Description
Examine, evaluate, and investigate organizational activities for conformity with laws, regulations, contracts, and internal policies; perform compliance monitoring, testing, and analysis, report findings, and support remediation and continuous improvement.
- • Communicate compliance findings and recommend corrective actions.
- • Evaluate records and transactions to assess compliance and liability.
- • Advise business units on regulations, policies, and control requirements.
- • Prepare reports summarizing reviews, test results, risks, and recommendations.
- • Escalate potential violations and coordinate required regulatory notifications.
- • Interview process owners and SMEs to clarify facts for assessments.
- • Validate and approve compliance attestations or control certifications.
- • Track required regulatory registrations, filings, and certifications.
- • Execute control testing and sampling per defined methodologies.
- • Conduct onsite or remote reviews to verify control implementation and effectiveness.
- • Assess control design and operating effectiveness; document evidence.
- • Draft communications on findings, remediation plans, and timelines.
- • Identify and prioritize compliance issues for follow-up or investigation.
- • Monitor regulatory changes and best practices; update procedures.
- • Support internal and external audits and examinations.
- • Verify that policies, procedures, and controls are documented, implemented, and communicated.
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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This site includes information from O*NET by the U.S. Department of Labor, Employment and Training Administration (USDOL/ETA), used under the CC BY 4.0 license. Career Clutch has modified some of this information for student readability. USDOL/ETA has not approved, endorsed, or tested these modifications. O*NET® is a trademark of USDOL/ETA.
Last reviewed: Jan 2026
