Compliance Officer Job Description: Top Duties and Qualifications

A Compliance Officer, or Corporate Compliance Officer, is responsible for overseeing an organization’s compliance with government laws and regulations. Their duties include coordinating with company management to identify potential risks, implementing policies and procedures to uphold laws and regulations and monitoring the company’s adherence to those policies and procedures.

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Compliance Officer Duties and Responsibilities

The daily duties and responsibilities of a Compliance Officer generally revolve around identifying and eliminating the risks of noncompliance, both externally and internally. Your job description should accurately describe the specific rules and regulations that the Compliance Officers must constantly monitor. Their most important duties and responsibilities are:

  • Develop internal company policies and see that they are respected.
  • Make sure the organization has a clearly defined program for complying with the country’s laws.
  • Constantly report to management concerning the organization’s compliance with laws and regulations.
  • Take action in dealing with noncompliance situations, creating realistic plans to overcome them.
  • Conduct regular audits to identify potential weaknesses and noncompliance situations.
  • Communicate with employees and make sure everyone is aware of what they need to do to comply with internal and external laws and regulations.

Compliance Officer Job Description Examples:

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Compliance Officer

Responsible for developing, coordinating, and administering departmental compliance initiatives thru continues tracking, training, and updating of compliance policies in procedures within the City of Dallas. Essential Functions 1. Coordinates the department's compliance program through the establishment of an annual compliance work plan, which may include data collection, mock surveys, internal monitoring, and auditing of activities. 2. Assists with periodic internal and external audits and inspections to identify and correct non-compliance issues with corrective actions when needed. 3. Monitors, reviews, and edits policies and procedural processes to ensure compliance regulations to meet conformance measures and maintains, monitors, and develops applicable master control plans/agreements. 4. Provides compliance updates and information to the management team by researching and analyzing data and prepare a variety of regulatory reports. 5. Serves as the department's liaison on quality topics and conducts quality related presentations, education and trainings as requested. 6. Attends compliance and regulatory trainings to support and actively promote the City's state, local, and federal compliance programs. 7. Measures and evaluates. quantitatively and qualitatively, program effectiveness and makes recommendations for improvement. 8. Maintains all control documents, compliance reference and resource material [website] copies of regulations, publications, bulletins, videos, posters, compliance manuals, agency contacts) and distributes throughout the department. 9. Attend and participate in scheduled quality, environmental, safety, and internal audit trainings . 10. Maintains a working in- depth knowledge of applicable regulations and statues for area of responsibility. 11. Regular, reliable and punctual attendance is an essential function of the job. Minimum Qualifications Education: Bachelor's degree in engineering, environmental, occupational safety or public administration field Experience: Two (2) years of experience in managing/coordinating environmental, quality and/or safety projects. Experience must have been in 2 (two) or more of the following areas: Conducting Safety Investigations Conducting Environmental Investigations Conducting ISO Quality, Environmental and/or Safety integrated audits Assessments to ensure compliance with federal/state/local regulations ISO/OHSAS based management system requirements Developing policies/procedures; and coordinating projects Equivalency(IES): High school diploma or GED plus six (6) years of the specified experience will meet the education and experience requirements. An associate's degree in a specified field plus four (4) years of the specified experience will meet the education and experience requirements. A master's degree or higher in a specified field will meet the education and experience requirements License(S) and/or Certification(S): Valid driver's license with good driving record OTHER Requirements: For some positions: must complete internal auditor training within one (1) year of employment. Preferences: Highly proficient with MS Office Suite. Efficient analytical and organizational skills. Effective oral and written communication skills. Efficient time management skills. Ability to interact with people and make public presentations. Ability to walk long distances, climb and lift in excess of fifty (50) pounds. Convention AND EVENT Services: 1. Develops contracts and contract exhibits which state the services to be provided and expected standards to ensure that City requirements and regulatory program requirements are met; coordinates contract development process. 2. Coordinates the request for proposal (RFP) and request for bid (RFB) process; attends pre-bid conferences or public hearings to provide information and guidance to potential contractors on the City's contracting process and requirements; coordinates the Council agenda process for contracts requiring City Council approval. 3. Monitors the City of Dallas Good Faith Effort Plan for Minority & Women Business Enterprise (MWBE) compliance from contractors and vendors. 4. Conducts on-site visits to agencies or project sites to monitor compliance with City contractual agreements. 5. Prepares and reviews contract change orders, supplemental agreements, contract addenda and amendments, subcontractor changes, and Administrative Actions for compliance with the City's procedures; maintains file of contract documents. Disclosures The salary listed on the job posting is the starting salary range; amount offered will depend upon qualifications. For evaluation purposes, acceptable qualifying experience for all positions must have been in a paid capacity unless noted otherwise in the minimum qualifications for the posted position. Additionally, 30+ hours per week will be counted as full-time employment and will receive full credit for the amount of time employed. A minimum of 15 through 29 work hours per week will be counted as part-time employment and will receive half credit for the amount of time employed.
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Compliance Officer

Job Description: About BDP International: BDP International is a privately held, family-owned non-asset based global logistics provider with annual sales exceeding $2.8 billion USD. Founded in 1966 by Richard Bolte Sr. and based in Philadelphia, Pennsylvania, BDP has grown to be one of the largest logistics providers in the world. BDP employs more than 4,900 people worldwide, and operates freight logistics centers in 270 cities across the world through a global network of wholly owned offices, joint ventures and affiliates in 135 countries. The company serves more than 4,000 customers worldwide. Clients include Bayer, Dow, DuPont, Heineken USA, Honeywell, Johnson & Johnson, Revlon, Trek Bicycle, Wacker, and others. Responsibilities: Review import shipment documentation from customer’s suppliers to identify and resolve errors and compliance issues prior to Customs entry. Conduct pre-transmission audit Ensure all ISF filings are done timely and correctly. Assist QLH with Post Summary Corrections and Protests. Assist QLH with cancellations. Assist with monitoring import dashboard to monitor pending entries requiring an audit, resolution needed to obtain a 1USG, and efforts to avoid storage and demurrage. Ensure all entries requiring DIS requests are submitted timely. Demonstrate continuous improvement through training, process management, implementing automated solutions and lean procedures. 10% Monthly audit of AES filings and record keeping requirements. Responds to and supports internal and external audit findings as they relate to trade and import and export classifications and accurate government filing. Determines root cause and corrective actions and coordinates implementation thereof. Job Requirements: BS/BA degree is not required but highly preferred. Prefer at least 2 years of experience handling import trafficking functions with a freight forwarder/broker. Licensed Customs Broker preferred. Prefer one (1) to three (3) years of experience in a customer service type environment. Must be able to work in a fast paced environment. Good communication and organization skills and a strong attention to detail are required. The ability to work on a team and leadership experience is strongly desired. Candidate should have the ability to learn various computer programs. Entry writer & break bulk experience a plus. Please note: There is no relocation or immigration assistance associated with this opening. Compensation based on experience. We offer a very competitive salary, full benefits, matching 401(k), tuition reimbursement, and casual dress environment. Please visit our website: *** This is a great opportunity to advance your career! Come join our growing BDP team!*** BDP International - The Employer of Choice Follow BDP International Career Pages! Facebook l Twitter l LinkedIn
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Compliance Officer

Southwestern PA HUMAN Services, INC. JOB Vacancy Notice Position: Compliance Specialist (Full-Time) PAY GRADE: 12 WAGE: $32,682 Agency paid health & dental plans. Retirement savings plan with Agency match. Paid holidays. Generous paid time off plans. Opportunity for growth and advancement. Tuition discounts with participating colleges/universities Essential Functions: Under the direction of the Executive for Corporate Administration, the Compliance Specialist is responsible for completion of assigned compliance assessments. Additionally, the Compliance Specialist is responsible for timely researching, reporting, developing, implementing and monitoring of internal and external policies, protocols, regulations, law and other activities in support of the Office of Corporate Administration. Performs assigned compliance assessments and identifies reportable issues and dimensions of risk. Conducts related ongoing compliance monitoring activities. Performs legal research and presents findings orally or in writing. Assists in researching, developing, and implementing policies, procedures and training. Assists in compliance investigations when needed. Maintains a database and other reference materials related to legislative and regulatory issues and compliance. Determines program compliance with policies and procedures. Prepares and edits correspondence, policies, memoranda, contracts and other legal documents reports, presentations and compliance assessments. Conducts successful task and/or assignment completion within established procedures and protocols. Maintains electronic and hard copy filing system in an accurate, logical and timely manner. Coordinates meetings, conference calls and trainings as needed or requested. Provide support and administrative tasks directly related to the operations of Human Resources, as needed. Adheres to all policies, laws, regulations and codes of ethics and confidentiality as outlined by federal and state laws, and agency policies and procedures. Qualifications: Bachelor’s degree from an accredited college or university; or Certificate of Completion from an accredited paralegal program; or an equivalent combination of skills, experience and education may be considered, at the discretion of the Agency. Demonstrated knowledge of legal research techniques. Experience in writing policies and procedures. Knowledge and experience with local, state and federal law; state and federal regulations; Federal Sentencing Guidelines; the legal process; and confidentiality laws and regulations. Strong analytical, written/verbal communication, interpersonal, and relationship building skills. Systems knowledge and familiarity. Must successfully obtain Criminal History Clearance from the PA State Police, Child Abuse Clearance from the PA Department of Human Services and FBI Fingerprint Clearance. Ability to adapt to change quickly and multi-task. Ability to adapt to change quickly and multi-task. Ability to transport oneself as program needs dictate. Ability to work independently and as a team. Qualified Individuals Should VISIT OUR Website FOR Current Employment Opportunities OR STOP INTO THE HUMAN Resources Office AT 300 Chamber PLAZA, Charleroi, PA. Posting#21-174. EQUAL Opportunity Employer

What Does a Compliance Officer Do?

Compliance Officers typically work for corporations across industries to protect their credibility by maintaining safe and ethical business practices. They review financial statements, operating procedures and employee feedback to determine whether a company maintains legal operations. Their job is to identify areas of noncompliance and coordinate with management and employees to develop improvement plans. They may also visit departments or company branches to perform random internal audits to ensure compliance with laws and regulations at all levels of the company.

Compliance Officer Skills and Qualifications

A competent Compliance Officer needs a distinct set of skills to successfully perform in this role. The job description should include skills that are related to risk management, attention to details, successful communication with both upper management and company employees and high moral standards. The most important skills for a compliance officer are:

  • Risk assessment skills are crucial for a successful compliance officer as a large part of their work duties are identifying noncompliance risks.
  • Communication skills ensure that the compliance officer can successfully communicate their findings, ideas and plans to both management and employees.
  • Attention to detail is needed to spot certain aspects of rules and regulations that can easily be overlooked.
  • Moral integrity is important because the compliance officer typically needs to understand and promote the importance of complying with rules and regulations.
  • Problem-solving skills are necessary because many compliance issues have no straightforward solution and compliance officers need to find ways of complying with rules and regulations without negatively affecting the company’s operations.

Compliance Officer Salary Expectations

The average salary for a Compliance Officer is $62,693 per year. Wages can vary depending on many factors, like job experience, the size of the company, the sector the company is operating in or their geographical location.

Compliance Officer Education and Training Requirements

Compliance Officers typically require at least a bachelor’s degree in business management, law, finance, business administration or any other relevant field. Their training usually consists of working in roles that offer them experience in risk management and familiarity with specific legal requirements of a certain field of activity. Certain domains, such as banking, also require specific certification as a Compliance Officer.

Compliance Officer Experience Requirements

The Compliance Officer role is typically not regarded as an entry-level position and the job description should reflect that. Aside from the necessary degrees and certifications, aspiring Compliance Officers should have at least three to five years of experience in roles that directly exposed them to managing risks and ensuring compliance with laws and regulations.

Job Description Samples for Similar Positions

The skill set and qualifications necessary for a Compliance Officer position can also apply to other professions. Here are other job description samples if this one is not quite what you were looking for:

Frequently asked questions about Compliance Officers

 

What is the difference between a Compliance Officer and an Auditor?

Both Compliance Officers and Auditors work to ensure an organization’s adherence to laws and regulations, but their areas of focus and employment backgrounds differ. For example, Compliance Officers typically work as a permanent employee of a corporation to ensure their current and future compliance with laws and regulations. They also anticipate changes in laws and regulations and plan for new procedures based on those predictions. 

In contrast, Auditors typically work for financial organizations and government agencies. They perform audits either at the request of the corporation or a government body. During their audits, they review current and previous records to determine an organization’s compliance with current and past regulations. Therefore, Compliance Officers are forward-focused, whereas Auditors are past-focused in their job duties.

 

What are the daily duties of a Compliance Officer?

On a typical day, a Compliance Officer starts by checking their email and voicemail to respond to time-sensitive messages from upper management. They also use this time to review their schedule for meeting times. Throughout the day, they participate in meetings with company Executives to go over new employment laws, transportation and manufacturing standards and other types of government regulations. Compliance Officers use the time between meetings to visit with department Managers and obtain financial statements and other documents to review.

During downtime in their office, Compliance Officers review these documents and compare them to current legislation. They make a note of any troubling activity to report to upper management. Compliance Officers also draft reports or memos to help employees understand how to comply with laws and regulations.

 

What qualities make a good Compliance Officer?

A good Compliance Officer has a strong ethical code that motivates them to identify instances of fraud, safety issues or environmental concerns and report them accordingly. They have excellent verbal communication, which allows them to speak with company executives, employees and external professionals. They also have excellent written communication skills to write reports and policy documents that enforce laws and regulations within the company. Further, a good Compliance Officer regularly reviews state and federal news to identify new rules that apply to their company and its industry.

 

Who does a Compliance Officer report to?

A Compliance Officer typically reports to the Chief Operating Officer (COO) within a corporation. The Chief Operating Officer oversees all company practices and procedures relating to daily operations, so Compliance Officers regularly interact with them and notify them of noncompliance issues. In smaller corporations, a Compliance Officer may report directly to the Chief Executive Officer (CEO) to determine compliance needs.

Job Description Examples

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