compliance-engineer/references/tasks.md

Tasks & work activities — compliance engineer

Source: O*NET 30.3, occupation 13-1041.00 (Compliance Officers).

Task statements

• [Core] Warn violators of infractions or penalties.
• [Core] Evaluate applications, records, or documents to gather information about eligibility or liability issues.
• [Core] Advise licensees or other individuals or groups concerning licensing, permit, or passport regulations.
• [Core] Prepare reports of activities, evaluations, recommendations, or decisions.
• [Core] Report law or regulation violations to appropriate boards or agencies.
• [Core] Confer with or interview officials, technical or professional specialists, or applicants to obtain information or to clarify facts relevant to licensing decisions.
• [Supplemental] Issue licenses to individuals meeting standards.
• [Supplemental] Collect fees for licenses.
• [Supplemental] Administer oral, written, road, or flight tests to license applicants.
• [Supplemental] Visit establishments to verify that valid licenses or permits are displayed and that licensing standards are being upheld.
• [Supplemental] Score tests and observe equipment operation and control to rate ability of applicants.
• [Supplemental] Prepare correspondence to inform concerned parties of licensing decisions or appeals processes.
• [nan] Identify compliance issues that require follow-up or investigation.
• [nan] Keep informed regarding pending industry changes, trends, or best practices.
• [nan] Provide assistance to internal or external auditors in compliance reviews.
• [nan] Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.

Detailed work activities

• Administer personnel recruitment or hiring activities.
• Advise others on legal or regulatory compliance matters.
• Collect payments for goods or services.
• Communicate organizational policies and procedures.
• Communicate with government agencies.
• Conduct eligibility or selection interviews.
• Evaluate information related to legal matters in public or personal records.
• Examine financial records.
• Implement organizational process or policy changes.
• Inform individuals or organizations of status or findings.
• Inspect facilities, equipment or supplies to ensure conformance to standards.
• Maintain knowledge of current developments in area of expertise.
• Prepare research reports.
• Review license or permit applications.
• Stay informed about current developments in field of specialization.
• Update knowledge about emerging industry or technology trends.
• Verify accuracy of records.