A Compliance Officer plays an essential role in supervising and managing compliance issues within an organisation, ensuring that the organisation is complying with regulatory requirements. They also check that internal policies and procedures are being adhered to by staff.
Compliance Officers work within heavily regulated industries, including financial services, healthcare and government agencies. Key responsibilities include:
- leading enterprise compliance efforts
- designing and implementing internal policies and procedures to assure compliance
- maintaining awareness and educating executive and staff on local, state and federal laws and regulations
- managing audits and investigations into regulatory and compliance issues
- responding to requests for information from regulatory authorities
- informing board of directors and senior management of new compliance and ethics initiatives, as well as risks and incidents
- supervise and direct measurements of compliance policies’ effectiveness
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