In this day in the life guide, you will find out:
- What does a day as Compliance Managers looks like
- What do they do every day
- Things they do on a weekly or monthly basis
- How many hours do they work
The purpose of this is to give you a clear picture of this career so you can make a better career decision on whether this career is suitable for you or not.
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Typical Day for Compliance Managers
Here is a list of tasks that Compliance Managers do every day.
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- Advise technical professionals on the development or use of environmental compliance or reporting tools.
Weekly and Monthly Tasks
Here is a list of tasks that Compliance Managers do on a weekly or monthly basis.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- Conduct or direct the internal investigation of compliance issues.
- Identify compliance issues that require follow-up or investigation.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Discuss emerging compliance issues with management or employees.
- How many hours do Compliance Managers work per week? More than 40 hours per week
- What is the work schedule like? Regular (Set schedule and routine)
Indoors, Environmentally Controlled
Learn more about Compliance Managers
Related careers to Compliance Managers
This career is also closely related to BSA Officer, BSA/AML Compliance Officer, Business Practices Supervisor, Chief Compliance Officer, Compliance Analyst, Compliance Coordinator, Compliance Director, Compliance Engineer-Products, Compliance Manager or Compliance Officer.