Occupation · SOC 13-1041
Compliance Officers
Examine, evaluate, and investigate eligibility for or conformity with laws and regulations governing contract compliance of licenses and permits, and perform other compliance and enforcement inspection and analysis activities not classified elsewhere.
Median wage
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Projected growth
—
—
Annual openings
—
per year
Employed (US)
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Job Zone 4
Typical preparation
Considerable preparation
Stackable credential programs
726 mapped
Core skills
Reading ComprehensionSpeakingWritingActive ListeningJudgment and Decision MakingSocial PerceptivenessCritical ThinkingMonitoring
Knowledge areas
Law and GovernmentEnglish LanguageCustomer and Personal ServicePublic Safety and SecurityComputers and Electronics
Technology & tools
Data base user interface and query softwareGraphics or photo imaging softwareOptical character reader OCR or scanning softwareComputer based training softwareSpreadsheet software
Representative 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.
Competency framework
Skill expectations by proficiency level.
emerging
Regulatory violations and infraction notices — identify and communicate to violators under supervisor guidance in a structured compliance office environment.Application records and eligibility documents — review and organize using established checklists to support licensing determinations in a government or corporate compliance setting.Licensing and permit regulations — summarize and relay to applicants or licensees following approved scripts and procedures under direct oversight.Compliance activity reports — draft using standard templates to document observations and preliminary findings for supervisor review.Regulatory violations — recognize and escalate to the appropriate board or agency contact following established reporting protocols.Applicant interviews and informational meetings — participate in and take accurate notes to support fact-gathering for licensing decisions.Database query software and spreadsheet tools — use to retrieve and organize compliance records under direction in a regulated-industry office.Written regulations and legal guidance documents — read and interpret at a foundational level to identify relevant compliance requirements for assigned cases.Active listening techniques — apply during stakeholder interactions to capture key facts and flag potential liability issues for senior review.Time-sensitive compliance tasks — prioritize and track using office suite tools to meet assigned deadlines within a supervised work plan.
developing
Violation notices and penalty warnings — prepare and deliver independently to non-compliant entities across routine infraction cases in a regulatory agency or corporate compliance unit.Eligibility and liability records — evaluate against applicable regulations with reduced oversight to reach supportable determinations on standard licensing applications.Licensing, permit, and passport regulation guidance — advise individuals and small groups through written communications and in-person consultations in a government services environment.Compliance evaluation reports — write with clear findings, supporting evidence, and recommendations using established departmental formats for management distribution.Regulatory violations identified during investigations — report promptly to the appropriate enforcement board or agency with accurate documentation and proper chain-of-custody handling.Technical specialists and applicant representatives — interview using structured questioning techniques to clarify facts and resolve ambiguities in licensing or permit cases.OCR scanning and optical character recognition tools — use to process and index high-volume document submissions accurately within a compliance review workflow.Applicable laws and government regulations — interpret in context to distinguish compliant from non-compliant activity across a defined portfolio of cases.Competing compliance priorities and case deadlines — manage independently using electronic mail and calendar tools to maintain consistent caseload throughput.Regulated entities exhibiting borderline non-compliance — engage with persuasion and service-oriented communication to encourage voluntary corrective action before formal enforcement.
proficient
Complex violation scenarios involving multiple infractions — assess, document, and warn violators with precisely calibrated penalty language that withstands legal scrutiny in high-stakes regulatory contexts.Ambiguous or incomplete application files and eligibility records — analyze autonomously using deductive and inductive reasoning to resolve liability questions and render defensible licensing decisions.Regulated community stakeholders — advise comprehensively on intricate licensing, permit, and regulatory change implications, drawing on deep knowledge of law, government, and agency procedures.Comprehensive compliance investigation reports — author with nuanced findings, risk-ranked recommendations, and executive summaries suitable for board presentation or legal proceedings.Patterns of systemic regulatory violations across multiple entities — identify, consolidate, and report to enforcement agencies with fully substantiated evidence packages.Senior officials, legal counsel, and external technical specialists — conduct in-depth interviews and negotiations to gather precise facts and resolve contested licensing or enforcement matters.Integrated compliance database systems and presentation software — leverage to build analytical dashboards and evidence-based briefings that support organizational risk management decisions.Evolving regulatory frameworks and newly enacted legislation — actively monitor and apply through continuous learning to ensure compliance programs remain current and effective.Cross-functional compliance problems involving legal, operational, and reputational dimensions — solve using complex problem-solving and critical-thinking skills in a multi-stakeholder environment.Regulated entities and internal business units — coordinate simultaneously to align operational practices with compliance requirements, managing competing demands without loss of accuracy or integrity.
advanced
Enterprise-wide compliance strategy and policy architecture — design and implement to align organizational operations with all applicable laws and regulations across multiple jurisdictions.Organizational violation-response frameworks and escalation protocols — establish to ensure consistent, legally sound warning and penalty processes that minimize institutional exposure.Compliance officers and junior analysts — mentor and develop through structured coaching programs, calibrated feedback, and progressive case assignment to build organizational capability.Executive leadership and board of directors — advise on regulatory risk landscapes, licensing obligations, and emerging legal developments to inform high-level strategic decisions.Interagency and cross-sector enforcement partnerships — lead and negotiate on behalf of the organization to shape regulatory outcomes and represent organizational interests at a systemic level.Compliance reporting standards and data governance frameworks — set at the organizational level, integrating database, spreadsheet, and presentation technologies into a unified compliance intelligence system.Organizational compliance culture — model and champion through demonstrated integrity, perseverance, and self-control, embedding ethical conduct as a core institutional value.Enterprise compliance risk assessments — direct and synthesize findings into actionable governance recommendations presented to senior leadership in high-stakes regulatory or legislative environments.Complex multi-party licensing negotiations involving government agencies, legal teams, and regulated entities — lead with authoritative command of law, procedure, and stakeholder dynamics.Department-wide compliance workforce plans, competency standards, and performance metrics — develop and oversee to ensure sustained organizational readiness for regulatory scrutiny and audit.
Also known as
97 alternate job titles map to this occupation.
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