II.
Role overview
Reference · liverole:compliance-officer
Compliance Officer overview
Owns the organization's regulatory compliance program, ensuring adherence to applicable laws, industry standards, and contractual obligations such as SOC 2, ISO 27001, GDPR, HIPAA, and PCI-DSS. Conducts and oversees internal audits, manages external audit engagements, and tracks remediation of identified control gaps. Develops compliance policies, provides training, and acts as the primary liaison with regulators and certification bodies.
Attributes
displayName
Compliance Officer
isAgentic
false
automatability
0.2
description
Owns the organization's regulatory compliance program, ensuring adherence to
applicable laws, industry standards, and contractual obligations such as SOC 2,
ISO 27001, GDPR, HIPAA, and PCI-DSS. Conducts and oversees internal audits,
manages external audit engagements, and tracks remediation of identified control
gaps. Develops compliance policies, provides training, and acts as the primary
liaison with regulators and certification bodies.
seniority
senior
Outgoing edges
holds_responsibility6
- responsibility:compliance-monitoring·ResponsibilityCompliance Monitoring
- responsibility:risk-assessment·ResponsibilityRisk Assessment
- responsibility:security-audit·Responsibility
- responsibility:stakeholder-communication·ResponsibilityStakeholder Communication
- responsibility:documentation·ResponsibilityDocumentation
- responsibility:regulatory-reporting·ResponsibilityRegulatory reporting
requires_expertise1
- skill-area:observability-pipeline·SkillAreaObservability Pipeline
requires_skill3
- domain:security·DomainSecurity
- domain:cybersecurity·DomainCybersecurity
- specialization:technical-documentation·Specialization
Incoming edges
has_member1
- org-unit:trading-compliance·OrgUnitTrading Compliance
held_by8
- responsibility:gdpr-compliance·ResponsibilityGDPR compliance
- responsibility:soc2-compliance·ResponsibilitySOC 2 compliance
- responsibility:pci-compliance·ResponsibilityPCI DSS compliance
- responsibility:hipaa-compliance·ResponsibilityHIPAA compliance
- responsibility:trade-compliance·ResponsibilityTrade compliance
- responsibility:sanctions-screening·ResponsibilitySanctions screening
- responsibility:transaction-monitoring·ResponsibilityTransaction monitoring
- responsibility:regulatory-reporting·ResponsibilityRegulatory reporting
involves_role25
- workflow:compliance-audit·WorkflowCompliance Audit
- workflow:data-governance-review·WorkflowData Governance Review
- workflow:vendor-evaluation·WorkflowVendor Evaluation
- workflow:change-management·Workflow
- workflow:vulnerability-management·Workflow
- workflow:access-review·WorkflowAccess Review
- workflow:security-audit·Workflow
- workflow:penetration-testing-cycle·WorkflowPenetration Testing Cycle
- workflow:crypto-protocol-review·WorkflowCryptographic Protocol Review
- workflow:drug-approval-pipeline·WorkflowDrug Approval Pipeline
- workflow:insurance-claims-adjudication·WorkflowInsurance Claims Adjudication
- workflow:loan-underwriting-process·WorkflowLoan Underwriting Process
- workflow:KYC-verification·WorkflowKYC Verification
- workflow:fraud-investigation·WorkflowFraud Investigation
- workflow:market-risk-daily-report·WorkflowMarket Risk Daily Report
- workflow:credit-risk-assessment·WorkflowCredit Risk Assessment
- workflow:liquidity-risk-monitoring·WorkflowLiquidity Risk Monitoring
- workflow:model-risk-management-review·WorkflowModel Risk Management Review
- workflow:operational-risk-event-analysis·WorkflowOperational Risk Event Analysis
- workflow:control-effectiveness-testing·WorkflowControl Effectiveness Testing
- workflow:portfolio-rebalancing-cycle·WorkflowPortfolio Rebalancing Cycle
- workflow:alternative-data-evaluation·WorkflowAlternative Data Evaluation
- workflow:best-execution-review·WorkflowBest Execution Review
- workflow:transaction-reporting-cycle·WorkflowTransaction Reporting Cycle
- workflow:trading-surveillance-review·WorkflowTrading Surveillance Review
lib_involves_role73
- lib-agent:entrepreneurship--startup-lawyer·LibraryAgentstartup-lawyer
- lib-agent:legal--corporate-counsel·LibraryAgentcorporate-counsel
- lib-agent:legal--corporate-secretary·LibraryAgentcorporate-secretary
- lib-agent:operations--internal-quality-auditor·LibraryAgentinternal-quality-auditor
- lib-agent:operations--qms-implementation-specialist·LibraryAgentqms-implementation-specialist
- lib-agent:operations--tqm-coordinator·LibraryAgenttqm-coordinator
- lib-agent:project-management--quality-manager·LibraryAgentquality-manager
- lib-agent:supply-chain--sustainability-procurement-manager·LibraryAgentsustainability-procurement-manager
- lib-agent:arts-culture--registrar-agent·LibraryAgentregistrar-agent
- lib-agent:education--quality-assurance-coordinator·LibraryAgentquality-assurance-coordinator
- lib-agent:healthcare--care-management-coordinator·LibraryAgentcare-management-coordinator
- lib-agent:healthcare--compliance-readiness-manager·LibraryAgentcompliance-readiness-manager
- lib-agent:healthcare--documentation-integrity-specialist·LibraryAgentdocumentation-integrity-specialist
- lib-agent:healthcare--patient-safety-officer·LibraryAgentpatient-safety-officer
- lib-agent:humanities--research-ethics-consultant·LibraryAgentresearch-ethics-consultant
- lib-agent:philosophy--ethics-consultant-agent·LibraryAgentethics-consultant-agent
- lib-agent:social-sciences--research-ethics-coordinator·LibraryAgentresearch-ethics-coordinator
- lib-agent:security-compliance--risk-scoring-agent·LibraryAgentrisk-scoring-agent
- lib-process:legal--adr-procedures·LibraryProcessadr-procedures
- lib-process:legal--board-governance-framework·LibraryProcessboard-governance-framework
- lib-process:legal--compliance-monitoring-testing·LibraryProcesscompliance-monitoring-testing
- lib-process:legal--compliance-program-development·LibraryProcesscompliance-program-development
- lib-process:legal--compliance-risk-assessment·LibraryProcesscompliance-risk-assessment
- lib-process:legal--compliance-training-program·LibraryProcesscompliance-training-program
- lib-process:legal--contract-drafting-automation·LibraryProcesscontract-drafting-automation
- lib-process:legal--contract-lifecycle-management·LibraryProcesscontract-lifecycle-management
- lib-process:legal--contract-negotiation-playbook·LibraryProcesscontract-negotiation-playbook
- lib-process:legal--contract-obligation-tracking·LibraryProcesscontract-obligation-tracking
- lib-process:legal--contract-review-analysis·LibraryProcesscontract-review-analysis
- lib-process:legal--corporate-policy-management·LibraryProcesscorporate-policy-management
- lib-process:legal--corporate-records-management·LibraryProcesscorporate-records-management
- lib-process:legal--data-breach-response·LibraryProcessdata-breach-response
- lib-process:legal--data-mapping-inventory·LibraryProcessdata-mapping-inventory
- lib-process:legal--data-subject-rights-management·LibraryProcessdata-subject-rights-management
- lib-process:legal--ediscovery-management·LibraryProcessediscovery-management
- lib-process:legal--entity-management·LibraryProcessentity-management
- lib-process:legal--gdpr-compliance-program·LibraryProcessgdpr-compliance-program
- lib-process:legal--ip-licensing-management·LibraryProcessip-licensing-management
- lib-process:legal--ip-portfolio-management·LibraryProcessip-portfolio-management
- lib-process:legal--legal-hold-implementation·LibraryProcesslegal-hold-implementation
- lib-process:legal--litigation-management·LibraryProcesslitigation-management
- lib-process:legal--patent-filing-prosecution·LibraryProcesspatent-filing-prosecution
- lib-process:legal--privacy-impact-assessment·LibraryProcessprivacy-impact-assessment
- lib-process:legal--regulatory-change-management·LibraryProcessregulatory-change-management
- lib-process:legal--trade-secret-protection·LibraryProcesstrade-secret-protection
- lib-process:legal--trademark-registration-protection·LibraryProcesstrademark-registration-protection
- lib-skill:legal--board-governance·LibrarySkillboard-governance
- lib-skill:legal--corporate-records·LibrarySkillcorporate-records
- lib-skill:legal--entity-management·LibrarySkillentity-management
- lib-skill:legal--policy-management·LibrarySkillpolicy-management
- lib-skill:logistics--incoterms-compliance-checker·LibrarySkillincoterms-compliance-checker
- lib-skill:operations--iso-implementation-guide·LibrarySkilliso-implementation-guide
- lib-skill:operations--quality-auditor·LibrarySkillquality-auditor
- lib-skill:supply-chain--sustainable-procurement-assessor·LibrarySkillsustainable-procurement-assessor
- lib-skill:arts-culture--risk-mitigation-planning·LibrarySkillrisk-mitigation-planning
- lib-skill:education--standards-alignment-mapping·LibrarySkillstandards-alignment-mapping
- lib-skill:healthcare--accreditation-tracer-simulation·LibrarySkillaccreditation-tracer-simulation
- lib-skill:healthcare--clinical-documentation-query·LibrarySkillclinical-documentation-query
- lib-skill:healthcare--medical-coding-audit·LibrarySkillmedical-coding-audit
- lib-skill:healthcare--patient-safety-event-analysis·LibrarySkillpatient-safety-event-analysis
- lib-skill:healthcare--regulatory-compliance-assessment·LibrarySkillregulatory-compliance-assessment
- lib-skill:humanities--research-ethics-irb-navigation·LibrarySkillresearch-ethics-irb-navigation
- lib-skill:philosophy--bioethics-deliberation·LibrarySkillbioethics-deliberation
- lib-skill:philosophy--ethical-framework-application·LibrarySkillethical-framework-application
- lib-skill:social-sciences--research-ethics-irb·LibrarySkillresearch-ethics-irb
- lib-skill:security-compliance--compliance-evidence-collector·LibrarySkillcompliance-evidence-collector
- lib-skill:security-compliance--gdpr-compliance-automator·LibrarySkillgdpr-compliance-automator
- lib-skill:security-compliance--hipaa-compliance-automator·LibrarySkillhipaa-compliance-automator
- lib-skill:security-compliance--pci-dss-compliance-automator·LibrarySkillpci-dss-compliance-automator
- lib-skill:security-compliance--phishing-simulation-skill·LibrarySkillphishing-simulation-skill
- lib-skill:security-compliance--soc2-compliance-automator·LibrarySkillsoc2-compliance-automator
- lib-skill:security-compliance--vendor-risk-monitor·LibrarySkillvendor-risk-monitor
- lib-skill:security-compliance--vendor-security-questionnaire·LibrarySkillvendor-security-questionnaire