Compliance officers are required to work with senior management in order to ensure their company is meeting the principles and rules set by regulators. They can work for financial services organizations and other companies that are subject to external regulation. Principles mentioned before are set by regulators such as the Financial Services Authority to protect consumers and the industry. These professionals review business processes of a company to make sure they are legitimate.

Compliance officers usually perform many of the following tasks:
• Investigating complaints of customers.
• Monitoring sales processes.
• Advising business on how to maintain compliance.
• Approving advertisements.
• Communicating company policies to other members of the organisation.

• Being able to work on different tasks at the same time.
• Having analytical mind.
• Being well organised.
• Having teamwork skills.
• Having good communication abilities.
• Being ethical.
• Being able to stay calm under stressful circumstances.
• Being self motivated and proactive.
• Having IT skills.
• Being positive and confident.

Some companies offer training schemes for Compliance job application candidates. Many employers are open to receive applicants with any degree, but there are some cases where it is required to have specific qualifications in finance, accounting or law. Degree courses for this area require five GCSE’s (A
*-C) and two A levels. Equivalent qualifications such an Advanced Diploma in finance, business, and administration is also suitable for courses´ requirements.

There are institutions such as The International Compliance Association offering courses for this area including Diploma in Compliance, and Advanced Certificate in Compliance.