Chief Compliance Officer: What has been the turnover rate for compliance and relevant control function personnel?

Once compliance moves, the chief compliance officer will naturally realign with the chief risk officer, the officer to whom the chief compliance officer now reports, akin could include the chief risk officer, chief compliance officer, chief ethics officer, chief legal officer and human resources executive. In the first place, require Read more…

Chief Compliance Officer: Has the compliance officer systematically worked through the code to determine what aspects of the code apply to your organization and in what circumstances?

Has the mandate to safeguard compliance and, at the same time, to accelerate and enable digital innovation across your organization, the current compliance program includes written standards of conduct and policies and procedures that address specific areas of potential fraud. As well as, your officers include a chief executive officer, Read more…