compliance officer


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compliance officer

n
(Law) a specialist, usually a lawyer, 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
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He has completed the Mississippi School of Banking sponsored by the Mississippi Bankers Association as well as the ICBA Compliance Institute which recognizes him as a Certified Community Bank Compliance Officer.
Internet services company VEON Ltd (NASDAQ:VEON)(Euronext Amsterdam:VEON) disclosed on Wednesday the election of Josh Drew as its group chief compliance officer.
Trigili is a seasoned compliance officer with over 25 years of experience in the industry.
PA) (LSE: BNP) (OTC: BNPQY), has said that it has appointed Karin Lockovitch as its new chief compliance officer.
Albino will be based in Tampa and report to Daniel Wright, NPH chief compliance officer.
Prior to working at VimpelCom, Chapman served at Cameron International, where he was the vice president, chief ethics and compliance officer.
There should be a sign-in sheet, which should be retained by the chief compliance officer as part of the firms compliance records.
The new senior vice president, chief compliance officer and deputy general counsel serves as senior vice president, chief compliance officer, corporate secretary and general counsel for subsidiary Georgia Power.
Compliance officers are feeling particularly vulnerable, according to the Thomson Reuters Personal Liability Report, which finds the near-universal view that personal liability in financial services is increasing.
If you do not have a centralized compliance officer with accountability, authority and responsibility for all compliance issues what happened at VW will continue to happen," Snell adds.
Previously, he served as vice president and chief compliance officer at Dendreon Corp.

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