Sample Job Description for Manager of Compliance Investigation
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Manager of Compliance Investigation Job Overview
Manager of Compliance Investigation Job Description Sample
Oversees investigations of alleged violations of the corporation's ethical standards or non-compliance with applicable laws, regulations and corporate policy.
JOB LEVEL
M03
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Head of a Unit/Department
Salary Range
BASE 50%
$144,410
TOTAL 50%
$164,690
Job Responsibilities for Manager of Compliance Investigation
Assigns investigations to professional staff and ensures that staff follows approved investigation procedures. Ensures that investigations are properly documented and reports findings to authorities as needed. Helps develop compliance training and recommends proactive measures that will reduce the risk of future violations or non-compliance.
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View Job Description Templates of Similar Jobs
| Job Title | Job Description | |
|---|---|---|
| 1 | Labor Safety Manager | The Labor Safety Manager monitors and evaluates the workplace to ensure compliance with governmental regulatory agencies. Plans and manages the general health, safety, and loss control policies and procedures of the organization. Being a Labor Safety Manager develops worker plans and policies for new employee safety orientation including skill training, emergency preparedness, proper job instruction, hazardous material disposal procedures, and the use of protective equipment. Designs and directs safety training programs to reduce accidents, occupational illnesses, and exposure to long-term health hazards. In addition, Labor Safety Manager studies, identifies, and reports causes of past accidents and develops recommendations and follow-up to prevent accident recurrences. Requires a bachelor's degree of occupational safety and health or related degree. Typically reports to a head of a unit/department. The Labor Safety Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. Working as a Labor Safety Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. |
| 2 | Manager of Ethics and Compliance | The Manager of Ethics and Compliance implements programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Oversees and promotes the organization's global ethics and compliance function. Being an Manager of Ethics and Compliance delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Communicates the organization's ethical standards, policies, and regulations. In addition, Manager of Ethics and Compliance conducts compliance monitoring, investigations, and remediations of any non-compliant actions. Manages the administration of confidential reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. Typically requires a bachelor's degree. Typically reports to a director. The Manager of Ethics and Compliance manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Working as an Manager of Ethics and Compliance typically requires 5 years experience in the related area as an individual contributor. 1 - 3 years supervisory experience may be required. Extensive knowledge of the function and department processes. |
| 3 | Head of Corporate Compliance | The Head of Corporate Compliance plans and directs programs, policies, and practices to ensure that all business units' activities are in compliance with regulatory requirements. Responsible for an organization's compliance with financial policy and reporting regulations. Being a Head of Corporate Compliance requires a bachelor's degree in area of specialty. Tracks laws and regulations that might affect the organization's policies and implements necessary changes. In addition, Head of Corporate Compliance demonstrates expertise in a variety of the field's concepts, practices, and procedures. Typically reports to top management. The Head of Corporate Compliance manages a departmental function within a broader corporate function. Develops major goals to support broad functional objectives. Approves policies developed within various sub-functions and departments. Comprehensive knowledge of the overall departmental function. Working as a Head of Corporate Compliance typically requires 8+ years of managerial experience. |
| 4 | Agent Licensing Compliance Manager | The Agent Licensing Compliance Manager ensures compliance with all applicable regulations; maintains all necessary records. Oversees the licensing of employees responsible for the sale and marketing of insurance, loan, or investment products. Being an Agent Licensing Compliance Manager typically reports to a head of a unit/department. May require a bachelor's degree in area of specialty. The Agent Licensing Compliance Manager typically manages through subordinate managers and professionals in larger groups of moderate complexity. Provides input to strategic decisions that affect the functional area of responsibility. May give input into developing the budget. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. Working as an Agent Licensing Compliance Manager typically requires 3+ years of managerial experience. |
| 5 | Corporate Compliance Manager | The Corporate Compliance Manager manages the monitoring of business activities for compliance with applicable rules and regulations. Designs and develops programs, policies, and practices to ensure that the organization complies with federal, state, and local regulatory requirements. Being a Corporate Compliance Manager prepares compliance status reports for internal management and regulatory agencies as required. Tracks relevant laws and regulations and directs staff to update operating manuals and procedural documents when regulations change. In addition, Corporate Compliance Manager requires a bachelor's degree. Typically reports to top management. The Corporate Compliance Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. Working as a Corporate Compliance Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. |
Manager of Compliance Investigation Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Planning and Organizing | Level 4 |
| Coordination | Level 4 |
| Conflict Resolution | Level 3 |
