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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Securities and Exchange Commission Chairwoman Mary Jo White assured compliance officers Tuesday that if they act "within the law" they should not fear enforcement action.
Merck on Friday announced it has appointed Michael Holston as its new chief ethics and compliance officer.
"Customers such as risk and credit managers, compliance officers, banks, investment firms and insurance companies can gain increased insight when making decisions with securities investments about the inherent risks, cross-ownership and other regulatory issues facing their business."
"In 1998, we re-examined core processes in our business and asked, 'Are we doing the right things?' and 'What are the best practices?' "said Jeffrey Cooper, the company's vice president, chief compliance officer and chief privacy officer.
Bank of the West has announced the appointment of Tracy Brock as the Bank's Chief Compliance Officer (CCO), responsible for developing the strategic plan for monitoring of effective businesses operations, including all Compliance Risk Management programs, the company said.
Earlier in her career, Johanson served as chief compliance officer for ACORD, the organization that sets industry standards, and spent 15 years at Travelers in roles of increasing responsibility.
Jobes served as global chief compliance officer and Legal Counsel at Spark Therapeutics, Inc., where she was responsible for building a corporate compliance program supporting the launch of the first-approved gene therapy in the U.S.
KEPRO, a United States-based CMS-designated quality improvement and care management organisation, has named Melissa Leigh as its new general counsel & chief compliance officer, it was reported yesterday.
On the upside, however, an efficient and independent compliance officer would be more advantageous and beneficial to the corporation because, aside from providing protection, he can instill a culture of compliance within the organization, thereby enhancing shareholder value.
As chief compliance officer, Pawloski will lead Assurant's global compliance team and have responsibility for the company's global corporate and regulatory compliance programs.
As Compliance Officer at Amory Federal Savings & Loan Association, 27-year-old Wesley Bost oversees the day to day operations from a regulatory standpoint.

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