The Compliance Officer III monitors, for compliance purposes, various activities, services and/or functions for regulated professions and professionals licensed by the Division of Professional Licensure. Reviews complaints, documents and pertinent information concerning alleged violations of laws, rules and regulations. Maintains liaison with assigned agency personnel. Obtains evidence and establishes facts concerning complaints and cases of alleged noncompliance with laws, rules and regulations. Confers with parties to complaints; prepares reports and performs related work as required.
DETAILED STATEMENT OF DUTIES AND RESPONSIBILITIES
1. Oversees and coordinates assigned unit activities as specified below to ensure effective operations and compliance with laws, rules, regulations and policies. Monitors pertinent program areas, various activities, services and/or functions through observation, interviews, evaluations and/or conferences to ensure compliance with governing laws, rules, regulations, program goals, etc. and to provide feedback concerning agency programs. Agency oversees thirty-one (31) boards and some fifty (50) trades and professions, as well as private occupational schools, and may from time to time require incumbent to perform specified duties for agency program areas other than those specified as primary program areas.
PRIMARY PROGRAM AREAS INCLUDE THE FOLLOWING PROFESSIONAL FIELDS: REAL ESTATE AND OCCUPATIONAL SCHOOLS. Other professional fields may be assigned in the future.
2. Reviews complaints, reports, documents and pertinent information received from the general public and agency personnel concerning alleged violations of laws and regulations in order to determine the appropriateness of the complaint, to determine appropriate action to be taken and/or to refer complaints to the appropriate agency.
3. Establishes professional rapport and makes contact with assigned agency personnel in order to provide information concerning, and encourage compliance with the provisions of laws, rules, and regulations.
4. Responds to inquiries in order to provide information concerning agency policies and procedures and laws, rules and regulations governing agency activities.
5. Assists with public record requests in the production of documents which are the subject of such request.
6. Determines procedures to be used in collecting information and evidence in connection with complaints and alleged noncompliance with laws, rules and regulations. Obtains evidence and establishes facts concerning complaints and alleged non-compliance with laws, rules and regulations by interviewing individuals and conducting on-site visits in order to determine extent of non-compliance, validity of complaints and to prepare evidence or information for appropriate action.
7. Verifies information obtained in order to establish accuracy and authenticity of facts.
8. Confers with parties to complaints in order to resolve issues, make appropriate settlements and to encourage compliance with established laws, rules and regulation.
9. Prepares reports concerning assigned activities in order to provide requested information and make appropriate recommendations.
10. Performs related duties such as maintaining records, attending meetings, and preparing correspondence.
11. Attends Division of Professional Licensure board meetings when requested, primarily to speak to the board regarding complaints as the assigned investigator of record.
12. Makes recommendations concerning changes in policies and procedures governing assigned unit activities and confers with management staff and other agency personnel to provide information, resolve problems and/or recommend changes in policies and procedures.
13. Reviews and analyzes reports, memoranda, etc. for accuracy, completeness and content utilizing Microsoft Excel and other organizational and demonstrative tools to organize information, prepare charts, etc. and to take appropriate action to resolve problems.
14. Testifies at hearings.
15. Other duties as assigned.
Minimum Entrance Requirements:
Applicants must have at least (a) four years of full-time, or equivalent part-time, experience in investigatory or law enforcement work, or (b) any equivalent combination of the required experience and the substitutions below.
I. A Bachelor's or higher degree may be substituted for a maximum of two years of the required experience.*
*Education toward such a degree will be prorated on the basis of the proportion of the requirements actually completed.
Special Requirements: Based on assignment, possession of a current and valid Massachusetts Class D Motor Vehicle Operator's License.
The ideal candidate will possess the following:
Active Massachusetts Real Estate License in good standing
Experience with the rules and regulations of Massachusetts Board of Registration of Real Estate Brokers and Salespersons, the Division of Professional Licensure and the Office of Private Occupational Schools Education, specifically. The experience should relate to interpretation and enforcement in at least one of these areas (real estate and/or occupational schools).
Experience and background in the area of financial accounting
Proficient in Microsoft Excel
Excellent interpersonal and communication skills
Prior experience in investigations
A valid Massachusetts Class D Motor Vehicle Operator's License is required
This is a Grade 13 position within NAGE Unit 6.
The starting salary for this position is $50,802.44 (Step 1). Recruitment rates above Step 1 of the salary range are based on years of experience comparable to experience in the classification title. Salaries for internal candidates will be calculated using contract promotional rules.
The Compliance Officer III must conduct investigations across the Commonwealth. S/he should have an active driver's license and be willing and able to travel.
Commonwealth of Massachusetts - 20 months ago