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.
A qualified compliance officer must be appointed with sufficient authority, stature, and independence.
MC-3 · Dedicated Compliance Officer →Designation of a compliance officer at management level to manage implementation of operational measures.
AMLCTF-PartA-Officer · AML/CTF 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 →Part 127 of ITAR (22 CFR 127.1-127.12) establishes the violations + penalties + and enforcement framework. (1) Section 127.1 Violations: prohibited acts including (a) export + temporary export + retransfer + reexport of defense articles or technical data witho...
ITAR-Part127-Violations-CivilPenalties-CriminalPenalties-1.2M-20Years-VoluntaryDisclosure-Debarment · ITAR Part 127 Violations + Civil Penalties Up to USD 1.2M Per Violation + Criminal Penalties Up to 20 Years Imprisonment + USD 1M Fine + Voluntary Disclosure + Debarment + Statutory Debarred Parties List →VLOPs and VLOSEs shall establish a compliance function, independent from operational functions, with sufficient authority, stature and resources, headed by a compliance officer reporting to the management body, to monitor compliance with the Regulation.
DSA-Art.41 · Compliance function →Article 28 requires each gatekeeper to introduce a compliance function independent from the operational functions of the gatekeeper, composed of one or more compliance officers, including the head of the compliance function.
DMA-Art.28 · Compliance function (Article 28) →Questions people ask about compliance officer
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