Day in the life
A Day in the Life of a Compliance Officer
What compliance officers actually do from the start of a shift to the end: the tasks, tools, schedule and realities of the job.
What is a typical day like for a compliance officer?
Read new regulatory updates. From there, the day usually includes monitor laws and regulations, write policies and procedures, and train employees. Full-time business hours.
Hour by hour: a typical shift
No two days are identical, but this timeline reflects a realistic day for a compliance officer working full time.
- Read new regulatory updates.
- Review a marketing ad for compliance.
- Run a compliance training.
- Test a sample of transactions.
- Investigate a hotline report.
- Update a policy.
- Report findings to leadership.
Where compliance officers work
Compliance officers work in offices, with some site visits.
Hours and schedule
Full-time business hours.
Tasks you’ll do most often
- Monitor laws and regulations
- Write policies and procedures
- Train employees
- Audit operations
- Investigate concerns
- Report to regulators
- Manage risk assessments
Tools you’ll use every day
- Compliance management software
- Case management systems
- Spreadsheets
- Learning management systems
- Regulatory databases
- Hotline systems
The best and hardest parts of the job
What people like
- Every regulated industry needs you
- Good pay
- Office hours
- Clear career ladders
What’s hard
- Can be seen as the rule enforcer
- Constant rule changes
- Detail-heavy work
- Pressure during exams
You’ll likely thrive if…
- I like rules and structure
- I’m detail-oriented
- I value ethics
- I can say no politely
- I like research
- I want steady office work
Not sure? Take the free Compliance Officer fit quiz or the Career Match Quiz.
Staying safe on the job
- Protect whistleblowers
- Protect confidential data
- Follow investigation procedures
- Escalate serious risks