Will “Compliance Officer” be Automated?

Core Skills & Abilities

• Evaluate applications, records, or documents to gather information about eligibility or liability issues.

• Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.

• Collect fees for licenses.

• Provide assistance to internal or external auditors in compliance reviews.

• Confer with or interview officials, technical or professional specialists, or applicants to obtain information or to clarify facts relevant to licensing decisions.

• Report law or regulation violations to appropriate boards or agencies.

• Issue licenses to individuals meeting standards.

• Advise licensees or other individuals or groups concerning licensing, permit, or passport regulations.

• Warn violators of infractions or penalties.

• Keep informed regarding pending industry changes, trends, or best practices.

• Visit establishments to verify that valid licenses or permits are displayed and that licensing standards are being upheld.

• Prepare correspondence to inform concerned parties of licensing decisions or appeals processes.

• Administer oral, written, road, or flight tests to license applicants.

• Prepare reports of activities, evaluations, recommendations, or decisions.

• Identify compliance issues that require follow-up or investigation.

• Score tests and observe equipment operation and control to rate ability of applicants.