compliance officer


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compliance officer

in financial services law, a person employed by a financial group operating in a variety of fields and for multiple clients to ensure that no conflict of interest arises and that all obligations and regulations are complied with.
References in periodicals archive ?
He has worked his way through the ranks from a teller, to real estate manager, and now Compliance Officer.
Prior to the promotion, Drew served as the associate general counsel and acting group chief compliance officer, with responsibility for leading a team of compliance professionals across all operating markets as well as advising senior management on core compliance and governance issues of the company, which he joined in July 2016.
She will report to Nandita Bakhshi, president and CEO of Bank of the West and Co-CEO of BNP Paribas USA, and Eric Young, chief compliance officer of BNP Paribas-Americas and CCO of BNP Paribas USA.
Before joining INVEST, Jason served as chief compliance officer at Penn Mutual Life Insurance, and its affiliated independent broker-dealer Hornor, Townsend & Kent in Horsham, Pennsylvania.
Before becoming part of Cameron in 2014, Chapman played the role of the chief compliance officer and counsel for Parker Drilling, where he coordinated the company's overall compliance efforts.
In addition to the annual compliance meeting, the firm should convene regular staff meetings (weekly, monthly or quarterly) at which the chief compliance officer is permitted to address compliance-related issues with the rest of the firm's members and respond to questions.
Southern Company executive vice president, general counsel and chief compliance officer James Y.
Some 93% of practitioners expected the personal liability of compliance officers to increase in the next year.
Carrie Penman, NAVEX Global's chief compliance officer and senior vice president of advisory services, calls it a "disconcerting" finding.
In conjunction, Tim Ayers has been elected as vice president and chief compliance officer at Horizon Pharma.
Attorney's Office for the Southern District of New York filed a civil enforcement action against a former chief compliance officer for MoneyGram to enforce a $1 million penalty assessed by the U.
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