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.

Steven Trigili, CCO to be a Featured Speaker at IA Watch Compliance Summit in Boston

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.

United States : NICE Actimize Launches Notifications & Attestations Solution to Monitor Regulatory Compliance and Ensure Organizational Efficiency

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.

Southern Company names new senior vice president,

Some 93% of practitioners expected the personal liability of compliance officers to increase in the next year.

Compliance officers under the gun

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.

Avoiding personal liability amidst heightened AML enforcement

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.

Social security pushes for compliance at employers

This activity will also enhance the important role of compliance officers in Kyrgyz commercial banks as information links between public and private institutions.

OSCE Centre supports training course for financial compliance officers

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.

DFSA Sanctions Former GFS Investments Compliance Officer

The authority was concerned that Da Silva failed to carry out his duties as a compliance officer adequately," the statement said.

Former GFS compliance man gets a reprieve

The Evolving Role of the Ethics and Compliance Officer discusses the ethics and compliance function in North American companies.

Ethics and compliance needs free hand: Conference Board

Emails can be routed through a compliance officer, or passed to an encryption system for added security.

Computer security: networks face new email-related threats

Compliance officers have experienced elevated status within their companies since the emergence of the Insurance Marketplace Standards Association.