compliance officer

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Related to compliance officers: Chief Compliance Officer

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 ?
Trigili is a seasoned compliance officer with over 25 years of experience in the industry.
In order to help compliance officers protect themselves and their organizations from possible fines, compliance lapses and reputational risks, the NICE Actimize solutions robust feature set allows compliance managers to assemble new policies and operational updates, and to compile new or amended regulations.
Southern Company (NYSE: SO), an energy company serving the Southeast US through its subsidiaries, has named Thomas P Bishop as its senior vice president, chief compliance officer and deputy general counsel for Southern Company Services, effective January 1.
Some 93% of practitioners expected the personal liability of compliance officers to increase in the next year.
Given the changes in the enhanced regulatory landscape discussed in our article in January, it is no surprise that more cases against individual compliance officers are now being brought.
According to David Keendjele, SSC's Acting Executive Officer, in August last year, the Board of Commissioners approved the Compliance Policy for the Social Security Commission which serves to strengthen the role of Compliance Officers in the Commission.
This activity will also enhance the important role of compliance officers in Kyrgyz commercial banks as information links between public and private institutions.
Compliance Officers are the first line of regulatory defence against those who choose not to adhere to proper standards of governance and conduct in financial services.
The authority was concerned that Da Silva failed to carry out his duties as a compliance officer adequately," the statement said.
The Evolving Role of the Ethics and Compliance Officer discusses the ethics and compliance function in North American companies.
Emails can be routed through a compliance officer, or passed to an encryption system for added security.
Compliance officers have experienced elevated status within their companies since the emergence of the Insurance Marketplace Standards Association.
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