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Compliance Managers

SOC 11-9199.02Job Zone 4 · Considerable Preparationv.26.05

Context coveredThis 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.

Sources:O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.SkillsCrosswalkSkillsCrosswalk — O*NET enrichment + adjacency index. Opens in new tab.
Emerging
Entry / Apprentice
  1. Compliance violations and irregularities — recognize and escalate to supervisors using established reporting protocols within a regulated corporate environment.
  2. Regulatory filing requirements — review and compile supporting documentation under direct supervision to assist with agency submissions.
  3. Compliance documentation records — maintain and organize using document management software in accordance with departmental recordkeeping standards.
  4. Emerging compliance issues — attend briefings and summarize key takeaways for team review under the guidance of a senior compliance officer.
  5. Internal compliance policies and procedures — read, interpret, and apply to routine workplace scenarios following established guidelines.
  6. Compliance software platforms — navigate and enter data accurately to support case tracking and reporting activities in a compliance department.
  7. Employee compliance inquiries — respond to basic questions by referencing approved policy documents and escalating complex issues appropriately.
  8. Regulatory agency websites and databases — search and retrieve relevant legal and compliance information using internet browser and search tools.
  9. Compliance training materials — assist in preparing presentations and reference documents under the direction of a training coordinator.
  10. Potential compliance flags identified during document review — log and categorize systematically using database management software for further analysis.
Developing
Mid-level / Established
  1. Compliance issues requiring follow-up or investigation — identify, triage, and assign priority levels using established risk criteria within a mid-size corporate compliance function.
  2. Internal investigation activities — conduct structured fact-finding interviews and compile findings into written reports with limited supervisory oversight.
  3. Regulatory compliance reports — prepare and file accurately with the appropriate agencies within required deadlines, adapting to agency-specific submission formats.
  4. Management and staff awareness of compliance reporting systems — support by facilitating scheduled training sessions and distributing updated policy communications.
  5. Compliance monitoring activities — track key indicators across business units and flag deviations from regulatory or internal standards on a routine basis.
  6. Documentation of complaint intake and investigation outcomes — maintain complete and accurate records in compliance software to support audit readiness.
  7. Corporate attorneys — coordinate with on straightforward legal compliance questions, preparing background summaries and relevant documentation in advance of consultations.
  8. Employee training on compliance policies and procedures — deliver structured sessions using prepared curricula and gather post-training feedback for program improvement.
  9. Analytical software tools — use to evaluate compliance data sets and identify trends or anomalies across standard reporting periods.
  10. Coordination across departments on compliance-related corrective actions — facilitate by drafting action plans and tracking implementation progress against agreed timelines.
Proficient
Senior / Expert IC
  1. 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.
  2. Violations of compliance or regulatory standards — evaluate severity, determine appropriate reporting obligations, and submit notifications directly to enforcement agencies in accordance with legal requirements.
  3. Difficult legal compliance matters — consult collaboratively with corporate counsel, synthesizing legal guidance with operational realities to develop practical risk-mitigation strategies.
  4. Compliance risk assessments — design and execute across business units, integrating systems analysis to identify structural vulnerabilities and prioritize corrective interventions.
  5. Regulatory agency filings — manage end-to-end preparation, review, and submission, ensuring accuracy and completeness across multiple concurrent regulatory requirements.
  6. Emerging compliance developments — monitor proactively using information retrieval tools and translate regulatory changes into actionable policy updates communicated to management.
  7. Compliance training programs — develop comprehensive curricula tailored to audience learning needs, incorporating active learning strategies and real-world case scenarios.
  8. 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.
  9. Human resources and personnel compliance — advise on workforce-related regulatory requirements, integrating HR software data to ensure alignment with labor and employment standards.
  10. Compliance investigation findings — present orally and in writing to senior leadership, delivering clear, evidence-based conclusions and structured recommendations for organizational action.
Advanced
Lead / Principal / Executive
  1. Enterprise-wide compliance strategy — design and implement a comprehensive framework aligned with organizational objectives and evolving regulatory landscapes across all business lines.
  2. Compliance reporting culture and systems — establish organization-wide standards, championing transparency and accountability through policy governance and executive-level communication.
  3. Senior leadership and board of directors — advise on significant regulatory risk exposures, translating complex legal compliance issues into strategic business risk assessments.
  4. Compliance function talent pipeline — build by mentoring developing compliance professionals, setting performance expectations, and designing structured development pathways across the department.
  5. Regulatory agency relationships — cultivate at an institutional level, representing the organization in high-stakes enforcement dialogues and proactively shaping cooperative compliance postures.
  6. Organization-level compliance program effectiveness — evaluate continuously using advanced analytical software and key performance metrics, driving iterative improvements at executive scale.
  7. Cross-functional leadership alignment on compliance priorities — achieve through executive persuasion and negotiation, integrating compliance obligations into corporate strategic planning cycles.
  8. 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.
  9. Compliance technology infrastructure — lead the selection, implementation, and governance of enterprise compliance software and document management systems that scale across the organization.
  10. 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.

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Sources:Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab.Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab.WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab.

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Source anchors that ground each statement

Related titles
Project Manager · Accreditation Lieutenant · Accreditation Manager · Anti Money Laundering Compliance Manager (AML Compliance Manager) · Audit Manager · Compliance Audit Manager · Compliance Coordinator · Compliance Director · Compliance Manager · Compliance Operations Manager · Compliance Professional · Compliance Program Manager
RAPIDS apprenticeships
0239 · Project Manager
O*NET skills
Critical ThinkingReading ComprehensionActive ListeningWritingSpeakingActive LearningMonitoringCoordinationPersuasionJudgment and Decision MakingSocial PerceptivenessInstructingLearning StrategiesComplex Problem SolvingSystems AnalysisNegotiationSystems EvaluationTime ManagementService Orientation
Knowledge domains
Law and GovernmentEnglish LanguageAdministration and ManagementCustomer and Personal ServicePersonnel and Human ResourcesComputers and ElectronicsEducation and TrainingAdministrativePublic Safety and Security
Abilities
Problem SensitivityOral ExpressionWritten ExpressionDeductive ReasoningWritten ComprehensionOral ComprehensionInductive ReasoningNear VisionSpeech ClarityInformation Ordering
Work styles
—
Technology
Compliance softwareDocument management softwareInternet browser softwareAnalytical or scientific softwareData base management system softwareDesktop publishing softwareElectronic mail softwareMedical softwareHuman resources softwareInformation retrieval or search software
Tasks · seed anchors for statements
  1. Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  2. Identify compliance issues that require follow-up or investigation.
  3. Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
  4. File appropriate compliance reports with regulatory agencies.
  5. Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  6. Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  7. Conduct or direct the internal investigation of compliance issues.
  8. Provide employee training on compliance related topics, policies, or procedures.
CIP education codes
09.070211.100525.010125.010330.060130.120230.390130.400130.420130.450130.460130.470130.510130.520130.520230.520339.080142.010142.270142.270242.270342.270442.270542.270642.270742.270842.270942.271042.279942.280142.280242.280342.280442.280542.280642.280742.280842.280942.281042.281142.281242.281342.281442.289942.999943.010043.010343.011543.020243.030143.030243.030343.030443.040444.040144.040244.049945.010145.010245.010345.019945.020145.020245.020345.020445.020545.029945.030145.040145.050145.050245.059945.060145.060245.060345.060445.060545.069945.070145.070245.079945.090145.090245.099945.100145.100245.100345.100445.109945.110145.110245.110345.119945.120145.130145.150145.999950.100150.100250.100450.109951.071951.200952.010152.020152.020652.021052.021152.021352.021452.021652.070152.070252.070352.070452.090352.099952.210154.010154.010254.010354.010454.010554.010654.010754.010854.0199

Sources: O*NET v30.2 (CC BY 4.0), SkillsCrosswalk.com, LER.me®, Anthropic Economic Index, SAFI (Jadhav & Danve, 2026), WEF Skills Taxonomy 2021, Pathsmith™ Durable Skills Framework. © 2026 EBSCOed.