A typical day in the life of a security officer might include: 1  Identifying potential risks or hazards to the property. 2  Understanding the location's rules and regulations to establish methods for preventing criminal activity when possible. 3  Providing a visual presence to help promote order and deter safety issues.
DEFINITION of 'Compliance Officer'. An employee whose responsibilities include ensuring that the company complies with its outside regulatory requirements and internal policies.ompliance officers may also design or update internal policies to mitigate the risk of the company breaking laws and regulations, as well as lead internal audits of procedures.
DEFINITION of 'Compliance Department'. The department or unit within a brokerage firm, bank or financial institution that ensures compliance with all applicable laws, rules and regulations. The compliance department generally has a wide range of roles and responsibilities within a firm.EFINITION of 'Compliance Department'. The department or unit within a brokerage firm, bank or financial institution that ensures compliance with all applicable laws, rules and regulations. The compliance department generally has a wide range of roles and responsibilities within a firm.