Compliance Analyst I

GENERAL DESCRIPTION:

Performs entry-level to routine compliance analysis work. Work involves assisting in examining, evaluating, and data entry of product registration applications, programs, policies, documents, and/or contracts to ensure conformity with laws and regulations; and in conducting inspection and analysis activities. Works under moderate supervision, with limited latitude for the use of initiative and independent judgment.  

NOTE: 

Must complete Licensing Department’s annual In-Service training in-person and any other training the Department Director deems mandatory as per the agency’s policies, procedures, guidelines, and regulations.

Any mandatory training that occurs outside of the designated duty station will involve travel, which may include overnight stays.

% of Time

ESSENTIAL JOB FUNCTIONS (EJFs): 

40%

Evaluates all documentation associated with product registration applications and completes necessary forms to approve or withdraw. 

• Performs routine compliance analysis which is primarily small or medium in scale to determine if alcoholic beverage labels are in compliance with laws, rules, and regulations.  
•  Conducts initial application review and analysis for compliance issues. 
• Identifies issues, maintains, and updates product registration compliance regulations or standards as necessary in the agency’s internal database system. 
• May contact applicants via phone or email during the application processing for additional documentation to complete an initial review.

30%

Verifies compliance of product registration applications with specific requirements by conducting routine desk reviews for compliance.

Compiles, reviews, and analyzes data to verify compliance with code and rules. 

• Contacts applicants to verify accuracy of submitted product registration application documents and advises of corrections needed. 
• May confer with manager to assist with full review of compliance issues.

20%

Customer Service

• Monitors and responds to emails in the global product registration inbox. 
• Monitors and answers global product registration phone queue by courteously greeting callers, determining the reason for their call, and answering questions or directing their requests to a different department as necessary. 
• Assists walk-in customers.

10%

Prepares and conducts written and/or oral presentations on compliance issues for agency management and other staff. 

 May assist with legislative inquiries during sessions. 

• May assist in testing new software features in the agency’s internal database system. 
• Develop required training materials for presentations. 
• May perform statistical sampling of data. 
• May assist in reviewing contracts and other business documents. 
• May assist in developing policies, procedures, and rules. 
• Performs other duties as assigned. 

MINIMUM QUALIFICATIONS: 

Education: Graduation from a standard senior high school or equivalent and

Experience: Four (4) years of experience in examination of records, research, or compliance analysis or monitoring. 

Applicable Substitutions: Experience and education may be substituted for one or another on a year-for-year basis.? 

Preferred Qualifications: Graduation from an accredited four-year college or university with major coursework in business administration, public administration, statistical analysis, research methodology, or a related field.  

REGISTRATION, CERTIFICATION OR LICENSURE:

KNOWLEDGE, SKILLS, AND ABILITIES: 

Knowledge

Skills

Abilities

PHYSICAL REQUIREMENTS AND/OR WORKING CONDITIONS:

This position functions in a standard office environment. Must be able to move around the office to access filing cabinets, office equipment and move up to 20 pounds. Must be able to communicate and exchange information via phone, computer, in person and via electronic media. Must be able to perform repetitive use of a keyboard at a workstation.  Must be able to work with overlapping deadlines.

This position is expected to work in the office but may be eligible for situational or hybrid telework schedule upon completion of an initial probationary period. For teleworking, must have a secure, dedicated workspace with internet service, ability to maintain a reliable consistent work schedule and be available for meetings and group collaboration via Microsoft Teams or other platforms/applications during regular business hours.