CLASSIFICATION GUIDELINES

COMPLIANCE OFFICER SERIES

CLASSES IN THE SERIES

Class Code	Class Title

00640	Compliance Officer 1
00641	Compliance Officer 2
90639	Compliance Officer 2

SERIES CONCEPT

Classes in this series are assigned duties that involve the review of legal materials and/or actions by organizations or individuals to determine and assure compliance with state and federal laws, rules, regulations and program requirements. Employees review and analyze the facts, data, documents and other information of the situation and write legal opinions and recommendations concerning the situation. Many employees are responsible for drafting and reviewing administrative rules and proposed legislation for the employing department. Most employees work closely with the Attorney General’s Office on matters that may be litigated.

EXCLUSIONS

Positions that act as an impartial judge at contested case hearings as provided for in Iowa Code Chapter 17A. These positions are classified in the Administrative Law Judge series.

Positions that are legal representatives and provide legal advice for a department. These positions are classified in the Attorney series.

Positions that perform legal work in the Attorney General’s Office. These positions are classified in the Assistant Attorney General series.

CLASS DISTINCTIONS

Compliance Officer 1

This is the trainee level for the series. Employees spend a minimum of 18 months at this level learning and preparing for advancement to the journey level for the series.

Compliance Officer 2 (class code 00641)

Positions at this level are considered to be functioning at the journey level. Employees have been promoted to this level from Compliance Officer 1 or have had qualifying experience elsewhere that has prepared them for work as a Compliance Officer 2.

Compliance Officer 2 (class code 90639)

This class code is used for positions that are exempt from collective bargaining. This class is considered both trainee and journey for positions exempted from bargaining. As such, the class has an extended range that is considered equal to the contract-covered classes.