I never planned to become a Compliance Officer. My path began in banking, shifted into risk management, and eventually brought me to compliance. What convinced me to stay was the realization that my ...

While there's no legal imperative for a dealership to hire a compliance officer, dealers who don't dedicate an employee to monitor compliance are more vulnerable to customer complaints and legal ...

Compliance officers do not have easy jobs. They’ve got to navigate ever-changing regulations, follow trends in their own industry and other parts of the world, while also managing the internal culture ...

Many compliance officers live in hope that if they ramp up their persuasive skills, engage employees with spectacular training presentations, and provide succinct and prompt advice, they will receive ...

Starting as a new Chief Compliance Officer is like being handed the keys to a complex machine that's already running at full speed - but possibly in the wrong direction. You need to understand how ...

In 2016, FINRA decided to take a closer look at how firms integrate compliance into their culture. Although this focus didn’t make it into the 2017 exam priorities letter, it stands to reason that ...