What does a legal compliance officer do?
The main duty of a Legal Compliance Officer is to ensure that a company is managed legally and ethically. They must guarantee that businesses are conducted in full compliance with all national and international laws.
Legal compliance officer responsibilities
Here are examples of responsibilities from real legal compliance officer resumes:
- Manage outside counsel in litigation matters and coordinate internal requirements in connection with litigation.
- Assist in liaising with insurance authorities, responding to regulatory inquiries and managing relationship with region from legal and business perspective.
- Review and respond to subpoenas.
- Provide ethics training and counsel to mission employees.
- Act in a professional manner with integrity, according to the legal code of ethics of Puerto Rico.
- Direct the ship's legal activity, including delivery of subpoenas relate to both judicial and non-judicial proceedings.
- Review and respond to customer complaints, including sales practice allegations and allege violations of securities and anti-trust law.
- Gain familiarity with HIPAA, FLMA, SOX, ERISA, and various other regulations implement among businesses and corporations.
- Remain abreast of HIPAA regulations and guidelines relative to various business functions and implement compliance procedures and policies to address same.
- Produce confirmation and acknowledgment correspondence to state securities and banking regulators, federal agencies.
- Develop oversight programs for enhance supervisory scenarios, engage others to act responsibly and minimize operational risks and internal controls issues.
- Conduct systematic and random audits of Medicaid mental health provider billing practices.
- Focuse promotion efforts on power mobility through product information promotions for physicians, clinics, hospitals, and rehabilitation centers.
Legal compliance officer skills and personality traits
We calculated that 8% of Legal Compliance Officers are proficient in Risk Management, Litigation, and Legal Compliance. They’re also known for soft skills such as Analytical skills, Interpersonal skills, and Problem-solving skills.
We break down the percentage of Legal Compliance Officers that have these skills listed on their resume here:
- Risk Management, 8%
Traveled extensively to all Group companies to develop and implement compliance and risk management programs and initiatives.
- Litigation, 7%
Provided litigation case management and organized cases for court presentation.
- Legal Compliance, 5%
Audited government offices to review legal compliance with policies and procedures designated to prevent illegal or unethical conduct within government division.
- AML, 5%
Reviewed all Operations and Compliance rules, alerts, and systems to identify AML risks across all client segments.
- Legal Issues, 4%
Drafted periodic reports and other inputs on pending constitutional, regional, political and legal issues as required by supervisors
- Legal Research, 4%
Performed legal research concerning constitutional rights, burden shifting analysis and appropriate statutory definitions and their requirements.
Most legal compliance officers use their skills in "risk management," "litigation," and "legal compliance" to do their jobs. You can find more detail on essential legal compliance officer responsibilities here:
Analytical skills. The most essential soft skill for a legal compliance officer to carry out their responsibilities is analytical skills. This skill is important for the role because "lawyers interpret the law as it applies to their client’s case." Additionally, a legal compliance officer resume shows how their duties depend on analytical skills: "performed data research; charged with gathering and analyzing quantitative and qualitative information, for legal research purposes. "
Interpersonal skills. Another soft skill that's essential for fulfilling legal compliance officer duties is interpersonal skills. The role rewards competence in this skill because "lawyers must build relationships with current and prospective clients, as well as with their colleagues and other members of the legal community." According to a legal compliance officer resume, here's how legal compliance officers can utilize interpersonal skills in their job responsibilities: "enforced alcohol compliance policy based on corporate, municipal, and state regulations using excellent interpersonal and problem solving skills. "
Problem-solving skills. Another skill that relates to the job responsibilities of legal compliance officers is problem-solving skills. This skill is critical to many everyday legal compliance officer duties, as "lawyers must evaluate information to propose viable solutions, mediate disputes, and reach agreements or settlements for their clients." This example from a resume shows how this skill is used: "general civil practice including, contract review and preparation, dispute resolution and litigation, entity formation and dissolution. "
Research skills. A big part of what legal compliance officers do relies on "research skills." You can see how essential it is to legal compliance officer responsibilities because "lawyers need to find laws and regulations that apply to a specific matter in order to provide appropriate legal advice for their clients." Here's an example of how this skill is used from a resume that represents typical legal compliance officer tasks: "research and draft briefs for the ceo and other executive management related to international laws and regulations. "
The three companies that hire the most legal compliance officers are:
- Morgan Stanley7 legal compliance officers jobs
- Burrell Behavioral Health5 legal compliance officers jobs
- Blackstone Group4 legal compliance officers jobs
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Compare different legal compliance officers
Legal compliance officer vs. Manager, quality management, corporate compliance
Depending on the industry, there are a lot of functions you need to comply with if you want to become a manager of quality management and corporate compliance. Commonly seen in banks, manufacturing, processing, automotive, and textile companies, this job position is responsible for monitoring, implementing, and oversees the quality of a product. Also, they may be responsible for organizing workflows, writing reports, and supervising the overall tasks of every employee.
While similarities exist, there are also some differences between legal compliance officers and manager, quality management, corporate compliance. For instance, legal compliance officer responsibilities require skills such as "risk management," "litigation," "legal compliance," and "aml." Whereas a manager, quality management, corporate compliance is skilled in "management system," "continuous improvement," "capa," and "quality compliance." This is part of what separates the two careers.
On average, managers, quality management, corporate compliance reach higher levels of education than legal compliance officers. Managers, quality management, corporate compliance are 11.9% more likely to earn a Master's Degree and 24.5% less likely to graduate with a Doctoral Degree.Legal compliance officer vs. Bsa officer
A Legal Counsel supervises the legal aspects of a business. They give accurate and timely counsel to executives on a variety of legal topics, such as labor law, partnerships, or international ventures.
Each career also uses different skills, according to real legal compliance officer resumes. While legal compliance officer responsibilities can utilize skills like "risk management," "litigation," "legal compliance," and "aml," bsa officers use skills like "aml," "secrecy," "risk assessments," and "sar."
Average education levels between the two professions vary. Bsa officers tend to reach similar levels of education than legal compliance officers. In fact, they're 1.9% less likely to graduate with a Master's Degree and 24.5% less likely to earn a Doctoral Degree.Legal compliance officer vs. Legal counsel
A company's head of ethics and compliance is in charge of implementing policies and regulations to ensure a safe and efficient work environment. They typically manage staff, set department goals and timelines, establish guidelines and protocols, and develop strategies to optimize operations. As the head of ethics and compliance, it is their responsibility to spearhead inspections to ensure company procedures comply with the government standards and regulations, investigate violations and workplace incidents, and implement solutions to resolve issues and concerns.
There are many key differences between these two careers, including some of the skills required to perform responsibilities within each role. For example, a legal compliance officer is likely to be skilled in "aml," "scheme," "compliance program," and "bsa," while a typical legal counsel is skilled in "legal risks," "excellent interpersonal," "in-house counsel," and "internal clients."
Legal counsels earn the best pay in the technology industry, where they command an average salary of $159,575. Legal compliance officers earn the highest pay from the manufacturing industry, with an average salary of $126,995.When it comes to education, legal counsels tend to earn similar degree levels compared to legal compliance officers. In fact, they're 1.4% less likely to earn a Master's Degree, and 15.9% less likely to graduate with a Doctoral Degree.Legal compliance officer vs. Head of ethics and compliance
Types of legal compliance officer
Updated January 8, 2025
