director-of-compliance-and-information-security/references/tasks.md

Tasks & work activities — director of compliance and information security

Source: O*NET 30.3, occupation 11-9199.02 (Compliance Managers) — manual nearest-occupation mapping via ISCO group 1213; the official ESCO crosswalk has no entry for this ESCO occupation.

Task statements

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

Detailed work activities

• Advise others on business or operational matters.
• Advise others on legal or regulatory compliance matters.
• Analyze risks to minimize losses or damages.
• Collaborate on research activities with scientists or technical specialists.
• Communicate organizational policies and procedures.
• Communicate with government agencies.
• Conduct employee training programs.
• Conduct environmental audits.
• Conduct financial or regulatory audits.
• Confer with organizational members to accomplish work activities.
• Coordinate reporting or editing activities.
• Determine operational compliance with regulations or standards.
• Develop computer or information systems.
• Develop emergency response plans or procedures.
• Develop operating strategies, plans, or procedures.
• Develop organizational policies or programs.
• Evaluate green operations or programs for compliance with standards or regulations.
• Examine marketing materials to ensure compliance with policies or regulations.
• Identify actions needed to bring properties or facilities into compliance with regulations.
• Implement organizational process or policy changes.
• Liaise between departments or other groups to improve function or communication.
• Maintain knowledge of current developments in area of expertise.
• Maintain regulatory or compliance documentation.
• Manage control system activities in organizations.
• Manage environmental sustainability projects.
• Monitor organizational compliance with regulations.
• Monitor organizational procedures to ensure proper functioning.
• Prepare reports related to compliance matters.
• Stay informed about current developments in field of specialization.
• Update knowledge about emerging industry or technology trends.
• Verify accuracy of records.