{"schemaVersion":"1.0","exportedAt":"2026-05-15T12:38:15.062Z","occupation":{"soc":"11-9199.02","title":"Compliance Managers","group":"Management","sector":"55","jobZone":4,"jobZoneInferred":false},"framework":{"version":"v.26.05","description":"","contextCovered":"This framework covers compliance management practice across corporate, regulated-industry, and multi-entity environments, spanning regulatory filing, internal investigation, policy governance, employee training, and executive risk advisory functions.","levels":{"emerging":{"label":"Emerging","statements":["Compliance violations and irregularities — recognize and escalate to supervisors using established reporting protocols within a regulated corporate environment.","Regulatory filing requirements — review and compile supporting documentation under direct supervision to assist with agency submissions.","Compliance documentation records — maintain and organize using document management software in accordance with departmental recordkeeping standards.","Emerging compliance issues — attend briefings and summarize key takeaways for team review under the guidance of a senior compliance officer.","Internal compliance policies and procedures — read, interpret, and apply to routine workplace scenarios following established guidelines.","Compliance software platforms — navigate and enter data accurately to support case tracking and reporting activities in a compliance department.","Employee compliance inquiries — respond to basic questions by referencing approved policy documents and escalating complex issues appropriately.","Regulatory agency websites and databases — search and retrieve relevant legal and compliance information using internet browser and search tools.","Compliance training materials — assist in preparing presentations and reference documents under the direction of a training coordinator.","Potential compliance flags identified during document review — log and categorize systematically using database management software for further analysis."]},"developing":{"label":"Developing","statements":["Compliance issues requiring follow-up or investigation — identify, triage, and assign priority levels using established risk criteria within a mid-size corporate compliance function.","Internal investigation activities — conduct structured fact-finding interviews and compile findings into written reports with limited supervisory oversight.","Regulatory compliance reports — prepare and file accurately with the appropriate agencies within required deadlines, adapting to agency-specific submission formats.","Management and staff awareness of compliance reporting systems — support by facilitating scheduled training sessions and distributing updated policy communications.","Compliance monitoring activities — track key indicators across business units and flag deviations from regulatory or internal standards on a routine basis.","Documentation of complaint intake and investigation outcomes — maintain complete and accurate records in compliance software to support audit readiness.","Corporate attorneys — coordinate with on straightforward legal compliance questions, preparing background summaries and relevant documentation in advance of consultations.","Employee training on compliance policies and procedures — deliver structured sessions using prepared curricula and gather post-training feedback for program improvement.","Analytical software tools — use to evaluate compliance data sets and identify trends or anomalies across standard reporting periods.","Coordination across departments on compliance-related corrective actions — facilitate by drafting action plans and tracking implementation progress against agreed timelines."]},"proficient":{"label":"Proficient","statements":["Complex compliance issues across the full regulatory scope — investigate autonomously, applying deductive and inductive reasoning to determine root causes and recommend remediation in a multi-entity corporate environment.","Violations of compliance or regulatory standards — evaluate severity, determine appropriate reporting obligations, and submit notifications directly to enforcement agencies in accordance with legal requirements.","Difficult legal compliance matters — consult collaboratively with corporate counsel, synthesizing legal guidance with operational realities to develop practical risk-mitigation strategies.","Compliance risk assessments — design and execute across business units, integrating systems analysis to identify structural vulnerabilities and prioritize corrective interventions.","Regulatory agency filings — manage end-to-end preparation, review, and submission, ensuring accuracy and completeness across multiple concurrent regulatory requirements.","Emerging compliance developments — monitor proactively using information retrieval tools and translate regulatory changes into actionable policy updates communicated to management.","Compliance training programs — develop comprehensive curricula tailored to audience learning needs, incorporating active learning strategies and real-world case scenarios.","Cross-functional negotiations on compliance requirements — lead discussions with business unit leaders, persuading stakeholders to adopt corrective measures that align operational goals with regulatory obligations.","Human resources and personnel compliance — advise on workforce-related regulatory requirements, integrating HR software data to ensure alignment with labor and employment standards.","Compliance investigation findings — present orally and in writing to senior leadership, delivering clear, evidence-based conclusions and structured recommendations for organizational action."]},"advanced":{"label":"Advanced","statements":["Enterprise-wide compliance strategy — design and implement a comprehensive framework aligned with organizational objectives and evolving regulatory landscapes across all business lines.","Compliance reporting culture and systems — establish organization-wide standards, championing transparency and accountability through policy governance and executive-level communication.","Senior leadership and board of directors — advise on significant regulatory risk exposures, translating complex legal compliance issues into strategic business risk assessments.","Compliance function talent pipeline — build by mentoring developing compliance professionals, setting performance expectations, and designing structured development pathways across the department.","Regulatory agency relationships — cultivate at an institutional level, representing the organization in high-stakes enforcement dialogues and proactively shaping cooperative compliance postures.","Organization-level compliance program effectiveness — evaluate continuously using advanced analytical software and key performance metrics, driving iterative improvements at executive scale.","Cross-functional leadership alignment on compliance priorities — achieve through executive persuasion and negotiation, integrating compliance obligations into corporate strategic planning cycles.","Major internal investigations involving significant legal or reputational risk — direct and oversee, coordinating with external legal counsel and enforcement bodies and managing communications with executive stakeholders.","Compliance technology infrastructure — lead the selection, implementation, and governance of enterprise compliance software and document management systems that scale across the organization.","Industry-wide compliance trends and regulatory shifts — anticipate and interpret, positioning the organization ahead of emerging requirements through proactive policy development and stakeholder education initiatives."]}}},"sources":{"onet":"v30.2 (CC BY 4.0)","crosswalk":"https://skillscrosswalk.com","generator":"LER.me"},"attribution":"© EBSCOed"}