Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
<ul><li>Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.</li><li>Identify compliance issues that require follow-up or investigation.</li><li>Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.</li><li>File appropriate compliance reports with regulatory agencies.</li><li>Maintain documentation of compliance activities, such as complaints received or investigation outcomes.</li><li>Consult with corporate attorneys as necessary to address difficult legal compliance issues.</li><li>Provide employee training on compliance related topics, policies, or procedures.</li><li>Conduct or direct the internal investigation of compliance issues.</li><li>Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.</li><li>Verify that all regulatory policies and procedures have been documented, implemented, and communicated.</li><li>Prepare management reports regarding compliance operations and progress.</li><li>Disseminate written policies and procedures related to compliance activities.</li><li>Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.</li><li>Keep informed regarding pending industry changes, trends, or best practices.</li><li>Advise internal management or business partners on the implementation or operation of compliance programs.</li><li>Monitor compliance systems to ensure their effectiveness.</li><li>Direct the development or implementation of policies and procedures related to compliance throughout an organization.</li><li>Design or implement improvements in communication, monitoring, or enforcement of compliance standards.</li><li>Provide assistance to internal or external auditors in compliance reviews.</li><li>Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.</li></ul>