The Compliance Manager ensures compliance of company processes with legislation or with the requirements of norms, standards or with the requirements of clients or the entire supply chain. They ensure that the company meets these requirements, that they are translated into company processes by means of policies, work procedures and other documents, and that these processes are properly executed. They are therefore also responsible for managing the associated risks and their responsibilities include compliance reporting, dealing with institutions, partners and may also include dealing with suppliers if compliance requirements are passed on to them.
Typical job description of a compliance manager
- monitors changes in legislative requirements
- monitors changes in standards and norms and other sources of requirements
- prepares reports on the organization's compliance management
- designs and implements the organization's compliance programme (processes and regulations)
- communicates with regulatory bodies
- develops corporate communications on compliance
- coordinates and schedules required compliance training for employees
- prepares compliance submissions to management
- Ensures and manages compliance processes
- Deals with suppliers involved in compliance
- Provides compliance education internally
- Communicates with accounting or legal offices
- takes notes at compliance meetings
- manages corrective and preventive actions arising from compliance risks or breaches
- responsible for recording and handling compliance violation incidents
Specialization of compliance managers
There are a number of areas where a company must demonstrate compliance. This is why compliance managers often specialize in one area in which they have expertise. The most common specializations of compliance managers are:
- Occupational Health and Safety (OHS) Compliance Manager.
- Environmental Compliance Manager
- IT Compliance Manager
- Information security manager, ISO 27000 compliance
- Compliance manager in financial regulation, e.g. AML
- HIPAA Compliance manager
- GDPR Compliance Manager
How Aptien simplifies the work of Compliance manager
The Compliance Manager at Aptien is in charge of recording policies, process descriptions, and other related organizers. A compliance manager is typically the quality manager in a company.
Planning, organizing, and executing internal audits and compliance checks
- Planning and conducting audits or compliance reviews
- Creating the final report from the compliance check
Policies, work procedures and standards and other documentation
- Managing company guidelines and work procedures
- Policy Portal
- Acquainting employees with guidelines and confirming compliance
Compliance employees with job qualifications
- Ensuring employee compliance at the start and during employment
- Preparing documentation and guidelines until the issuance of mandatory work aids
- Planning, monitoring, and confirming guidelines and work procedures
- OSH: Overview of equipping employees with protective gear
- Describing compliance requirements for individual job positions
Compliance of tools, devices, machines and other equipment
- Confirming performed maintenance in accordance with legislative or manufacturer requirements
- Automating the scheduling of mandatory maintenance in accordance with legislative or manufacturer requirements
- Maintaining documentation of product, machine, and equipment conformity
Reporting of nonconformity by employees
- An employee can send you different types of disagreements and reports