Compliance Officers

Compliance Officers typically perform the following tasks: • Warn violators of infractions or penalties. • Evaluate applications, records, or documents to gather information about eligibility or liability issues. • Advise licensees or other individuals or groups concerning licensing, permit, or passport regulations. • Prepare reports of activities, evaluations, recommendations, or decisions. • Report law or regulation violations to appropriate boards or agencies. • Confer with or interview officials, technical or professional specialists, or applicants to obtain information or to clarify facts relevant to licensing decisions. • Issue licenses to individuals meeting standards. • Collect fees for licenses. • Administer oral, written, road, or flight tests to license applicants. • Visit establishments to verify that valid licenses or permits are displayed and that licensing standards are being upheld. • Score tests and observe equipment operation and control to rate ability of applicants. • Prepare correspondence to inform concerned parties of licensing decisions or appeals processes. • Identify compliance issues that require follow-up or investigation. • Keep informed regarding pending industry changes, trends, or best practices. • Provide assistance to internal or external auditors in compliance reviews. • Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.