Compliance Officers

Job purpose

To examine, evaluate and investigate eligibility for and conformity with the laws and regulations governing licences, permits and contract compliance, and to advise licensees and report violations to the responsible boards or agencies, so that regulated activity meets statutory standards and licensing decisions are consistent and defensible.

Skills

• Working command of laws, legal codes, government regulations, agency rules and precedent as they bear on licensing, permits and contract compliance, and of the eligibility and liability tests applied to applications; supported by public safety and security knowledge, customer service practice, administrative and records procedures, and written English fit for formal decisions and appeal correspondence. No distribution of qualifications actually held by incumbents is recorded for this occupation; a four-year degree is usual though not universal, with a considerable amount of related experience and on-the-job or vocational training.
• Deals directly with the public, applicants and licensees, and confers with or interviews officials and technical specialists to clarify the facts relevant to a licensing decision. Advises individuals and groups on licensing, permit and passport regulation; warns violators of infractions and penalties; handles complaints, settles disputes and negotiates; and explains what regulations mean to people who are not specialists in them.
• Evaluates applications, records and documents to establish eligibility or liability, and identifies the compliance issues that require follow-up or investigation. Statute, regulation and agency rules supply the framework, so the question is usually one of applying a settled standard to contested or incomplete facts rather than devising a new one. Errors carry consequences for the applicant and for organisational results, and decisions are made frequently.
• Determines tasks, priorities and goals within the regulatory framework, and manages a caseload of evaluations, inspections, tests and reports against time pressure and the deadlines set by boards and agencies. Schedules work and activities, and keeps informed of pending regulatory change.
• Seated computer work entering and checking case records, with repetitive keyboard and paperwork motions, and driving to establishments to verify that valid licences and permits are displayed. Observes equipment operation when assessing applicants.

Responsibilities

• No line management. Coordinates and leads others in shared work activities, assists internal and external auditors during compliance reviews, and instructs applicants and licensees in what the regulations require.
• Collects fees for licences and accounts for them. Holds no budget and commits no expenditure; the financial significance of the work lies in eligibility and enforcement decisions, which determine whether a party may lawfully trade or operate.
• Ordinary care of a workstation, case records systems and a vehicle where establishments are visited. Inspects equipment, structures and materials belonging to others when verifying compliance.
• Accountable for the accuracy of licensing and compliance records: evaluations, decisions, reports of activities and recommendations, correspondence informing parties of appeal processes, and referrals of violations to boards or agencies. Verifies that firm and regulatory policies have been documented, implemented and communicated. An error in a record or a decision carries consequences beyond the file itself.

Effort required

• Sustained exact comparison of documents and records against defined standards, much of it repeating the same checks across many cases, alongside a heavy volume of contact by telephone, e-mail, letter and in person. Decisions are taken frequently and under time pressure, and an error's consequence falls on colleagues and on results.
• Warning violators and reporting violations bring the postholder into conflict situations and into dealings with people who are unpleasant, angry or discourteous. Composure must be held while an unwelcome decision is explained and maintained.
• Mostly seated, with repetitive motions at a keyboard and in handling paperwork, and time spent in a vehicle travelling between establishments. No lifting or exertion.

Working conditions

• Largely indoors in a controlled office environment, with travel in an enclosed vehicle and inspection visits that involve time outdoors in all weather. Site conditions bring exposure to contaminants, to disease or infection, to distracting noise and to bright or inadequate lighting. Psychosocial exposure comes from conflict situations and from dealings with angry or discourteous members of the public at close physical proximity.
• No breakdown of working schedules or typical working week is recorded for this occupation, and none is asserted here. Works with substantial freedom to make decisions and sets own tasks, priorities and goals within statute, regulation and agency rules, under time pressure and with personal accountability for the consequence of frequent decisions.