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11-9199.02 · Task explorer

Compliance Managers: reported tasks and exploration worksheet

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

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This source lists 29 tasks, including 20 marked Core and 9 marked Supplemental. Labels and dates are retained below. Employers can combine or divide these responsibilities differently; explore the task itself before assuming it belongs in every version of the role.

Task source dates: 08/2019.

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29 tasks shown

Core · Task 15645 · 08/2019 · Incumbent

Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.

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Core · Task 15650 · 08/2019 · Incumbent

Identify compliance issues that require follow-up or investigation.

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My example, evidence or question

Core · Task 21088 · 08/2019 · Incumbent

Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.

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My example, evidence or question

Core · Task 15653 · 08/2019 · Incumbent

File appropriate compliance reports with regulatory agencies.

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My example, evidence or question

Core · Task 15638 · 08/2019 · Incumbent

Maintain documentation of compliance activities, such as complaints received or investigation outcomes.

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My example, evidence or question

Core · Task 15639 · 08/2019 · Incumbent

Consult with corporate attorneys as necessary to address difficult legal compliance issues.

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My example, evidence or question

Core · Task 15656 · 08/2019 · Incumbent

Conduct or direct the internal investigation of compliance issues.

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My example, evidence or question

Core · Task 15644 · 08/2019 · Incumbent

Provide employee training on compliance related topics, policies, or procedures.

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My example, evidence or question

Core · Task 15637 · 08/2019 · Incumbent

Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.

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My example, evidence or question

Core · Task 21089 · 08/2019 · Incumbent

Verify that all regulatory policies and procedures have been documented, implemented, and communicated.

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My example, evidence or question

Core · Task 15652 · 08/2019 · Incumbent

Disseminate written policies and procedures related to compliance activities.

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My example, evidence or question

Core · Task 15647 · 08/2019 · Incumbent

Prepare management reports regarding compliance operations and progress.

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My example, evidence or question

Core · Task 15655 · 08/2019 · Incumbent

Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.

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My example, evidence or question

Core · Task 21090 · 08/2019 · Incumbent

Keep informed regarding pending industry changes, trends, or best practices.

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My example, evidence or question

Core · Task 15649 · 08/2019 · Incumbent

Monitor compliance systems to ensure their effectiveness.

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My example, evidence or question

Core · Task 21091 · 08/2019 · Incumbent

Direct the development or implementation of policies and procedures related to compliance throughout an organization.

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My example, evidence or question

Core · Task 15642 · 08/2019 · Incumbent

Advise internal management or business partners on the implementation or operation of compliance programs.

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My example, evidence or question

Core · Task 15654 · 08/2019 · Incumbent

Design or implement improvements in communication, monitoring, or enforcement of compliance standards.

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My example, evidence or question

Core · Task 15646 · 08/2019 · Incumbent

Provide assistance to internal or external auditors in compliance reviews.

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My example, evidence or question

Core · Task 15641 · 08/2019 · Incumbent

Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.

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My example, evidence or question

Supplemental · Task 21092 · 08/2019 · Incumbent

Develop risk management strategies based on assessment of product, compliance, or operational risks.

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My example, evidence or question

Supplemental · Task 19533 · 08/2019 · Incumbent

Advise technical professionals on the development or use of environmental compliance or reporting tools.

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My example, evidence or question

Supplemental · Task 19534 · 08/2019 · Incumbent

Conduct environmental audits to ensure adherence to environmental standards.

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Supplemental · Task 19537 · 08/2019 · Incumbent

Evaluate testing procedures to meet the specifications of environmental monitoring programs.

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My example, evidence or question

Supplemental · Task 19538 · 08/2019 · Incumbent

Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.

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My example, evidence or question

Supplemental · Task 15643 · 08/2019 · Incumbent

Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.

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Supplemental · Task 21093 · 08/2019 · Incumbent

Oversee internal reporting systems, such as corporate compliance hotlines.

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Supplemental · Task 15636 · 08/2019 · Incumbent

Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.

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Supplemental · Task 19536 · 08/2019 · Incumbent

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 pest management, employee training, or disaster preparedness.

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Make the shortlist useful

Choose one to three activities that tell you something different about the work. Avoid selecting several ways of describing the same interest.
For each, write an example you can discuss or a question that would change your understanding of the role.
Keep source task IDs with your notes so you can return to the same description. Do not include private employer or customer information.

The exported worksheet distinguishes the reported task from your own notes. It supports exploration, not a hiring decision or a validated assessment.

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Source and practice material

Occupational context uses the O*NET® 31.0 Database from the U.S. Department of Labor, Employment and Training Administration, under CC BY 4.0. View the occupation.

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