· Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
· Assess product, compliance, or operational risks and develop risk management strategies.
· Conduct environmental audits to ensure adherence to environmental standards.
· Identify compliance issues that require follow-up or investigation.
· Disseminate written policies and procedures related to compliance activities.
· File appropriate compliance reports with regulatory agencies.
· Evaluate testing procedures to meet the specifications of environmental monitoring programs.
· Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
· Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
· Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
· Consult with corporate attorneys as necessary to address difficult legal compliance issues.
· Discuss emerging compliance issues with management.
· Advise internal management or business partners on the implementation or operation of compliance programs.
· Review communications such as securities, sales, advertising to ensure there are no violations of standards or regulations.
· Provide employee training on compliance related topics, policies, or procedures.
· Provide assistance to internal or external auditors in compliance reviews.
· Prepare management reports regarding compliance operations and progress.
· Monitor compliance systems to ensure their effectiveness.
· Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
· Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
· Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
· Advise technical professionals on the development or use of environmental compliance or reporting tools.
· Assess the business’s future ventures to identify possible compliance risks
· Develop internal controls and policies designed to ensure that all compliance needs are met
· Conducting internal reviews and audits
· Develop and review company policies.
· Regularly audit company procedures, practices, and documents to identify possible weaknesses or risk.
· Assess company operations to determine compliance risk.
· Proactive in understanding and educating changing regulations, laws, and best practices, as they apply to the business and industry
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