compliance officer

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Related to compliance officers: Chief Compliance Officer

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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Available digitally on Cheetah, Wolters Kluwers acclaimed online research platform, this resource is a timely guide written to help compliance officers, attorneys and business personnel understand their compliance responsibilities, as well as draft and review their policies and procedures annually.
Compliance officers need to know they're working with a multiple sources of information that gives them the most complete, accurate picture at any given moment.
In the corporate world, such role is resembled by that of compliance officers who are similarly tasked to protect their corporations by seeing to it that transactions are regular and compliant with laws, rules and regulations, and internal policies.
Incline Village, NV, January 21, 2018 --(PR.com)-- NominoData has released a new version of One Click Compliance designed for credit union due diligence and compliance officers for credit unions of all sizes.
This is to complement our ongoing recruitment for additional labor laws compliance officers,' Maglungsod said.
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.
More important, 49% of compliance officers report that they've taken action against an employee in the past 12 months for failing to follow his or her firm's code of ethics, and 11% of those actions resulted in termination.
The laws subjecting compliance officers to individual liability are not new.
Risk and compliance officers in Singapore and Hong Kong have reportedly received raises that are twice that of their counterparts in New York and London, reports Bloomberg.
The WVSMA, through our partnership with PMI, has credentialed 19 Certified Medical Compliance Officers, which is 10% of the current national total.
According to David Keendjele, SSC's Acting Executive Officer, in August last year, the Board of Commissioners approved the Compliance Policy for the Social Security Commission which serves to strengthen the role of Compliance Officers in the Commission.
One purpose of the annual survey, which was conducted in early 2012 and directed to senior-level compliance officers at U.S.

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