Which of the following is NOT a primary responsibility of a Compliance Officer?

The role of a Compliance Officer encompasses various responsibilities aimed at ensuring an organization adheres to laws, regulations, and internal policies. They are primarily focused on establishing and overseeing compliance programs, which include implementing policies to meet compliance standards, conducting audits to assess adherence and identify areas for improvement, and providing training to educate employees about compliance issues.

While a Compliance Officer plays a crucial role in the overall compliance framework, imposing disciplinary actions typically falls under the purview of management or human resources. The Compliance Officer may suggest or recommend actions based on compliance findings, but the actual enforcement of disciplinary measures is generally outside their primary responsibilities. This distinction clarifies why imposing disciplinary actions is not considered a core duty of the Compliance Officer.

In contrast, implementing policies is essential for robust compliance infrastructure, conducting audits helps to verify compliance effectiveness, and providing training ensures that staff are informed and aware of compliance requirements. Each of these tasks directly influences the organization's compliance posture, highlighting their significance in the Compliance Officer's role.