Compliance and Enforcement Officer Job Description [Updated for 2025]

In the era of strict regulatory standards, the role of Compliance and Enforcement Officers is crucial.

As businesses aim to align with legal requirements and ethical practices, the demand for professionals who can ensure adherence, monitor violations, and enforce corrective measures is on the rise.

But what does a Compliance and Enforcement Officer really do?

Whether you are:

• A job seeker trying to understand the scope of this role,
• A hiring manager looking for the perfect fit,
• Or simply intrigued by the world of compliance and enforcement,

You’re in the right place.

Today, we introduce a comprehensive Compliance and Enforcement Officer job description template, created for easy posting on job boards or career sites.

Let’s dive right in.

Compliance and Enforcement Officer Duties and Responsibilities

Compliance and Enforcement Officers are responsible for ensuring that organizations follow all relevant laws, guidelines, and internal policies.

They often work in sectors such as finance, healthcare, and manufacturing where adherence to standards is crucial.

They have the following duties and responsibilities:

• Develop and implement an organization’s compliance program
• Monitor and assess the performance of the organization against legal obligations and internal policies
• Conduct regular audits to ensure the organization continues to comply with laws and regulations
• Investigate any irregularities and non-compliance issues
• Provide training and advice to staff about compliance matters and new regulations
• Report back to organization management on current risk and compliance performance
• Highlight or escalate areas of concerns
• Contribute to robust and effective compliance controls within the organisation
• Coordinate with different department heads to ensure compliance across all levels of the organization
• Stay informed about the latest developments in industry standards and regulations

 

Compliance and Enforcement Officer Job Description Template

Job Brief

We are seeking a detail-oriented and knowledgeable Compliance and Enforcement Officer to ensure our organization is adhering to all internal and external rules and regulations.

The responsibilities include reviewing company policies, conducting risk assessments, providing training on compliance issues, and preparing reports.

The ideal candidate should possess strong problem-solving skills, the ability to work under pressure, and excellent knowledge of regulatory standards and procedures.

The primary goal of the Compliance and Enforcement Officer is to ensure our business maintains its legal and ethical integrity while meeting our business goals.

 

Responsibilities

• Develop and implement company policies and regulations.
• Conduct regular internal reviews or audits to ensure compliance procedures are followed.
• Conduct risk assessments to understand risk level, significance, and scope.
• Keep up-to-date with, and understand, relevant laws and regulations.
• Educate employees on not only the regulations but also the impact on the organization if these are not complied with.
• Investigate irregularities and non-compliance issues.
• Collaborate with human resources and legal departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
• Prepare and present clear and concise compliance reports to the management.
• Address employee concerns or questions on legal compliance.

 

Qualifications

• Proven experience as a Compliance Officer or Compliance Manager.
• Experience in risk management and knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML).
• Familiarity with industry practices and professional standards.
• Excellent communication skills.
• Integrity and professional ethics.
• Teamwork skills.
• Attention to detail.
• Professional certification (e.g., Certified Compliance & Ethics Professional (CCEP)) is a plus.
• BSc/BA in law, finance, business administration or related field.

 

Benefits

• 401(k)
• Health insurance
• Dental insurance
Retirement plan
• Paid time off
• Professional development opportunities

 

Additional Information

• Job Title: Compliance and Enforcement Officer
• Work Environment: Office setting with occasional travel may be required for regulatory meetings or training sessions.
• Reporting Structure: Reports to the Compliance Manager or the head of the department.
• Salary: Salary is based upon candidate experience and qualifications, as well as market and business considerations.
• Pay Range: $65,000 minimum to $115,000 maximum
• Location: [City, State] (specify the location or indicate if remote)
• Employment Type: Full-time
• Equal Opportunity Statement: We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
• Application Instructions: Please submit your resume and a cover letter outlining your qualifications and experience to [email address or application portal].

 

What Does a Compliance and Enforcement Officer Do?

Compliance and Enforcement Officers typically work for governmental agencies, corporations or other organizations where they are tasked with ensuring that all operations, processes, and functions comply with relevant laws, regulations, and standards.

They are often responsible for reviewing policies, procedures, and practices to ensure they are in line with the required standards.

This involves conducting regular audits and inspections, identifying any areas of non-compliance, and implementing corrective actions where necessary.

Compliance and Enforcement Officers are also tasked with investigating complaints or reports of non-compliance.

This may involve conducting interviews, gathering and analyzing evidence, and determining whether there is a case of non-compliance.

Moreover, they may be responsible for enforcing penalties for non-compliance, which could range from fines and sanctions to legal action, depending on the nature and severity of the non-compliance.

These officers often provide training and guidance to organization staff on compliance matters to prevent future instances of non-compliance.

They also keep up-to-date with changes in relevant laws, regulations, and standards to ensure ongoing compliance.

They typically work closely with other professionals, such as legal counsel and top management, to ensure an organization-wide culture of compliance.

 

Compliance and Enforcement Officer Qualifications and Skills

A competent Compliance and Enforcement Officer should possess a combination of technical and soft skills, along with relevant knowledge to ensure regulatory compliance, including:

• Strong understanding of regulatory laws and rules to ensure that the organization is in complete compliance with all internal and external standards.
• Ability to interpret and communicate complex laws and regulations, providing clear guidelines and advice to stakeholders using exceptional communication skills.
• Excellent analytical and problem-solving skills to identify potential areas of compliance vulnerability and risk, developing corrective action plans for resolution.
• Demonstrated ability to handle confidential information with discretion and make reasoned judgments in a timely and efficient manner.
• Strong attention to detail to review and approve all business procedures, ensuring they meet regulatory requirements.
• Interpersonal skills to build and maintain effective working relationships with both internal and external stakeholders.
• Strong project management skills to lead and direct multiple projects, ensuring that they are completed accurately, timely and within budget.
• Awareness of the ethical standards of the company, to ensure that all business activities are conducted in an ethical and compliant manner.

 

Compliance and Enforcement Officer Experience Requirements

Entry-level Compliance and Enforcement Officers typically require 1-2 years of experience, often gained through internships, part-time roles, or in positions with related responsibilities such as administrative support in legal, government, or corporate settings.

Candidates with more than 2 years of experience have often honed their skills in roles such as Compliance Analyst, Compliance Assistant, or Risk Management Analyst.

They usually have a solid understanding of regulatory standards and have developed their ability to interpret and apply laws and regulations.

Those with more than 5 years of experience often have substantial expertise in conducting inspections, enforcing regulations, and handling compliance issues.

They may have led teams or projects and may be ready for a management or senior officer position in the compliance and enforcement field.

In all cases, experience should be supplemented with a strong knowledge of laws and regulations relevant to the specific industry the officer will be working in.

Most importantly, all Compliance and Enforcement Officers must have a proven track record of integrity, as they are entrusted with upholding and enforcing the rules and standards of their organization and industry.

 

Compliance and Enforcement Officer Education and Training Requirements

Compliance and Enforcement Officers usually require a bachelor’s degree in criminal justice, law enforcement, public administration, or a related field.

These programs provide an understanding of the legal system, ethics, criminology, and criminal procedure which is essential for this role.

It’s also beneficial to have coursework in business, economics, and finance.

A master’s degree in law, business administration, public administration, or a related field can be advantageous, particularly for more senior roles.

Many employers prefer candidates with prior experience in regulatory compliance or law enforcement.

They also value familiarity with the specific laws and regulations relevant to their industry.

Certification is not always required, but a Certified Compliance and Ethics Professional (CCEP) or similar certification can demonstrate a commitment to the profession and enhance job prospects.

On-the-job training is often provided to familiarize new officers with the specific compliance issues and enforcement procedures of their employer.

Completion of training programs offered by federal, state, or local law enforcement or regulatory agencies can also be beneficial.

Continuing education to stay updated with changing laws and regulations is vital in this role.

 

Compliance and Enforcement Officer Salary Expectations

A Compliance and Enforcement Officer earns an average salary of $69,567 (USD) per year.

The salary can range significantly based on factors such as experience, education, industry, and the geographical location of the role.

 

Compliance and Enforcement Officer Job Description FAQs

What skills does a Compliance and Enforcement Officer need?

Compliance and Enforcement Officers need to have strong analytical skills to understand complex compliance regulations and standards.

They should also possess excellent communication skills to relay information effectively to different stakeholders.

Attention to detail, integrity, and a strong sense of ethics are also crucial skills for this role.

 

Do Compliance and Enforcement Officers need a degree?

Yes, a bachelor’s degree in law, business administration, or a related field is typically required.

Further, some roles may require a master’s degree or professional certifications such as Certified Compliance and Ethics Professional (CCEP).

 

What should you look for in a Compliance and Enforcement Officer resume?

Look for a background in compliance or regulatory affairs.

Experience in the specific industry your company operates in can also be beneficial.

Check for knowledge of relevant regulations and laws.

If needed, look for any relevant certifications.

Strong analytical, organizational, and communication skills are also important.

 

What qualities make a good Compliance and Enforcement Officer?

A good Compliance and Enforcement Officer should have a keen eye for detail, high integrity, and the ability to understand and interpret laws and regulations.

They should also be proactive in identifying potential compliance issues and devising strategies to mitigate risk.

 

What are the daily duties of a Compliance and Enforcement Officer?

On a typical day, a Compliance and Enforcement Officer may review policies and procedures to ensure they comply with regulatory requirements.

They could also be involved in conducting internal audits, identifying compliance risks, and implementing corrective actions.

Additionally, they may provide compliance training to staff and report on the status of compliance activities to management.

 

Is it difficult to hire a Compliance and Enforcement Officer?

Hiring a Compliance and Enforcement Officer can be challenging as it requires finding a candidate with a specific set of skills, including a strong understanding of regulatory compliance and the ability to navigate complex legal and business issues.

However, with the right job posting and a thorough interview process, you can find a Compliance and Enforcement Officer who fits your company’s needs.

 

Conclusion

And there you have it.

Today, we’ve unveiled the true essence of being a Compliance and Enforcement Officer.

You know what?

It’s not just about enforcing rules.

It’s about safeguarding our society, one regulation at a time.

With our go-to Compliance and Enforcement Officer job description template and real-world examples, you’re ready to step into action.

But why stop there?

Dig deeper with our job description generator. It’s your next step to crafting precision-made job listings or refining your resume to perfection.

Remember:

Every regulation enforced is a step towards a safer and fairer society.

Let’s create that society. Together.

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