compliance officer

• Compliance Officer

https://store.theartofservice.com/the-compliance-officer-toolkit.html

Chief executive officer Related positions

1 Common associates include a chief business development officer (CBDO), chief financial officer (CFO), chief operating officer (COO),

chief marketing officer (CMO), chief information officer (CIO), chief communications

officer (CCO), chief legal officer (CLO), chief technology officer (CTO), chief risk officer (CRO), chief creative officer (CCO), chief

compliance officer (CCO), chief audit executive (CAE), chief diversity officer (CDO), or chief

human resources officer (CHRO).


Chief governance officer

1 Risk managers, compliance officers and business performance managers

often need to manage change in order to achieve their objectives



1 Jump up ^ Capobianco, JH.(2010). 'C-Suite Shoot-Out: Chief Compliance Officer v. Chief Governance Officer.'


Governance, risk management, and compliance GRC market segmentation

1 Legal GRC focuses on tying together all three components via an

organization's legal department and chief compliance officer.


Industrial and organizational psychology - Innovation

1 For example, an Operation Manager analyzing a reporting issue and

developing an innovative solution would consider the perspective of a

sales person, assistant, finance, compensation, and compliance

officer.


Records management - Current issues in records management

1 Statutes such as the US Sarbanes-Oxley Act have created new concerns

among corporate "compliance officers" that result in more standardization of records

management practices within an organization


Microsoft Exchange Server -

1 For example, a compliance officer may be given the ability to perform cross mailbox

discovery searches within Outlook Web App; a help desk technician may be granted the ability to set an Out Of Office message for other employees within the company, or a

branch administrator in a remote office may be granted the permission to perform specific Exchange Management Shell commands that pertain only to the Exchange server in their

branch office.


University of Texas System - Officials

1 *Larry Plutko, Chief Compliance Officer


Business ethics - Ethics officers

1 In 1991, the [ http://www.theecoa.org Ethics Compliance Officer Association]

(ECOA)—originally the Ethics Officer Association (EOA)—was founded at the [ http://www.bentley.edu/cbe Center for

Business Ethics] (at Bentley College, Waltham, MA) as a professional

association for those responsible for managing organizations' efforts to

achieve ethical best practices


Business ethics - Ethics officers

1 Another critical factor in the decisions of companies to appoint ethics/compliance officers

was the passing of the Federal Sentencing Guidelines for Organizations in 1991, which set

standards that organizations (large or small, commercial and non-commercial) had to follow to obtain a reduction in sentence if they should

be convicted of a federal offense. Although intended to assist judges with sentencing, the influence in helping to establish best practices

has been far-reaching.


Mass surveillance in the United States - Uses of intercepted data

1 Employees of the NSA spied on love interests using surveillance

technology of the agency, according to the NSA Chief Compliance Officer

John DeLong.


Organizational psychology - Innovation

1 For example, an Operation Manager analyzing a reporting issue and

developing an innovative solution would consider the perspective of a

sales person, assistant, finance, compensation, and compliance

officer.


Bank regulation - Corporate governance

1 # To have an organisational structure that includes various offices and officers, e.g. corporate secretary,

treasurer/CFO, auditor, Asset Liability Management Committee, Privacy

Officer, Compliance Officer etc. Also the officers for those offices may need to be approved persons, or

from an approved class of persons.


Money laundering - Bangladesh

1 * If any suspicious transaction is noticed, the Branch Anti Money Laundering Compliance Officer (BAMLCO) must be notified and

accordingly the Suspicious Transaction Report (STR) must be

filled out.


Bernard Madoff

1 He employed at the firm his brother Peter, as Senior Managing Director

and Chief Compliance Officer; Peter's daughter Shana Madoff, as the firm's

rules and compliance officer and attorney; and his sons Andrew and

Mark


Bernard Madoff - Personal life

1 His younger brother, Peter, an attorney, was Senior Managing Director and Chief Compliance

Officer, and Peter's daughter, Shana Madoff, also an attorney, was the

compliance attorney


Occupational hygiene - Examples of occupational hygiene careers

1 * Compliance officer on behalf of regulatory

agency


Chief compliance officer

1 The 'chief compliance officer' ('CCO') of a company is the officer

primarily responsible for overseeing and managing regulatory compliance

issues within an organization. The CCO typically reports to the Chief

Executive Officer or Chief Operations Officer.


Corporate title - C-level titles

1 * Chief Compliance Officer - in charge of regulatory compliance, especially Sarbanes-

Oxley.


Chief risk officer

1 A main priority for the CRO is to ensure that the organisation is in full compliance with applicable regulations (chief compliance officer). They may also deal with topics regarding insurance, internal auditing,

corporate investigations, fraud, and information security. CRO's typically have post-graduate education and 20+ years of

business experience, with actuarial, accounting, economics, and legal

backgrounds common.


Suspicious activity report - SAR filing options

1 : Usually contains the contact information for the financial

institution's compliance officer or equivalent.


Hedge funds - United States

1 They are required to have written compliance policies, a chief

compliance officer and their records and practices may be examined by

the SEC.


Managing Director - Related positions

1 Common associates include a chief administrative officer (CAO), chief brand officer (CBO), chief business

development officer (CBDO), chief financial officer (CFO), chief operating officer (COO), chief marketing officer

(CMO), chief information officer (CIO), chief communications officer (CCO), chief legal officer (CLO), chief technology officer (CTO), chief risk officer (CRO), chief creative officer (CCO), chief compliance officer

(CCO), chief audit executive (CAE), chief diversity officer (CDO), or chief human resources officer (CHRO), Chief commercial officer (CCO), Chief content officer (CCO ),

Chief information security officer (CISO), Chief accounting officer (CAO), Chief analytics officer (CAO), and Chief

strategy officer (CSO).


Independent Parliamentary Standards Authority - Consultation

1 In June 2010 IPSA launched three further consultations, on

amendments to the expenses scheme; proposals on publication;

and on the compliance officer's processes.


Exchange Server - New features

1 For example, a compliance officer may be given the ability to perform cross mailbox

discovery searches within Outlook Web App; a help desk technician may be granted the ability to set an Out Of Office message for other employees within the company, or a

branch administrator in a remote office may be granted the permission to perform specific Exchange Management Shell commands that pertain only to the Exchange server in their

branch office.


Société Générale - Executive committee

1 * Patrick Suet – Corporate Secretary and Group Chief

Compliance Officer


Documentation Standards - Current issues in records management

1 Statutes such as the US Sarbanes-Oxley Act have created new concerns among corporate compliance officers that result in more standardization of

records management practices within an organization


Alternative Dispute Resolution - Salient features

1 That is, some cases and some complaints in fact ought to go to

formal grievance or to court or to the police or to a compliance officer or to

a government IG


Audit committee - Role in oversight of regulatory compliance

1 Audit committees discuss litigation or regulatory compliance risks with

management, generally via briefings or reports from the General Counsel, the top lawyer in the entity. Larger corporations may also have a Chief Compliance Officer or Ethics Officer that report incidents or risks related

to the entity's code of conduct.


Madoff investment scandal

1 Madoff founded the Wall Street firm Bernard L. Madoff Investment Securities LLC in 1960, and was its Chairman until his arrest. He employed

at the firm his brother Peter as Senior Managing Director and Chief Compliance

Officer (Peter has since been sentenced to 10 years in prison), Peter's daughter Shana

Madoff as the firm's rules and compliance officer and attorney, and his sons Andrew and

Mark (Mark committed suicide by hanging exactly two years after his father's arrest).


Madoff investment scandal - Background

1 His younger brother, Peter, was Senior Managing Director and Chief

Compliance Officer, and Peter's daughter, Shana Madoff, was the

compliance attorney


Madoff investment scandal - FINRA

1 As a result, the chairman of the SEC, Christopher Cox, stated that an

investigation will delve into all staff contact and relationships with the Madoff family and firm, and their

impact, if any, on decisions by staff regarding the firm. A former SEC compliance officer, Eric Swanson, married Madoff's niece Shana, a Madoff firm compliance attorney.


Madoff investment scandal - Red flags

1 By selling its holdings for cash at the end of each period, Madoff avoided filing disclosures of its holdings with the SEC, an unusual tactic. Madoff

rejected any call for an outside audit for reasons of secrecy, claiming that was the exclusive responsibility of his brother, Peter, the company's chief

compliance officer.


Madoff investment scandal - Investigation into involvement of others

1 # Peter B. Madoff, 63, Chief Compliance Officer, worked with his

brother Bernie for more than 40 years, and ran the daily operations

for the past 20 years. He helped create the computerized trading

system.


Olympus scandal - Woodford's presidency

1 Woodford says that at a lunch meeting in August with Kikukawa and

Hisashi Mori, Olympus' compliance officer, Kikukawa revealed he

ordered staff not to tell Woodford about the allegations because

Woodford was too busy dealing with other matters


Chief executive - Related positions

1 Common associates include a chief administrative officer (CAO), chief brand officer (CBO), chief business

development officer (CBDO), chief financial officer (CFO), chief operating officer (COO), chief sales officer (CSO), chief marketing officer (CMO), chief information officer (CIO), chief communications officer (CCO), chief legal officer (CLO), chief technology officer (CTO), chief risk

officer (CRO), chief creative officer (CCO), chief compliance officer (CCO), chief audit executive (CAE), chief diversity officer (CDO), or chief human resources officer (CHRO), Chief commercial officer (CCO), Chief

content officer (CCO), Chief information security officer (CISO), Chief accounting officer (CAO), Chief analytics

officer (CAO), and Chief strategy officer (CSO).


Company secretary - India

1 Further, the Securities and Exchange Board of India (SEBI) also recognises

the Company Secretary as the Compliance Officer and authorises practising company secretaries to issue various certificates under its Regulations. Further, practising Company Secretaries are also

authorised to certify compliance of conditions of corporate governance

in case of listed companies.https://store.theartofservice.com/the-compliance-officer-toolkit.html

Corporate executive - C-level titles

1 * Chief Compliance Officer ndash; in charge of regulatory compliance, especially Sarbanes-

Oxley.


IRS Reclassification - Mitigating IRS reclassification risk

1 If the analysis is necessary, a qualified Compliance Officer

attempts to produce an accurate judgment of the workers

classification, and delivers his or her written recommendation to the

employer.


International Traffic in Arms Regulations - Enforcement

1 In most cases, penalties against corporate entities involve a mandatory compliance

component requiring the entity to spend funds on compliance measures, including the

appointment of Internal Special Compliance Officers.http://pmddtc.state.gov/compliance/con

sent_agreements/pdf/LockheedMartinCorp_ConsentAgreement_08.pdf Penalties may also require the party to submit to external audit. In serious cases, a party may be debarred from future exporting for a period

of time.


Canadian Securities Institute - Partner Industry Relationships

1 * Mfda|MFDA (Mutual Fund Dealers’ Association of Canada): Application

requirements for mutual fund salesperson licensing are met by

completing the Canadian Securities Course (CSC) or Investment Funds in

Canada Course (IFIC). Branch Compliance Officer licensing

requirements are met by completing the Branch Compliance Officer’s

Course.https://store.theartofservice.com/the-compliance-officer-toolkit.html

Harry Markopolos - Other statements

1 As a result of the Madoff scandal, the SEC's chairman Christopher Cox

stated that an investigation will delve into all staff contact and relationships with the Madoff family and firm, and their impact, if any, on decisions by staff regarding the firm. A former

SEC compliance officer, Eric Swanson, married Madoff's niece Shana Madoff, a Madoff company

compliance attorney.https://store.theartofservice.com/the-compliance-officer-toolkit.html

Target Corporation - 2013 Security Breach

1 As the fallout of the data breach continues, on March 6, 2014, Target

announces the resignation of its Chief Information Officer and an

overhaul of their information security practices. In a further step to restore

faith in customers, the company advises that it will look externally for

appointments to both the CIO role and a new Chief Compliance Officer

role.https://store.theartofservice.com/the-compliance-officer-toolkit.html

Occupational Health and Safety - United States

1 OSHA develops safety standards in the Code of Federal Regulation and

enforces those safety standards through compliance inspections

conducted by Compliance Officers



1 'C-Suite Shoot-Out: Chief Compliance Officer v


Bradley Birkenfeld - Whistleblowing and arrest

1 He subsequently complained to UBS compliance officers about the bank's

unfair and deceptive business practices. According to Birkenfeld,

when he received no response, three months later he wrote to Peter Kurer, then General Counsel for UBS, about

the illegal practices. After leaving UBS, he became a partner at Union Charter Ltd., where he specialized in

wealth management.https://store.theartofservice.com/the-compliance-officer-toolkit.html

Qui tam - Examples

1 Bell instructed her billing department to “shut down the billing.”

Compliance officers came to Texarkana


Growth Enterprise Market

1 These measures include the appointment of a qualified

accountant to supervise its finance and accounting functions,

designating an executive director as the compliance officer, appointment of 2 independent directors and the

establishment of an audit committee


SEC Office of the Whistleblower - Overview

1 McKessy developed and supervised internal compliance and reporting programs related to the federal

securities laws, served as corporate compliance officer, and coordinated the reporting of potential violations

to boards of directors.


Bruce Weinstein

1 This work often takes the form of interactive keynote addresses,http://www.youtube.com/watch?

v=4cfnJTWpkuo which he has given to such diverse groups as Northrop Grumman, the Eastern Michigan University College of Business, the National Business

Aviation Association,http://www.nbaa.org/events/leadership/2012/agenda/ the Association of Test Publishers, Baldwin-

Wallace College, the American Association of Collegiate Registrars and Admissions Officers, the National

Association of Corporate Directors (New Jersey chapter), compliance officers from the Blue Cross Blue Shield Association, and the Carnegie Council for Ethics in

International Affairs.https://store.theartofservice.com/the-compliance-officer-toolkit.html

Bitcoin ATM - United States

1 In the US, a Bitcoin ATM business is defined as a Money transmitter by the Financial Crimes Enforcement Network (FinCEN). As a Money

Transmitter (a type of Money services business (MSB)), the business must comply with the

rules set out by the Bank Secrecy Act (BSA). Responsibilities include establishing an AML

program, appointing an AML compliance officer, and reporting suspicious activity to FinCEN. An

AML program is a set of business rules that define how a business will comply with the BSA.


Cover your ass - Usage

1 Commuters in the Twin Cities metro area are getting daily reminders of why they need to get tested] In banking, officers tasked with making

sure the bank follows proper regulatory procedures, called Chief compliance officer|compliance officers, may realize that certain

dubious transactions, such as money laundering and terrorist financing, will occur regardless of

any regulatory restrictions;The Economist, [http://economist.com/displaystory.cfm?

story_id=5053373 Financing terrorism: Looking in the wrong places]


Afilias - History

1 Afilias CEO Hal Lubsen hired Ram Mohan as the CTO, Roland LaPlante as the CMO and Steven Pack as the Compliance Officer for the company

in 2001.


Special Agent in Charge - Federal government

1 All other 1800 personnel who conduct investigations (background or otherwise) and who do not have arrest authority are Investigators,

Background Investigators, or Compliance Officers, no matter what

their administrative title may be.


Securities Industry and Financial Markets Association - Board of directors

1 Peter Madoff, brother of fraudster and money manager Bernard L. Madoff, and

chief compliance officer and senior managing director of the Madoff investment

advisor and broker dealer businesses, stepped down from the SIFMA Board of

Directors in December 2008. On June 29, 2012, Peter Madoff pleaded guilty to Conspiracy (criminal)|conspiracy and

falsifying records and agreed to serve 10 years in prison.


USA PATRIOT Act, Title III - Anti Money Laundering programs and strategy

1 Institutions must implement, at a minimum, the development of

internal policies, procedures, and controls; the designation of a

compliance officer; an ongoing employee training program; and an independent audit function to test

programs


Academi - 2010: Academi

1 In May 2011, Academi named Ted Wright as CEO. Wright hired Suzanne Rich Folsom as Academi's chief regulatory and compliance

officer and deputy general counsel. The Academi Regulatory and Compliance team won

the 2012 National Law Journal's Corporate Compliance Office of the Year

Award.[http://www.law.com/jsp/nlj/PubArticleNLJ.jsp?

germane=1202588469424id=1202588420863 Corporate Compliance Category Winner:

ACADEMI LLC | National Law Journal]


Trading room - Organization

1 More recently, a profile of Compliance (regulation)|compliance officer has also appeared; he or she

makes sure the law, notably that relative to market use, and the code

of conduct, are complied with.


Clerk (municipal official) - California

1 The City Clerk acts as a compliance officer for federal, state, and local

statutes including the Political Reform Act, the Brown Act, and the

Public Records Act


Meralco - Syndicated estafa and bribery case

1 The May 29 National Association of Electricity Consumers for Reform (Nasecore) complaint accused Meralco of illegally declaring as income

₱889 million in consumers’ money, which represents interest from meter and bill deposits consumers had been paying since 1995.

[http://www.gmanews.tv/story/115480/DOJ-charges-Meralco-with-syndicated-estafa gmanews.tv, DOJ charges Meralco with syndicated estafa] No bail was recommended for all the accused, 2006 officers of Meralco, to wit: Meralco chairman and CEO Manuel Lopez, executive

vice president and chief financial officer Daniel Tagaza, first Vice-resident and treasurer Rafael Andrada, vice president and corporate auditor and compliance officer Helen De Guzman, vice president and

assistant comptroller Antonio Valera, and senior assistant vice president and assistant treasurer Manolo Fernando; 2006 Meralco

directors Arthur Defensor Jr., Gregory Domingo, Octavio Victor Espiritu, Christian Monsod, Federico Puno, Washington Sycip, Emilio Vicens, Francisco Viray and former Prime Minister of the Philippines|

Prime Minister Cesar Virata.


China Development Bank - Management

1 * 'Chief Compliance Officer' Zhou

Qingyu.


Penn State child sex abuse scandal - NCAA and Big Ten sanctions

1 *Penn State must enter into an athletics integrity agreement with the NCAA and Big Ten, appoint a

university-wide athletic compliance officer and compliance council, and accept an NCAA-appointed athletic integrity monitor for the duration of

its probation.


Jack Ryan (Tom Clancy) - Backstory

1 After three weeks of training at Camp Peary|the Farm, he is assigned to

work as a cover job as analyst and compliance officer for a major Wall Street firm, where he can watch for

suspicious financial transactions that could indicate terrorist activity.


Branndon Stewart - College career

1 Originally, Stewart's transfer from Tennessee was going to cost him two

years of eligibility, but Texas AM's NCAA compliance officer

recommended Stewart appeal for another year of eligibility. The NCAA

granted the request, giving him another year with the Aggies.


Nationwide Building Society - Key people

1 *Julia Dunn - Chief Compliance Officer


Bob Filner - Mayor of San Diego

1 In January 2013, following a meeting between Filner and the San Diego

chapter of Americans for Safe Access, Filner instructed the San Diego Police Department and city code compliance officers to stop enforcing Local ordinance|codes

against Cannabis in California#Medical marijuana|

marijuana dispensaries and stop forwarding cases to the San Diego

City Attorney's Office


Florida Highway Patrol - Divisions

1 Motor Carrier Compliance officers will

be “troopers”


Kenneth I. Starr - Early career and financial problems

1 His involvement or failure to oversee caused some concern because he

was both a Compliance Officer and a lawyer


GMA News Online - Executive management

1 * Eduardo P. Santos (Compliance Officer)


Jack Ryan (film series) - Overview

1 Ten years later, Ryan is working on Wall Street with a cover job as a

compliance officer at a stock brokerage, and as a covert CIA

analyst, where he discovers that certain accounts are inaccessible to him as auditor, which leads him to Viktor Cherevin (Kenneth Branagh)


Koch Industries - Legal issues

1 In 2008, Koch Industries discovered that the French affiliate Koch-Glitsch had violated bribery laws allegedly

securing contracts in Algeria, Egypt, India, Morocco, Nigeria and Saudi Arabia after an investigation by

Ethics Compliance officer, Egorova-Farines


List of University of Michigan law and government alumni - Other

1 * Shana Madoff, compliance officer and attorney at securities firm of Ponzi schemer

Bernard Madoff


Bernie Madoff

1 He employed at the firm his brother Peter Madoff|Peter, as Senior Managing Director and Chief

Compliance Officer; Peter's daughter Shana Madoff, as the firm's rules and compliance officer and attorney; and

his sons Andrew and Mark


Peter Fincham - ITV (2008–present)

1 The song, called Woody Allen Jesus, had already been approved by Ross's producer and ITV's legal compliance

officers


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