11-9199.02 Bright OutlookApprenticeship

Compliance Managers

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Key Tasks

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

Skills

Critical Thinking
75%
Reading Comprehension
75%
Active Listening
72%
Speaking
72%
Writing
72%
Active Learning
69%
Coordination
69%
Monitoring
69%
Persuasion
66%
Judgment and Decision Making
63%
Social Perceptiveness
63%
Instructing
60%
Complex Problem Solving
56%
Learning Strategies
56%
Systems Analysis
56%
Negotiation
53%
Systems Evaluation
53%
Time Management
53%
Service Orientation
50%
Management of Personnel Resources
41%
Mathematics
28%
Quality Control Analysis
28%
Operations Monitoring
25%
Management of Financial Resources
22%
Management of Material Resources
22%
Operations Analysis
19%
Programming
19%
Technology Design
19%
Operation and Control
13%
Science
10%
Troubleshooting
6%
Equipment Selection
3%
Equipment Maintenance
0%
Installation
0%
Repairing
0%

Knowledge

Law and Government
89%
English Language
88%
Administration and Management
77%
Customer and Personal Service
68%
Personnel and Human Resources
67%
Computers and Electronics
65%
Education and Training
61%
Administrative
59%
Public Safety and Security
58%
Mathematics
49%
Communications and Media
48%
Economics and Accounting
41%
Telecommunications
38%
Psychology
37%
Therapy and Counseling
36%
Production and Processing
30%
Transportation
29%
Sociology and Anthropology
28%
Geography
27%
Engineering and Technology
25%
Philosophy and Theology
24%
Sales and Marketing
24%
Design
20%
Medicine and Dentistry
18%
Building and Construction
17%
History and Archeology
17%
Mechanical
17%
Foreign Language
16%
Chemistry
15%
Physics
15%
Biology
13%
Food Production
6%
Fine Arts
2%

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Abilities

Oral Expression
78%
Problem Sensitivity
78%
Written Expression
78%
Deductive Reasoning
75%
Inductive Reasoning
75%
Oral Comprehension
75%
Written Comprehension
75%
Near Vision
66%
Speech Clarity
66%
Information Ordering
63%
Speech Recognition
63%
Category Flexibility
53%
Far Vision
50%
Fluency of Ideas
50%
Selective Attention
50%
Flexibility of Closure
47%
Originality
47%
Memorization
38%
Perceptual Speed
38%
Speed of Closure
35%
Auditory Attention
31%
Mathematical Reasoning
31%
Time Sharing
31%
Hearing Sensitivity
28%
Number Facility
28%
Visualization
28%
Visual Color Discrimination
25%
Depth Perception
22%
Control Precision
19%
Finger Dexterity
19%
Trunk Strength
19%
Arm-Hand Steadiness
16%
Manual Dexterity
16%
Speed of Limb Movement
13%
Wrist-Finger Speed
10%
Glare Sensitivity
6%
Multilimb Coordination
6%
Night Vision
6%
Peripheral Vision
6%
Rate Control
6%
Reaction Time
6%
Response Orientation
6%
Sound Localization
6%
Spatial Orientation
6%
Gross Body Coordination
3%
Stamina
3%
Dynamic Flexibility
0%
Dynamic Strength
0%
Explosive Strength
0%
Extent Flexibility
0%
Gross Body Equilibrium
0%
Static Strength
0%

Work Activities

Communicating with Supervisors, Peers, or Subordinates
94%
Evaluating Information to Determine Compliance with Standards
94%
Getting Information
94%
Working with Computers
92%
Documenting/Recording Information
89%
Making Decisions and Solving Problems
86%
Updating and Using Relevant Knowledge
85%
Establishing and Maintaining Interpersonal Relationships
84%
Identifying Objects, Actions, and Events
83%
Communicating with People Outside the Organization
81%
Organizing, Planning, and Prioritizing Work
81%
Processing Information
79%
Judging the Qualities of Objects, Services, or People
78%
Performing Administrative Activities
78%
Analyzing Data or Information
76%
Interpreting the Meaning of Information for Others
75%
Resolving Conflicts and Negotiating with Others
75%
Training and Teaching Others
75%
Monitoring Processes, Materials, or Surroundings
71%
Developing and Building Teams
69%
Developing Objectives and Strategies
69%
Scheduling Work and Activities
69%
Providing Consultation and Advice to Others
67%
Coaching and Developing Others
66%
Coordinating the Work and Activities of Others
65%
Thinking Creatively
65%
Guiding, Directing, and Motivating Subordinates
63%
Assisting and Caring for Others
60%
Estimating the Quantifiable Characteristics of Products, Events, or Information
58%
Performing for or Working Directly with the Public
57%
Inspecting Equipment, Structures, or Materials
50%
Selling or Influencing Others
42%
Operating Vehicles, Mechanized Devices, or Equipment
41%
Staffing Organizational Units
36%
Controlling Machines and Processes
33%
Monitoring and Controlling Resources
32%
Performing General Physical Activities
26%
Handling and Moving Objects
22%
Drafting, Laying Out, and Specifying Technical Devices, Parts, and Equipment
19%
Repairing and Maintaining Mechanical Equipment
17%
Repairing and Maintaining Electronic Equipment
12%

Work Context

E-Mail

How frequently does your job require you to use E-mail?

100%

Face-to-Face Discussions with Individuals and Within Teams

How frequently does your job require face-to-face discussions with individuals and within teams?

95%

Telephone Conversations

How often do you have telephone conversations in this job?

95%

Work With or Contribute to a Work Group or Team

How important is it to work with or contribute to a work group or team in this job?

94%

Indoors, Environmentally Controlled

How often does this job require working indoors in an environmentally controlled environment (like a warehouse with air conditioning)?

93%

Contact With Others

How much does this job require the worker to be in contact with others (face-to-face, by telephone, or otherwise) in order to perform it?

92%

Importance of Being Exact or Accurate

How important is being very exact or highly accurate in performing this job?

91%

Duration of Typical Work Week

Number of hours typically worked in one week.

86%

Determine Tasks, Priorities and Goals

How much freedom does the worker have in determining the tasks, priorities, or goals of the job?

83%

Time Pressure

How often does this job require the worker to meet strict deadlines?

83%

Freedom to Make Decisions

How much decision making freedom, without supervision, does the job offer?

82%

Impact of Decisions on Co-workers or Company Results

What results do your decisions usually have on other people or the image or reputation or financial resources of your employer?

82%

Coordinate or Lead Others in Accomplishing Work Activities

How important is it to coordinate or lead others (not as a supervisor or team leader) in accomplishing work activities in this job?

78%

Frequency of Decision Making

How often is the worker required to make decisions that affect other people, the financial resources, and/or the image and reputation of the organization?

77%

Health and Safety of Other Workers

How much responsibility is there for the health and safety of others in this job?

75%

Spend Time Sitting

How much does this job require sitting?

75%

Deal With External Customers or the Public in General

How important is it to deal with external customers (as in retail sales) or the public in general (as in police work) in this job?

73%

Work Outcomes and Results of Other Workers

How responsible is the worker for work outcomes and results of other workers?

73%

Importance of Repeating Same Tasks

How important are continuous, repetitive, physical activities (like key entry) or mental activities (like checking entries in a ledger) to performing this job?

71%

Written Letters and Memos

How frequently does your job require written letters and memos?

71%

Conflict Situations

How frequently are there conflict situations the employee has to face in this job?

61%

Level of Competition

To what extent does this job require the worker to compete or to be aware of competitive pressures?

58%

Dealing With Unpleasant, Angry, or Discourteous People

How frequently does the worker have to deal with unpleasant, angry, or discourteous individuals as part of the job requirements?

55%

Physical Proximity

To what extent does this job require the worker to perform job tasks physically close to other people?

54%

Consequence of Error

How serious would the result usually be if the worker made a mistake that was not easily correctable?

52%

Spend Time Using Your Hands to Handle, Control, or Feel Objects, Tools, or Controls

How much does this job require using your hands to handle, control, or feel objects, tools or controls?

51%

Public Speaking

How frequently does your job require public speaking (one speaker with an audience)?

47%

Exposed to Sounds, Noise Levels that are Distracting or Uncomfortable

How often does this job require working exposed to sounds and noise levels that are distracting or uncomfortable?

46%

Spend Time Walking or Running

How much does this job require walking or running?

37%

Spend Time Standing

How much does this job require standing?

36%

In an Enclosed Vehicle or Operate Enclosed Equipment

How often does this job require working in a closed vehicle or operate enclosed equipment (like a car)?

34%

Spend Time Making Repetitive Motions

How much does this job require making repetitive motions?

32%

Dealing with Violent or Physically Aggressive People

How frequently does this job require the worker to deal with physical aggression of violent individuals?

30%

Exposed to Contaminants

How often does this job require working exposed to contaminants (such as pollutants, gases, dust or odors)?

25%

Exposed to Cramped Work Space, Awkward Positions

How often does this job require working in cramped work spaces that requires getting into awkward positions?

23%

Indoors, Not Environmentally Controlled

How often does this job require working in an environment that is not environmentally controlled (like a warehouse without air conditioning)?

19%

Outdoors, Exposed to All Weather Conditions

How often does this job require working outdoors, exposed to all weather conditions?

19%

Spend Time Bending or Twisting Your Body

How much does this job require bending or twisting your body?

19%

Degree of Automation

How automated is the job?

18%

Exposed to Very Hot or Cold Temperatures

How often does this job require working in very hot (above 90 F degrees) or very cold (below 32 F degrees) temperatures?

16%

Wear Common Protective or Safety Equipment such as Safety Shoes, Glasses, Gloves, Hearing Protection, Hard Hats, or Life Jackets

How often does this job require wearing common protective or safety equipment such as safety shoes, glasses, gloves, hearing protection, hard hats or life-jackets?

14%

Exposed to Disease or Infections

How often does this job require exposure to disease/infections?

13%

Exposed to Extremely Bright or Inadequate Lighting Conditions

How often does this job require working in extremely bright or inadequate lighting conditions?

11%

Spend Time Kneeling, Crouching, Stooping, or Crawling

How much does this job require kneeling, crouching, stooping or crawling?

11%

Pace Determined by Speed of Equipment

How important is it to this job that the pace is determined by the speed of equipment or machinery? (This does not refer to keeping busy at all times on this job.)

9%

Wear Specialized Protective or Safety Equipment such as Breathing Apparatus, Safety Harness, Full Protection Suits, or Radiation Protection

How often does this job require wearing specialized protective or safety equipment such as breathing apparatus, safety harness, full protection suits, or radiation protection?

9%

Exposed to Minor Burns, Cuts, Bites, or Stings

How often does this job require exposure to minor burns, cuts, bites, or stings?

8%

Outdoors, Under Cover

How often does this job require working outdoors, under cover (like in an open shed)?

7%

Work Schedules

How regular are the work schedules for this job?

7%

In an Open Vehicle or Operating Equipment

How often does this job require working in an open vehicle or operating equipment (like a tractor)?

6%

Exposed to Hazardous Conditions

How often does this job require exposure to hazardous conditions?

4%

Exposed to High Places

How often does this job require exposure to high places?

4%

Spend Time Keeping or Regaining Balance

How much does this job require keeping or regaining your balance?

4%

Exposed to Whole Body Vibration

How often does this job require exposure to whole body vibration (like operating a jackhammer or earth moving equipment)?

3%

Spend Time Climbing Ladders, Scaffolds, or Poles

How much does this job require climbing ladders, scaffolds, poles, etc.?

3%

Exposed to Hazardous Equipment

How often does this job require exposure to hazardous equipment?

2%

Exposed to Radiation

How often does this job require exposure to radiation?

1%

Education

Bachelor's degree

63%

Master's degree

14%

High school diploma or equivalent

9%

Interests

Conventional

Work involves following procedures and regulations to organize information or data, typically in a business setting. Conventional occupations are often associated with office work, accounting, mathematics/statistics, information technology, finance, or hum

88

Enterprising

Work involves managing, negotiating, marketing, or selling, typically in a business setting, or leading or advising people in political and legal situations. Enterprising occupations are often associated with business initiatives, sales, marketing/advertis

82

Social

Work involves helping, teaching, advising, assisting, or providing service to others. Social occupations are often associated with social, health care, personal service, teaching/education, or religious activities.

35

Investigative

Work involves studying and researching non-living objects, living organisms, disease or other forms of impairment, or human behavior. Investigative occupations are often associated with physical, life, medical, or social sciences, and can be found in the f

33

Realistic

Work involves designing, building, or repairing of equipment, materials, or structures, engaging in physical activity, or working outdoors. Realistic occupations are often associated with engineering, mechanics and electronics, construction, woodworking, t

15

Artistic

Work involves creating original visual artwork, performances, written works, food, or music for a variety of media, or applying artistic principles to the design of various objects and materials. Artistic occupations are often associated with visual arts,

0

Work Values

Achievement
67%
Support
67%
Independence
61%
Recognition
61%
Relationships
61%
Working Conditions
58%

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