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.
Chief Compliance Officers of Investment Advisers (CCOs) [1] play an important and crucial role in fostering integrity in the securities industry.They are responsible for making sure that their firms comply with the rules that apply to their operations.iven the vital role that CCOs play, they need to be supported. Simply stated, the Commission needs capable and honest CCOs to help protect investors and the integrity of the capital markets. Recently, a fellow Commissioner issued a public dissent in two recent enforcement actions against CCOs of investment advisers.