Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
- Audit Manager
- BSA/AML Compliance Officer
- BSA Officer
- Business Practices Supervisor
- Chief Compliance Officer
- Compliance Analyst
- Compliance Coordinator
- Compliance Director
- Compliance Engineer-Products
- Compliance Manager
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- File appropriate compliance reports with regulatory agencies.
- Conduct or direct the internal investigation of compliance issues.
- Identify compliance issues that require follow-up or investigation.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Disseminate written policies and procedures related to compliance activities.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Provide employee training on compliance related topics, policies, or procedures.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
People who work in this occupation generally have the interest code: CER.
This means people who work in this occupation generally have Conventional interests, but also prefer Enterprising and Realistic environments.
People who work in this occupation generally prize Achievement, but also value Support and Recognition in their jobs.
- English Language - Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
- Law and Government - Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
- Customer and Personal Service - Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
- Administration and Management - Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.
- Education and Training - Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
- Critical Thinking - Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
- Reading Comprehension - Understanding written sentences and paragraphs in work related documents.
- Active Listening - Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
- Monitoring - Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
- Coordination - Adjusting actions in relation to others' actions.
- Writing - Communicating effectively in writing as appropriate for the needs of the audience.
- Active Learning - Understanding the implications of new information for both current and future problem-solving and decision-making.
Most of these occupations require a four-year bachelor's degree, but some do not.
In 2017, the average annual wage in Ohio was $108,470 with most people making between $56,450 and $166,110
During 2014, this occupation employed approximately 29,190 people in Ohio. It is projected that there will be 30,370 employed in 2024.
This occupation will have about 118 openings due to growth and about 642 replacement openings for approximately 760 total annual openings.