Compliance Officer
What is Compliance Officer?
A designated individual responsible for overseeing and managing an organization's compliance program, ensuring adherence to laws and regulations.
Terms that appear alongside compliance officer
Each of these is named in at least one of the same controls as compliance officer. The number is how many controls name both.
- compliance 20 shared controls
- audit 9 shared controls
- internal audit 7 shared controls
- ciso 7 shared controls
- breach response 6 shared controls
- consent 5 shared controls
- remediation 5 shared controls
- policy 5 shared controls
Frameworks that govern compliance officer
What the standards actually require on compliance officer
Requirements naming compliance officer across 6 standards, quoted from the control text.
Appoint a compliance officer with at least five years' compliance experience, fit and proper and approved by VARA, UAE resident or passport holder, full-time and reporting to the Board, reviewed annually.
uae-virtual-asset-regulatory-authority-vara-regulations::CRM-I.C · Compliance and Risk Management Rulebook I.C: Compliance officer →A reporting entity must notify AUSTRAC, in the approved form with the required information and documents, of the individual designated as its AML/CTF compliance officer within 14 days after the designation. Civil penalty provision.
amlctf-act-2006-australia::26M · Notify AUSTRAC of the compliance officer within 14 days →An entity enrolled on 30 March 2026 met the compliance officer notification duty if it notified AUSTRAC by 30 May 2026. A newly regulated tranche 2 entity or virtual asset provider with delayed enrolment meets it by notifying by the later of 14 days after entr...
aml-ctf-rules-2025-australia::T18 · Transitional deadlines for notifying the AML/CTF compliance officer →The governing body provides human and financial resources proportionate to the risk profile (compliance team, external advisers, tools for third-party evaluation, alerts, risk management, monitoring and e-learning, training management, periodic reporting).
french-sapin-ii-law-law-no-2016-1691::AFA-II.1-3 · Compliance officer and dedicated resources →Rule 206(4)-7 deems it fraudulent for a registered adviser to provide advice unless it has adopted and put into effect written procedures that can reasonably be expected to prevent breaches of the Act and rules by the firm and the people it supervises, reviews...
us-investment-advisers-act-of-1940-and-sec-adviser-rules-17-cfr-part-275::206-4-7-compliance · Adopt written compliance policies, review their adequacy at least annually and designate a chief compliance officer →A qualified individual shall be designated as BSA Compliance Officer with authority, independence and resources to administer the AML programme.
BSA-AML-02 · BSA Compliance Officer →Questions people ask about compliance officer
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