Description
Plan, lead, and oversee the organization's compliance program to ensure adherence to laws, regulations, and ethical standards.
- • Design and execute testing, monitoring, and auditing plans.
- • Implement and manage the enterprise compliance program and controls.
- • Maintain documentation of compliance activities, investigations, and outcomes.
- • Serve as a confidential point of contact for employee questions or reports.
- • Oversee internal reporting channels, including the compliance hotline.
- • Monitor compliance systems and dashboards for effectiveness.
- • Verify that appropriate technology and tools support oversight and monitoring.
- • Advise leadership and business partners on compliance requirements and program operations.
- • Collaborate with HR to apply consistent disciplinary actions for violations.
- • Consult with legal counsel on complex regulatory or ethical issues.
- • Provide training and communications on compliance policies and procedures.
- • Develop and update written policies, standards, and procedures.
- • File required compliance reports with regulators.
- • Prepare regular management reports on compliance status and metrics.
- • Conduct periodic risk assessments to identify compliance risks.
- • Conduct or direct internal investigations of alleged violations.
- • Identify and track remediation for issues requiring follow-up.
- • Review marketing and external communications for regulatory accuracy.
- • Assess third-party and vendor compliance, including due diligence.
- • Support internal and external audits and examinations.
- • Develop and track corrective action plans to closure.
- • Monitor regulatory changes and industry best practices and update the program accordingly.
- • Ensure policies and procedures are effectively documented, implemented, and communicated.
- • Improve compliance processes, communication, monitoring, and enforcement.
- • Coordinate reporting of significant violations to appropriate authorities when required.
- • Maintain incident and case management systems and logs.
- • Promote a culture of ethics and compliance across the organization.
- • Manage compliance-related records retention aligned with legal requirements.
- • Provide compliance input on new products, services, and business initiatives.
- • Prepare for and coordinate regulatory examinations and inquiries.
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Management & Entrepreneurship
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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Last reviewed: Jan 2026
