Compliance Officers — Tasks

Task statements

• Warn violators of infractions or penalties.
• Evaluate applications, records, or documents to gather information about eligibility or liability issues.
• Advise licensees or other individuals or groups concerning licensing, permit, or passport regulations.
• Prepare reports of activities, evaluations, recommendations, or decisions.
• Report law or regulation violations to appropriate boards or agencies.
• Confer with or interview officials, technical or professional specialists, or applicants to obtain information or to clarify facts relevant to licensing decisions.
• Issue licenses to individuals meeting standards.
• Collect fees for licenses.
• Administer oral, written, road, or flight tests to license applicants.
• Visit establishments to verify that valid licenses or permits are displayed and that licensing standards are being upheld.
• Score tests and observe equipment operation and control to rate ability of applicants.
• Prepare correspondence to inform concerned parties of licensing decisions or appeals processes.
• 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.