Administrator

Archetype 1 Administrator

Any administrator should excel at:

  • Providing information to supervisors, co-workers, and subordinates, as well as communicating with people outside the organization, representing the organization to customers, the public, government, and other external sources. This information can be exchanged in person, in writing, or by telephone or e-mail.
  • Maintaining information files and processing paperwork.
  • Recruiting, interviewing, selecting, hiring, and promoting employees in an organization, and getting them to work together to accomplish tasks by encouraging and building mutual trust, respect, and cooperation.

Analyzer

Archetype 3 Analyzer

Analyzers will often perform the following tasks:

  • Identifying the underlying principles, reasons, or facts of information by breaking down information or data into separate parts.
  • Using relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.
  • Assessing the value, importance, or quality of things or people.
  • Compiling, coding, categorizing, calculating, tabulating, auditing, or verifying information or data.

Other work activities related to Compliance managers

  • Verifying that software technology is in place to adequately providing oversight and monitoring in all required areas.
  • Serving as a confidential point of contact for employees for communicating with management, seeking clarification on issues or dilemmas, or reporting irregularities.
  • Maintaining documentation of compliance activities, such as complaints received or investigation outcomes.
  • Consulting with corporate attorneys as necessary for addressing difficult legal compliance issues.
  • Discussing emerging compliance issues with management or employees.
  • Collaborating with human resources departments for ensuring the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  • Advising internal management or business partners on the implementation or operation of compliance programs.
  • Reviewing communications such as securities sales advertising for ensuring there are no violations of standards or regulations.