- Fair Housing Compliance526 King Street, Ste. 511, Alexandria, VA 22314
Licensing

Related Programs

Clicking on the Degree programs in the list below will take you away from the Careers page.
Purpose: This curriculum will provide students with the accounting courses needed to meet the requirements of the Virginia Board for Accountancy to sit for the Certified Public Accountancy (C.P.A.) examination. To meet the educational requirements to sit for the Virginia CPA exam, a candidate must obtain from one or more accredited institutions or from the National College the following:
- at least 120 semester hours of education;
- baccalaureate or higher degree; and
- accounting concentration or equivalent*
Requirements include:
- a minimum of 24 semester hours of accounting courses, to include courses in auditing, financial accounting, management accounting, and taxation; and
- a minimum of 24 semester hours of business courses. As many as 6 hours of accounting courses (not included in the 24 hours of accounting courses) may be considered for the business course requirement.
*Principles or introductory accounting courses cannot be considered in determining whether a person has obtained the 48 minimum number of semester hours required for an accounting concentration or equivalent.
Purpose: The program is designed to provide the student with sufficient knowledge to keep a simple set of accounting books and/or to qualify for entry-level positions in bookkeeping and accounting.
Purpose: This curriculum is designed for individuals who plan to transfer to a four-year college or university to complete a baccalaureate degree program in business administration with a major in accounting, business management, decision science and management, information systems, finance, marketing, etc.
Purpose: The curriculum is designed to provide a broad foundation that will prepare students to enter any of the varied fields in criminal justice or to prepare for professional advancement. Job opportunities for students include local, state, and federal enforcement officers, police officers, private or government investigators, adult/juvenile correction officers, probation/parole officers and counselors, security directors (managers), loss prevention directors, classification managers, and personnel clearance administrators. Most of the ADJ courses in this curriculum are 'core courses' that provide a basic entry-level foundation in both criminal justice and security administration. These courses must be taken by ALL STUDENTS in this program. At several points in the curriculum, 'course options' are provided for selection by the students.
Special Curriculum Admission Requirements: Students are advised that many criminal justice and private/government security agencies require excellent moral character and a written record of conduct prior to consideration for employment.
Purpose: This curriculum is designed for those students who wish to take only those courses that relate directly to the law enforcement field. The occupational objectives are to provide a basic foundation for individuals entering some particular area of the criminal justice field that does not require an A.A.S. or higher degree in criminal justice, or for persons already in the criminal justice field who wish to extend their knowledge/skill, or for those exploring the criminal justice field as a career alternative. Courses taken in the certificate program can be applied to the A.A.S. degree.
Special Curriculum Admission Requirements: Students are advised that many criminal justice and private/government security agencies require excellent moral character and a written record of conduct prior to consideration for employment.
Purpose: This program is designed to prepare students to transfer to a four-year college or university to complete a baccalaureate degree program in criminal justice, criminology, or related fields.
Purpose: This curriculum is designed for those who seek employment in the field of Cybersecurity (information assurance), for those who are presently in IT or a security field and who desire to increase their knowledge and update their skills, and for those who must augment their abilities in other fields with knowledge and skills in information security. The curriculum is mapped to the NSA/DHS Knowledge Units necessary for NOVA's designation as a Center of Academic Excellence.
Purpose This curriculum is designed for students seeking licensure in K-12 Special Education Adapted Curriculum or K-12 Special Education General Curriculum. This curriculum prepares students to transfer to any four-year college or university teacher preparation program. Courses in this degree are designed to satisfy some of the endorsement and professional course requirements of a Virginia teaching license. In EDU 200, students will identify the endorsement (content) courses they need to earn a teaching license. Students should meet with a Teacher Education faculty member or Education Field Placement Coordinator and Advising Specialist to select the correct courses for their area of licensure. EDU 200 and EDU 204 both require 20-hour field placements in a K-12 public school. Students will be required to complete a background check before being placed in the schools. Students with criminal records should consult with the Teacher Education Field Placement Coordinator before enrolling in the courses. Students are strongly encouraged to take the VCLA after completing ENG 111, ENG 112, Eng-literature course, and CST 100 or 110.
Purpose: This program is a flexible associate degree. For students who plan to transfer, the degree can parallel the first two years of a four-year bachelor of science program if they choose courses that match the transfer institution's requirements. For those students who do not plan to transfer, the degree allows them to structure a program to suit their needs using accumulated credits from a variety of formal and experiential sources.
Purpose: This curriculum is designed for persons who plan to transfer to a four-year college or university to complete a baccalaureate degree program in information technology.
Purpose This curriculum is designed to fulfill the Virginia state educational requirements for the certification of substance abuse counselors. To meet substance abuse counselor certification requirements, the applicant is expected to meet specific education requirements including didactic and experiential learning with a supervised internship required.
Individuals seeking skills and knowledge in this career field, but not seeking state certification may also enroll.
Cooperative Education: Students in this curriculum will participate in at least 3 semester hours of Cooperative Education unless they already have equivalent experience.
Purpose: This program is designed for students who plan to transfer to a college or university for a Bachelor of Arts in Art History.
Purpose This program is designed for individuals who plan to transfer to a four-year college or university to complete a bachelor of science in one of the social sciences. It also prepares students for some teacher certification programs. Students from the A.S. program major in a wide variety of fields, including anthropology, economics, government/political science, history, mass communications, pre-law, psychology, public administration, social work, and sociology.
PurposeThis major is designed for students who want to establish a strong foundation in the analytical skills and content related to the study of history, historical methods, and research tools across a variety of subject fields, including U.S., European, World, and Public History. Graduates who complete the major will be prepared for transfer opportunities and careers in fields that require critical thinking and clear written communications, as well as a deeper understanding of the importance of being an active and engaged citizen. When transferring to a four-year college or university, graduates will have the equivalent skills and knowledge of a junior.
Purpose This program is designed for individuals who plan to transfer to a four-year college or university to complete a baccalaureate degree. Graduates will have the knowledge, skills, and abilities equivalent to students entering the junior level at four-year colleges and universities.
Students with a baccalaureate degree who wish to pursue the Certified Public Accountant (CPA) examination may use specific course work toward fulfillment of accounting educational requirements. Some course work also meets federal government guidelines for those interested in qualifying for positions or promotions in the federal government. Students should consult an accounting instructor to determine the courses that meet the educational requirements.
The Associate of Applied Science (A.A.S.) degree provides students with a strong foundation in accounting and business, along with general education requirements, enabling students to seek entry-level employment in accounting. In addition, the course work prepares students for certification exams.
The certificate programs provide course work that gives students the skills to sit for one or more certification exams administered by the Accreditation Council for Accountancy and Taxation (ACAT).
Students completing the A.A.S. in Management have opportunities to transfer to four-year universities to pursue B.S. degrees in Business Administration, Management, and related areas. See https://www.tcc.edu/programs/transfer/transfer-agreements/ for agreements.
Courses required for the Business Administration degree are available on all four campuses.
Students are advised to consult with the program coordinator prior to entering the program.
For those who wish to continue their education pursuits beyond the associate degree, Tidewater Community College has entered into formal articulation agreements with colleges and universities to ease transfer. Individuals interested in this option are encouraged to consult with a TCC advisor early in their academic program.
Courses required for the Liberal Arts degree are available on all four campuses.
Courses required for the General Studies degree are available on all four campuses.
Courses required for the Social Sciences degree are available on all four campuses.