What does a compliance director do?
Compliance Directors oversee the adherence of different business units to company policies. They are considered experts on the different processes, policies, and regulatory systems that govern the business's operations, be it internal or external. They also keep themselves updated on the different external regulations and compliance procedures from governing bodies. This helps them ensure that the company is following the current guidelines. Compliance Directors have a say in the different internal company policies while overseeing the compliance to finance, human resources, and other related procedures.
Compliance director responsibilities
Here are examples of responsibilities from real compliance director resumes:
- Manage monthly FINRA registration fee allocations and departmental expenses.
- Manage Sarbanes-Oxley financial reporting and CAMP+ coverage, and certification process.
- Develop strategy to integrate acquired/new operations to achieve company ethics & compliance standards.
- Manage senior and junior surveillance/investigation analysts responsible for conducting AML surveillance and investigations.
- Develop, manage and implement program governance and structure to ensure major programs are strategically align with organizational objectives.
- Provide explanations to families on Medicare and Medicaid billing and benefits.
- Create written policies and procedures for HIPAA Medicare regulations and establish audits and ongoing training for organization adherence.
- Perform as integral piece of QA management.
- Direct medicaid coverage and payment negotiations for KCI products.
- Inspect facilities keeping up with HIPPA and OHSA requirements.
- Play a leading role in successfully obtaining FDA medical device clearance.
- Assist agency with confidentiality and safeguards of all patient relate information (HIPPA).
- Provide SME expertise in identifying and communicating to the business owners the newest threats (e.g.
- Conduct testing and verification of FINRA, CFTC and other exchange rules to meet annual CEO/CCO certifications.
- Ensure all AML, OFAC, KYC, BSA, and privacy policy regulatory requirements are followed in new account openings.
Compliance director skills and personality traits
We calculated that 8% of Compliance Directors are proficient in Compliance Program, Oversight, and Ethics.
We break down the percentage of Compliance Directors that have these skills listed on their resume here:
- Compliance Program, 8%
Provided strategic oversight and management of compliance programs, developing, and testing established controls to comply with Sarbanes-Oxley requirements.
- Oversight, 8%
Provided oversight for coordination and response to regulatory actions, regulatory inquiries, statistical data requests, exams and audits.
- Ethics, 8%
Created and updated standard operating procedures for processes supporting regulatory reporting and code of ethics compliance monitoring.
- Risk Management, 6%
Provided plan for reducing risks to patients/staff and hospital liabilities by writing and implementing initial Risk Management program for facility.
- Compliance Issues, 5%
Collaborate with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.
- Risk Assessments, 4%
Evaluate security standards for other organizations chosen for strategic partnerships and mergers/acquisitions and prepare risk assessments based upon those findings.
Most compliance directors use their skills in "compliance program," "oversight," and "ethics" to do their jobs. You can find more detail on essential compliance director responsibilities here:
The three companies that hire the most compliance directors are:
- USAA97 compliance directors jobs
- Charles River Labs87 compliance directors jobs
- Charles River Center85 compliance directors jobs
Choose from 10+ customizable compliance director resume templates
Build a professional compliance director resume in minutes. Our AI resume writing assistant will guide you through every step of the process, and you can choose from 10+ resume templates to create your compliance director resume.
Compare different compliance directors
Compliance director vs. Regulatory affairs manager
A regulatory affairs manager is in charge of ensuring that all aspects of a company adhere to the rules and regulations set by regulatory agencies. Their responsibilities revolve around devising regulation compliance strategies, creating training and orientation programs to inform the staff on the policies and standards, conducting internal inspections and information drives, and keeping abreast with the latest rules and regulations. Moreover, a regulatory affairs manager is in charge of processing and submitting necessary documents to government agencies, ensuring compliance and timeliness.
While similarities exist, there are also some differences between compliance directors and regulatory affairs manager. For instance, compliance director responsibilities require skills such as "compliance program," "oversight," "ethics," and "risk management." Whereas a regulatory affairs manager is skilled in "regulatory affairs," "medical devices," "regulatory submissions," and "global regulatory." This is part of what separates the two careers.
The education levels that regulatory affairs managers earn slightly differ from compliance directors. In particular, regulatory affairs managers are 2.8% more likely to graduate with a Master's Degree than a compliance director. Additionally, they're 0.4% more likely to earn a Doctoral Degree.Compliance director vs. Bsa officer
Depending on the industry, there are a lot of functions you need to comply with if you want to become a manager of quality management and corporate compliance. Commonly seen in banks, manufacturing, processing, automotive, and textile companies, this job position is responsible for monitoring, implementing, and oversees the quality of a product. Also, they may be responsible for organizing workflows, writing reports, and supervising the overall tasks of every employee.
In addition to the difference in salary, there are some other key differences worth noting. For example, compliance director responsibilities are more likely to require skills like "oversight," "ethics," "risk management," and "hipaa." Meanwhile, a bsa officer has duties that require skills in areas such as "bsa," "aml," "secrecy," and "sar." These differences highlight just how different the day-to-day in each role looks.
Bsa officers earn lower levels of education than compliance directors in general. They're 5.2% less likely to graduate with a Master's Degree and 0.4% less likely to earn a Doctoral Degree.Compliance director vs. Manager, quality management, corporate compliance
A corporate operations compliance manager oversees the activities of an organization to ensure its operations adhere to ethical standards and industry regulations. They conduct reviews to ensure compliance with policies and government requirements, conduct analysis to optimize practices, establish guidelines, and maintain compliance with latest changes in state and federal laws. They are also responsible for supervising staff activities, keeping records, and implementing plans to maintain optimal workflow.
Some important key differences between the two careers include a few of the skills necessary to fulfill the responsibilities of each. Some examples from compliance director resumes include skills like "oversight," "ethics," "risk management," and "risk assessments," whereas a manager, quality management, corporate compliance is more likely to list skills in "continuous improvement," "capa," "quality compliance," and "quality system. "
When it comes to education, managers, quality management, corporate compliance tend to earn higher degree levels compared to compliance directors. In fact, they're 8.6% more likely to earn a Master's Degree, and 6.2% more likely to graduate with a Doctoral Degree.Compliance director vs. Corporate operations compliance manager
Even though a few skill sets overlap between compliance directors and corporate operations compliance managers, there are some differences that are important to note. For one, a compliance director might have more use for skills like "oversight," "risk assessments," "project management," and "customer service." Meanwhile, some responsibilities of corporate operations compliance managers require skills like "corporate compliance," "compliance operations," "sme," and "anti-kickback. "
In general, corporate operations compliance managers hold similar degree levels compared to compliance directors. Corporate operations compliance managers are 4.3% less likely to earn their Master's Degree and 3.0% less likely to graduate with a Doctoral Degree.Types of compliance director
Updated January 8, 2025
