Description
Plan, lead, and coordinate organizational compliance with applicable laws and regulations, overseeing policies, monitoring, reporting, risk management, and regulator engagement.
- • Ensure compliance management systems and monitoring tools are implemented and effective.
- • Serve as a confidential point of contact for employees to seek guidance or report regulatory concerns.
- • Maintain documentation of regulatory compliance activities, findings, and remediation.
- • Consult with legal counsel on complex or ambiguous regulatory requirements.
- • Partner with HR to apply consistent disciplinary actions for compliance violations.
- • Advise leadership and business units on designing and operating regulatory compliance programs.
- • Review customer and marketing communications, disclosures, and labels for regulatory accuracy.
- • Deliver employee training on laws, regulations, policies, and procedures.
- • Report significant violations or incidents to regulators or authorities as required.
- • Liaise with regulators and support internal and external audits and examinations.
- • Prepare dashboards and reports on compliance performance, issues, and trends.
- • Monitor key controls and metrics to test the effectiveness of the compliance program.
- • Identify, triage, and track regulatory compliance issues requiring follow-up.
- • Publish and maintain policies, procedures, and standards tied to regulatory obligations.
- • File required regulatory reports, registrations, and certifications on time.
- • Enhance communication, monitoring, and enforcement mechanisms for regulatory standards.
- • Conduct periodic reviews and testing to verify adherence to regulatory requirements.
- • Lead or oversee internal investigations of alleged compliance breaches.
- • Advise technical and data teams on regulatory reporting tools, controls, and data quality.
- • Plan and execute compliance audits against applicable laws and regulations.
- • Oversee licensing and permits, third-party compliance due diligence, complaint management, and product approvals, as applicable.
- • Evaluate and improve compliance testing methodologies and quality assurance procedures.
- • Update policies and operating procedures to reflect new or revised regulations and guidance.
- • Communicate emerging regulatory issues and changes to management and staff.
- • Verify regulatory obligations are mapped, documented, implemented, and communicated.
- • Track regulatory developments, industry trends, and best practices.
- • Direct organization-wide development and implementation of regulatory compliance policies.
- • Develop regulatory risk assessments and mitigation plans for products, services, and operations.
- • Manage compliance hotlines and internal reporting channels.
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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
