Compliance Officer

Compliance Officers play an important role in making sure that a company adheres to legislation and any internal rules.

By staying on top of legal obligations they can prevent a company from incurring huge fines or damaging their reputation by not following the rules.

Day-to-day Tasks 

  • stay on top of any legal requirements and any industry updates
  • ensure that staff are kept informed about any changes
  • attend training to keep skills and knowledge up to date
  • put controls and measures in place
  • keep accurate computer records
  • identify any risks within the business and bring these to the attention of the management
  • provide training and guidance to other members of staff
  • helping with investigations as told by management
  • joining meetings or calls with potential clients and answering questions by email or phone
  • helping to create and keep up with the rules and ways we do things, making sure we're doing what we're supposed to
  • In the event of regulatory risks or misconduct, compliance officers address concerns and find solutions to these challenges

Skills and Knowledge

  • strong written skills and attention to detail
  • good written and verbal communication skills
  • ability to work well with a wider team
  • knowledge or understanding of regulations and the law
  • excellent attention to detail
  • honest and acts with integrity
  • Industry Qualifications

As you progress through your career in compliance, you will most likely take qualifications whilst you are working. One of the most common qualifications is the International Compliance Association qualifications. You can find out more here


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