AI Assistant for Compliance Managers

Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.

Considerable Preparation Needed

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Core Responsibilities

  • 1Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.(Core task)
  • 2Identify compliance issues that require follow-up or investigation.(Core task)
  • 3Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.(Core task)
  • 4File appropriate compliance reports with regulatory agencies.(Core task)
  • 5Maintain documentation of compliance activities, such as complaints received or investigation outcomes.(Core task)
  • 6Consult with corporate attorneys as necessary to address difficult legal compliance issues.(Core task)
  • 7Conduct or direct the internal investigation of compliance issues.(Core task)
  • 8Provide employee training on compliance related topics, policies, or procedures.(Core task)
  • 9Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.(Core task)
  • 10Verify that all regulatory policies and procedures have been documented, implemented, and communicated.(Core task)

Top Skills Required

Reading Comprehension
Critical Thinking
Active Listening
Writing
Speaking
Active Learning
Monitoring
Coordination
Persuasion
Social Perceptiveness

Knowledge Areas

Law and GovernmentEnglish LanguageAdministration and ManagementCustomer and Personal ServicePersonnel and Human ResourcesComputers and ElectronicsEducation and TrainingAdministrative

Technology & Tools Used

In-Demand Technologies

Adobe AcrobatApple Safari

Other Tools

80-20 Software Leaders4Actimize Brokerage Compliance SolutionsAgiliance Compliance ManagerAline GRCARC Logics SwordArcher Compliance ManagementAssurX CATSWebAssurX Financial Services Compliance Management SystemAudit2 AdaptiveGRCAxentis Compliance ManagementBPS ComplianceBWise Compliance ManagementCMO Compliance Regulatory Compliance Solution

Daily Work Activities

Evaluating Information to Determine Compliance with Standards
Getting Information
Communicating with Supervisors, Peers, or Subordinates
Working with Computers
Documenting/Recording Information
Making Decisions and Solving Problems
Updating and Using Relevant Knowledge
Establishing and Maintaining Interpersonal Relationships

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