Description
Examine, evaluate, and investigate organizational adherence to laws, regulations, contracts, and internal policies; conduct compliance audits and risk assessments; and lead enforcement, advisory, and analysis activities to ensure conformity and remediate deficiencies.
- • Warn violators of infractions and outline potential penalties.
- • Evaluate records and documents to assess eligibility, liability, or compliance risks.
- • Advise staff and stakeholders on applicable regulations and compliance requirements.
- • Prepare reports of activities, evaluations, recommendations, or decisions.
- • Report law or regulation violations to appropriate boards or agencies.
- • Interview employees, officials, and subject-matter experts to obtain information or clarify facts relevant to compliance decisions.
- • Develop and implement compliance policies, procedures, and controls.
- • Maintain compliance records, registers, and case files.
- • Conduct training and awareness sessions on compliance policies.
- • Conduct site visits or audits to verify adherence to policies and regulatory standards.
- • Observe operations and review systems to evaluate control effectiveness.
- • 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.
- • Coordinate remediation plans and track corrective actions.
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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This site includes information from O*NET by the U.S. Department of Labor, Employment and Training Administration (USDOL/ETA), used under the CC BY 4.0 license. Career Clutch has modified some of this information for student readability. USDOL/ETA has not approved, endorsed, or tested these modifications. O*NET® is a trademark of USDOL/ETA.
Last reviewed: Jan 2026
