Rôle du Chief Compliance Officer

posted by: ORY Jean Philippe
Mis à jour : 03 avril 2019

Une présentation intéressante sur les enjeux liés au rôle du Chief Compliance Officer (Thomson Reuters et Complinet).

It’s the role of a Chief Compliance Officer to oversee all company policies, procedures, products and services to make sure they are compliant with regulatory requirements. In recent years, numerous compliance officers at large firms have been fined, banned, suspended, or asked to leave, and face an increasingly complex regulatory environment (there was a regulatory alert every 15 minutes in 2015).

Rising liability has put increased emphasis on senior individuals’ ability to identify, manage and mitigate their own personal regulatory risks, with compliance officers feeling themselves to be particularly vulnerable.

In an interview with Corporate Compliance Insights CEO Maurice Gilbert, Stacey English, head of Regulatory Intelligence, Thomson Reuters, discussed mitigating personal reliability risk, and the future of the compliance profession.