ALLOCATION STATEMENT - Florida Department of …



OCCUPATION PROFILE

JOB FAMILY: BUSINESS AND FINANCE

OCCUPATIONAL GROUP: BUSINESS OPERATIONS

OCCUPATION: COMPLIANCE OFFICERS

13-1041

BROADBAND LEVELS: Level 1 – Pay Band 003

Level 2 – Pay Band 006

Level 3 – Pay Band 007

Level 4 – Pay Band 010

DESCRIPTION

This is work examining, evaluating, inspecting, monitoring and/or investigating eligibility and/or conformity with laws and regulations governing legal compliance of licenses, licensees, permits, and permitees, examining various business entities and financial records, and other compliance and enforcement activities not classified elsewhere.

Some positions in this occupation may be responsible for coordinating work and supervising employees.

EXAMPLES OF WORK

Supervises employees by assigning work, reviewing progress and assessing performance.

Investigates possible criminal violations of applicable laws and/or the alleged abuse or neglect of patients in health care facilities.

Evaluates relevant eligibility information or liability incurred.

Determines eligibility or liability and approves or disallows application or license.

Develops and/or administers tests to determine applicant's eligibility for licensing.

Coordinates and promotes regulatory and/or consumer services research and education.

Scores tests and rates ability of applicant through observation of equipment operation and control.

Visits establishments to determine that valid licenses and permits are displayed and that licensing standards are being upheld.

Conducts investigations and inspections of agencies and individuals performing regulated activities for compliance with applicable laws and regulations.

Conducts administrative hearings.

Supervises the investigation of complaints of alleged violations of regulated activities.

Examines or supervises the examination of business entity and financial filing records for compliance with applicable laws and regulations.

Issues licenses to individuals meeting standards.

Confers with officials, technical, or professional specialists and interviews individuals to obtain information or clarify facts.

Prepares reports of activities, evaluations, recommendations, and decisions.

Prepares correspondence to inform concerned parties of decisions made and appeal rights.

Warns violators of infractions or penalties.

Maintains and provides information and documents, and responds to questions from individuals or groups concerning utility, licenses, permits, regulations or disciplinary actions.

Interprets laws, administrative orders and governmental regulations, or provisions related to utility regulation for individuals and/or employers.

Investigates employment practices and alleged violations of law to document and correct discriminatory factors.

Studies equal opportunity or utility complaints to clarify issues.

Prepares report of findings and recommendations for corrective action.

Analyzes financial information.

Files and indexes final orders, requests for variances and declaratory statements.

Prepares, processes and files citizen’s applications and examinations, examination fees and related examination forms.

Conducts on-site inspections to ensure compliance with laws and regulations.

Assists attorneys in the prosecution of cases.

Presents cases at administrative hearings.

Conducts undercover investigations.

Develops investigative strategies.

Prepares search warrants, arrest warrants, grand jury presentations, records of appeal and/or negotiations.

Makes arrests.

EXAMPLES OF JOB CHARACTERISTICS

|Getting Information Needed to Do the Job |Observing, receiving, and otherwise obtaining information from all relevant|

| |sources. |

|Communicating With Persons Outside Of the Organization |Communicating with persons outside the organization, representing the |

| |organization to customers, the public, government, and other external |

| |sources. This information can be exchanged face-to-face, in writing, or via|

| |telephone/electronic transfer. |

|Judging Qualities of Things, Services, People |Making judgments about or assessing the value, importance, or quality of |

| |things or people. |

|Evaluating Information Against Standards |Evaluating information against a set of standards and verifying that it is |

| |correct. |

|Making Decisions and Solving Problems |Combining, evaluating, and reasoning with information and data to make |

| |decisions and solve problems. These processes involve making decisions |

| |about the relative importance of information and choosing the best |

| |solution. |

|Documenting/Recording Information |Entering, transcribing, recording, storing, or maintaining information in |

| |either written form or by electronic/magnetic recording. |

|Identifying Objects, Actions, and Events |Identifying information received by making estimates or categorizations, |

| |recognizing differences or similarities, or sensing changes in |

| |circumstances or events. |

|Interpreting Meaning of Information To Others |Translating or explaining what information means and how it can be |

| |understood or used to support responses or feedback to others. |

|Monitor Processes, Material, Surroundings |Monitoring and reviewing information from materials, events, or the |

| |environment, often to detect problems or to find out when things are |

| |finished. |

|Provide Consultation and Advice to Others |Providing consultation and expert advice to management or other groups on |

| |technical, systems-related, or process related topics. |

EXAMPLES OF KNOWLEDGE, SKILLS AND ABILITIES

|Speaking |Talking to others to effectively convey information |

|Monitoring |Assessing how well one is doing when learning or doing something |

|Information Gathering |Knowing how to find information and identifying essential information |

|Reading Comprehension |Understanding written sentences and paragraphs in work related documents |

|Writing |Communicating effectively with others in writing as indicated by the needs |

| |of the audience |

|Critical Thinking |Using logic and analysis to identify the strengths and weaknesses of |

| |different approaches |

|Implementation Planning |Developing approaches for implementing an idea |

|Problem Identification |Identifying the nature of problems |

|Identification of Key Causes |Identifying the things that must be changed to achieve a goal |

|Coordination |Adjusting actions in relation to others' actions |

|Active Listening |Listening to what other people are saying and asking questions as |

| |appropriate |

|Judgment and Decision Making |Weighing the relative costs and benefits of a potential action |

|Information Organization |Finding ways to structure or classify multiple pieces of information |

|Product Inspection |Inspecting and evaluating the quality of products |

|English Language |Knowledge of the structure and content of the English language including |

| |the meaning and spelling of words, rules of composition, and grammar |

|Law, Government and Jurisprudence |Knowledge of laws, legal codes, court procedures, precedents, government |

| |regulations, executive orders, agency rules, and the democratic political |

| |process |

|Personnel and Human Resources |Knowledge of policies and practices involved in personnel/human resource |

| |functions |

|Mathematics |Knowledge of numbers, their operations, and interrelationships including |

| |one or more of the following: arithmetic, algebra, geometry, calculus, |

| |statistics, and their applications |

|Economics and Accounting |Knowledge of economic and accounting principles and practices, the |

| |financial markets, banking, and the analysis and reporting of financial |

| |data |

|Coordination |Adjusting actions in relation to others' actions |

|Management of Personnel Resources |Motivating, developing, and directing people as they work, identifying the |

| |best people for the job |

LICENSURE, CERTIFICATION OR REGISTRATION REQUIREMENTS

EFFECTIVE: 07/01/2002

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