Compliance Officer Duties & Responsibilities

The role and function of a Compliance Officer includes the following duties and responsibilities:

Implement and manage an effective legal compliance program.
Develop and review company policies.
Assess company operations to determine compliance risk.
Ensure all employees are educated on the latest regulations and processes.
Resolve employee concerns about legal compliance.
Advise management on the company’s compliance with laws and regulations through detailed reports.
Create and manage effective action plans in response to audit discoveries and compliance violations.
Regularly audit company procedures, practices, and documents to identify possible weaknesses or risk.

Note that this is not an exhaustive list of Compliance Officer duties and responsibilities. Job functions for specific Compliance Officer roles may vary, depending on the industry and type of employer.

Share on