Compliance Officer

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Summary

What is a Compliance Officer? Meaning.

The Compliance Officer is the person or function (Compliance Office) in a large corporation to coordinate that the company is in accordance with relevant legal requirements and regulations, such as the corporate governance regulations issued by the SEC in the USA (Sarbanes-Oxley Act), or the Basel I, II and III minimum capital requirements risk management regulations for financial services firms.


The compliance function is an independent function in an advisory role, aimed at controlling the risks that are relevant for maintaining or strengthening the corporate reputation. However, the final responsibility for controlling these compliance risks and for the definition of integrity remains a task of the Executive Board.


The main personal qualities of a Compliance Officer are discreetness, objectivity, independence, professionalism, and that he should be experienced in relation to the activities of the corporation.


Furthermore, a Compliance Officer should have knowledge about legal, economic, social, operational and commercial aspects and preferably have a legal background.


Special Interest Group

Compliance Officer Special Interest Group.



Special Interest Group (67 members)

Forum

Forum about the Compliance Officer.


 

🔥 NEW Compliance and Behavioral Risk Management
Given their misbehavior over the last two decades on the one hand (cases of fraud, ethical misconduct, LIBOR fixing, selling overly complex products to clients, etc.) and their importance to our socie...
15
 
6 comments
The Relationship between Ethics and Compliance
Ethics and compliance do overlap in terms of their implementation in practice.
How can we relate compliance and ethics?...
4
 
1 comments
Quotes on Compliance of Organizations. Quotations
Hi, do you know of a remarkable, humorous quote by a famous person or a proverb related to compliance of organizations and the role of compliance officers?

"Let's make it simple: Government...
4
 

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Ethics in Corporate Governance

Ethics, Corporate Governance
This presentation is about the role that ethics plays in corporate governance.The presentation includes the following se...

Corporate Governance: What Role does the Board of Directors Have?

Corporate Governance, Board Governance, Chairman of the Board, Corporate Secretary
Presentation about Corporate Governance and the Role that the Board of Directors plays in Corporate Governance. The pres...

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Compare with: Corporate Governance  |  Corporate Accountability

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