• Compliance Officer https://store.theartofservice.com/the-compliance-officer-toolkit.html

Chief executive officer Related positions
1
Common associates include a chief business development officer (CBDO), chief financial officer (CFO), chief operating officer (COO), chief marketing officer (CMO), chief information officer (CIO), chief communications officer (CCO), chief legal officer (CLO), chief technology officer (CTO), chief risk officer (CRO), chief creative officer
(CCO), chief compliance officer (CCO), chief audit executive (CAE), chief diversity officer
(CDO), or chief human resources officer
(CHRO).
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Chief governance officer
1
Risk managers, compliance officers and business performance managers often need to manage change in order to achieve their objectives https://store.theartofservice.com/the-compliance-officer-toolkit.html

Chief governance officer
1
Jump up ^ Capobianco, JH.(2010). 'C-
Suite Shoot-Out: Chief Compliance Officer v. Chief Governance Officer.' https://store.theartofservice.com/the-compliance-officer-toolkit.html

Governance, risk management, and compliance GRC market segmentation
1
Legal GRC focuses on tying together all three components via an organization's legal department and chief compliance officer.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Industrial and organizational psychology - Innovation
1
For example, an Operation Manager analyzing a reporting issue and developing an innovative solution would consider the perspective of a sales person, assistant, finance, compensation, and compliance officer.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Records management - Current issues in records management
1
Statutes such as the US Sarbanes-Oxley
Act have created new concerns among corporate "compliance officers" that result in more standardization of records management practices within an organization https://store.theartofservice.com/the-compliance-officer-toolkit.html

Microsoft Exchange Server -
1
For example, a compliance officer may be given the ability to perform cross mailbox discovery searches within Outlook Web App; a help desk technician may be granted the ability to set an Out Of Office message for other employees within the company, or a branch administrator in a remote office may be granted the permission to perform specific
Exchange Management Shell commands that pertain only to the Exchange server in their branch office.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

University of Texas System - Officials
1
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Business ethics - Ethics officers
1
In 1991, the [ http://www.theecoa.org
Ethics Compliance Officer Association]
(ECOA) —originally the Ethics Officer
Association (EOA) —was founded at the [ http://www.bentley.edu/cbe Center for
Business Ethics] (at Bentley College,
Waltham, MA) as a professional association for those responsible for managing organizations' efforts to achieve ethical best practices https://store.theartofservice.com/the-compliance-officer-toolkit.html

Business ethics - Ethics officers
1
Another critical factor in the decisions of companies to appoint ethics/compliance officers was the passing of the Federal
Sentencing Guidelines for Organizations in
1991, which set standards that organizations
(large or small, commercial and noncommercial) had to follow to obtain a reduction in sentence if they should be convicted of a federal offense. Although intended to assist judges with sentencing, the influence in helping to establish best practices has been far-reaching.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Mass surveillance in the United States - Uses of intercepted data
1
Employees of the NSA spied on love interests using surveillance technology of the agency, according to the NSA Chief
Compliance Officer John DeLong.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Organizational psychology - Innovation
1
For example, an Operation Manager analyzing a reporting issue and developing an innovative solution would consider the perspective of a sales person, assistant, finance, compensation, and compliance officer.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Bank regulation - Corporate governance
1
# To have an organisational structure that includes various offices and officers, e.g. corporate secretary, treasurer/CFO, auditor, Asset Liability Management
Committee, Privacy Officer, Compliance
Officer etc. Also the officers for those offices may need to be approved persons, or from an approved class of persons.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Money laundering - Bangladesh
1
* If any suspicious transaction is noticed, the Branch Anti Money Laundering
Compliance Officer (BAMLCO) must be notified and accordingly the Suspicious
Transaction Report (STR) must be filled out.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Bernard Madoff
1
He employed at the firm his brother Peter, as Senior Managing Director and Chief
Compliance Officer; Peter's daughter
Shana Madoff, as the firm's rules and compliance officer and attorney; and his sons Andrew and Mark https://store.theartofservice.com/the-compliance-officer-toolkit.html

Bernard Madoff - Personal life
1
His younger brother, Peter, an attorney, was Senior Managing Director and Chief
Compliance Officer, and Peter's daughter,
Shana Madoff, also an attorney, was the compliance attorney https://store.theartofservice.com/the-compliance-officer-toolkit.html

Occupational hygiene - Examples of occupational hygiene careers
1
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Chief compliance officer
1
The 'chief compliance officer' ('CCO') of a company is the officer primarily responsible for overseeing and managing regulatory compliance issues within an organization. The CCO typically reports to the Chief Executive Officer or Chief
Operations Officer. https://store.theartofservice.com/the-compliance-officer-toolkit.html

Corporate title - C-level titles
1
* Chief Compliance Officer - in charge of regulatory compliance, especially Sarbanes-Oxley.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Chief risk officer
1
A main priority for the CRO is to ensure that the organisation is in full compliance with applicable regulations (chief compliance officer). They may also deal with topics regarding insurance, internal auditing, corporate investigations, fraud, and information security. CRO's typically have post-graduate education and 20+ years of business experience, with actuarial, accounting, economics, and legal backgrounds common.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Suspicious activity report - SAR filing options
1
: Usually contains the contact information for the financial institution's compliance officer or equivalent.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Hedge funds - United States
1
They are required to have written compliance policies, a chief compliance officer and their records and practices may be examined by the SEC.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Managing Director - Related positions
1
Common associates include a chief administrative officer (CAO), chief brand officer (CBO), chief business development officer (CBDO), chief financial officer (CFO), chief operating officer (COO), chief marketing officer (CMO), chief information officer
(CIO), chief communications officer (CCO), chief legal officer (CLO), chief technology officer (CTO), chief risk officer (CRO), chief creative officer (CCO), chief compliance officer (CCO), chief audit executive (CAE), chief diversity officer (CDO), or chief human resources officer (CHRO), Chief commercial officer (CCO), Chief content officer (CCO ), Chief information security officer (CISO), Chief accounting officer (CAO), Chief analytics officer (CAO), and Chief strategy officer
(CSO).
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Independent Parliamentary Standards Authority - Consultation
1
In June 2010 IPSA launched three further consultations, on amendments to the expenses scheme; proposals on publication; and on the compliance officer's processes.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Exchange Server - New features
1
For example, a compliance officer may be given the ability to perform cross mailbox discovery searches within Outlook Web App; a help desk technician may be granted the ability to set an Out Of Office message for other employees within the company, or a branch administrator in a remote office may be granted the permission to perform specific
Exchange Management Shell commands that pertain only to the Exchange server in their branch office.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Société Générale - Executive committee
1
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Documentation Standards - Current issues in records management
1
Statutes such as the US Sarbanes-Oxley
Act have created new concerns among corporate compliance officers that result in more standardization of records management practices within an organization https://store.theartofservice.com/the-compliance-officer-toolkit.html

Alternative Dispute Resolution - Salient features
1
That is, some cases and some complaints in fact ought to go to formal grievance or to court or to the police or to a compliance officer or to a government IG https://store.theartofservice.com/the-compliance-officer-toolkit.html

Audit committee - Role in oversight of regulatory compliance
1
Audit committees discuss litigation or regulatory compliance risks with management, generally via briefings or reports from the General Counsel, the top lawyer in the entity. Larger corporations may also have a Chief Compliance Officer or Ethics Officer that report incidents or risks related to the entity's code of conduct.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Madoff investment scandal
1
Madoff founded the Wall Street firm Bernard
L. Madoff Investment Securities LLC in 1960, and was its Chairman until his arrest. He employed at the firm his brother Peter as
Senior Managing Director and Chief
Compliance Officer (Peter has since been sentenced to 10 years in prison), Peter's daughter Shana Madoff as the firm's rules and compliance officer and attorney, and his sons Andrew and Mark (Mark committed suicide by hanging exactly two years after his father's arrest).
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Madoff investment scandal - Background
1
His younger brother, Peter, was Senior
Managing Director and Chief Compliance
Officer, and Peter's daughter, Shana
Madoff, was the compliance attorney https://store.theartofservice.com/the-compliance-officer-toolkit.html

Madoff investment scandal - FINRA
1
As a result, the chairman of the SEC,
Christopher Cox, stated that an investigation will delve into all staff contact and relationships with the Madoff family and firm, and their impact, if any, on decisions by staff regarding the firm. A former SEC compliance officer, Eric
Swanson, married Madoff's niece Shana, a Madoff firm compliance attorney.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Madoff investment scandal - Red flags
1
By selling its holdings for cash at the end of each period, Madoff avoided filing disclosures of its holdings with the SEC, an unusual tactic. Madoff rejected any call for an outside audit for reasons of secrecy, claiming that was the exclusive responsibility of his brother, Peter, the company's chief compliance officer.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Madoff investment scandal - Investigation into involvement of others
1
# Peter B. Madoff, 63, Chief Compliance
Officer, worked with his brother Bernie for more than 40 years, and ran the daily operations for the past 20 years. He helped create the computerized trading system.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Olympus scandal - Woodford's presidency
1
Woodford says that at a lunch meeting in
August with Kikukawa and Hisashi Mori,
Olympus' compliance officer, Kikukawa revealed he ordered staff not to tell
Woodford about the allegations because
Woodford was too busy dealing with other matters https://store.theartofservice.com/the-compliance-officer-toolkit.html

Chief executive - Related positions
1
Common associates include a chief administrative officer (CAO), chief brand officer (CBO), chief business development officer (CBDO), chief financial officer (CFO), chief operating officer (COO), chief sales officer (CSO), chief marketing officer (CMO), chief information officer (CIO), chief communications officer (CCO), chief legal officer (CLO), chief technology officer (CTO), chief risk officer (CRO), chief creative officer (CCO), chief compliance officer (CCO), chief audit executive (CAE), chief diversity officer
(CDO), or chief human resources officer (CHRO),
Chief commercial officer (CCO), Chief content officer
(CCO), Chief information security officer (CISO), Chief accounting officer (CAO), Chief analytics officer
(CAO), and Chief strategy officer (CSO).
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Company secretary - India
1
Further, the Securities and Exchange
Board of India (SEBI) also recognises the
Company Secretary as the Compliance
Officer and authorises practising company secretaries to issue various certificates under its Regulations. Further, practising
Company Secretaries are also authorised to certify compliance of conditions of corporate governance in case of listed companies.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Corporate executive - C-level titles
1
* Chief Compliance Officer ndash; in charge of regulatory compliance, especially Sarbanes-Oxley.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

IRS Reclassification - Mitigating IRS reclassification risk
1
If the analysis is necessary, a qualified
Compliance Officer attempts to produce an accurate judgment of the workers classification, and delivers his or her written recommendation to the employer.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

International Traffic in Arms Regulations - Enforcement
1
In most cases, penalties against corporate entities involve a mandatory compliance component requiring the entity to spend funds on compliance measures, including the appointment of Internal Special Compliance
Officers.http://pmddtc.state.gov/compliance/c onsent_agreements/pdf/LockheedMartinCorp
_ConsentAgreement_08.pdf Penalties may also require the party to submit to external audit. In serious cases, a party may be debarred from future exporting for a period of time.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Canadian Securities Institute - Partner Industry Relationships
1
* Mfda|MFDA (Mutual Fund Dealers’
Association of Canada): Application requirements for mutual fund salesperson licensing are met by completing the
Canadian Securities Course (CSC) or
Investment Funds in Canada Course
(IFIC). Branch Compliance Officer licensing requirements are met by completing the Branch Compliance
Officer’s Course.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Harry Markopolos - Other statements
1
As a result of the Madoff scandal, the
SEC's chairman Christopher Cox stated that an investigation will delve into all staff contact and relationships with the Madoff family and firm, and their impact, if any, on decisions by staff regarding the firm. A former SEC compliance officer, Eric
Swanson, married Madoff's niece Shana
Madoff, a Madoff company compliance attorney.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Target Corporation - 2013 Security Breach
1
As the fallout of the data breach continues, on March 6, 2014, Target announces the resignation of its Chief Information Officer and an overhaul of their information security practices. In a further step to restore faith in customers, the company advises that it will look externally for appointments to both the CIO role and a new Chief Compliance Officer role.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Occupational Health and Safety - United States
1
OSHA develops safety standards in the
Code of Federal Regulation and enforces those safety standards through compliance inspections conducted by
Compliance Officers https://store.theartofservice.com/the-compliance-officer-toolkit.html

Chief governance officer
1
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Bradley Birkenfeld - Whistleblowing and arrest
1
He subsequently complained to UBS compliance officers about the bank's unfair and deceptive business practices.
According to Birkenfeld, when he received no response, three months later he wrote to Peter Kurer, then General Counsel for
UBS, about the illegal practices. After leaving UBS, he became a partner at
Union Charter Ltd., where he specialized in wealth management.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Qui tam - Examples
1
Bell instructed her billing department to
“shut down the billing.” Compliance officers came to Texarkana https://store.theartofservice.com/the-compliance-officer-toolkit.html

Growth Enterprise Market
1
These measures include the appointment of a qualified accountant to supervise its finance and accounting functions, designating an executive director as the compliance officer, appointment of 2 independent directors and the establishment of an audit committee https://store.theartofservice.com/the-compliance-officer-toolkit.html

SEC Office of the Whistleblower - Overview
1
McKessy developed and supervised internal compliance and reporting programs related to the federal securities laws, served as corporate compliance officer, and coordinated the reporting of potential violations to boards of directors.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Bruce Weinstein
1
This work often takes the form of interactive keynote addresses,http://www.youtube.com/watch?v=4cfnJ
TWpkuo which he has given to such diverse groups as Northrop Grumman, the Eastern
Michigan University College of Business, the
National Business Aviation
Association,http://www.nbaa.org/events/leadership
/2012/agenda/ the Association of Test Publishers,
Baldwin-Wallace College, the American
Association of Collegiate Registrars and
Admissions Officers, the National Association of
Corporate Directors (New Jersey chapter), compliance officers from the Blue Cross Blue
Shield Association, and the Carnegie Council for https://store.theartofservice.com/the-compliance-officer-toolkit.html
Ethics in International Affairs.

Bitcoin ATM - United States
1
In the US, a Bitcoin ATM business is defined as a Money transmitter by the Financial
Crimes Enforcement Network (FinCEN). As a
Money Transmitter (a type of Money services business (MSB)), the business must comply with the rules set out by the Bank Secrecy
Act (BSA). Responsibilities include establishing an AML program, appointing an
AML compliance officer, and reporting suspicious activity to FinCEN. An AML program is a set of business rules that define how a business will comply with the BSA.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Cover your ass - Usage
1
Commuters in the Twin Cities metro area are getting daily reminders of why they need to get tested] In banking, officers tasked with making sure the bank follows proper regulatory procedures, called Chief compliance officer|compliance officers, may realize that certain dubious transactions, such as money laundering and terrorist financing, will occur regardless of any regulatory restrictions;The Economist,
[http://economist.com/displaystory.cfm?story_
id=5053373 Financing terrorism: Looking in the wrong places] https://store.theartofservice.com/the-compliance-officer-toolkit.html

Afilias - History
1
Afilias CEO Hal Lubsen hired Ram Mohan as the CTO, Roland LaPlante as the CMO and Steven Pack as the Compliance
Officer for the company in 2001.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Special Agent in Charge - Federal government
1
All other 1800 personnel who conduct investigations (background or otherwise) and who do not have arrest authority are
Investigators, Background Investigators, or
Compliance Officers, no matter what their administrative title may be.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Securities Industry and Financial Markets Association - Board of directors
1
Peter Madoff, brother of fraudster and money manager Bernard L. Madoff, and chief compliance officer and senior managing director of the Madoff investment advisor and broker dealer businesses, stepped down from the
SIFMA Board of Directors in December
2008. On June 29, 2012, Peter Madoff pleaded guilty to Conspiracy
(criminal)|conspiracy and falsifying records and agreed to serve 10 years in prison.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

USA PATRIOT Act, Title III - Anti Money Laundering programs and strategy
1
Institutions must implement, at a minimum, the development of internal policies, procedures, and controls; the designation of a compliance officer; an ongoing employee training program; and an independent audit function to test programs https://store.theartofservice.com/the-compliance-officer-toolkit.html

Academi - 2010: Academi
1
In May 2011, Academi named Ted Wright as
CEO. Wright hired Suzanne Rich Folsom as
Academi's chief regulatory and compliance officer and deputy general counsel. The
Academi Regulatory and Compliance team won the 2012 National Law Journal's
Corporate Compliance Office of the Year
Award.[http://www.law.com/jsp/nlj/PubArticle
NLJ.jsp?germane=1202588469424id=12025
88420863 Corporate Compliance Category
Winner: ACADEMI LLC | National Law
Journal] https://store.theartofservice.com/the-compliance-officer-toolkit.html

Trading room - Organization
1
More recently, a profile of Compliance
(regulation)|compliance officer has also appeared; he or she makes sure the law, notably that relative to market use, and the code of conduct, are complied with.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Clerk (municipal official) - California
1
The City Clerk acts as a compliance officer for federal, state, and local statutes including the Political Reform Act, the
Brown Act, and the Public Records Act https://store.theartofservice.com/the-compliance-officer-toolkit.html

Meralco - Syndicated estafa and bribery case
1
The May 29 National Association of Electricity Consumers for
Reform (Nasecore) complaint accused Meralco of illegally declaring as income ₱889 million in consumers’ money, which represents interest from meter and bill deposits consumers had been paying since 1995.[http://www.gmanews.tv/story/115480/DOJ-charges-
Meralco-with-syndicated-estafa gmanews.tv, DOJ charges Meralco with syndicated estafa] No bail was recommended for all the accused, 2006 officers of Meralco, to wit: Meralco chairman and
CEO Manuel Lopez, executive vice president and chief financial officer Daniel Tagaza, first Vice-resident and treasurer Rafael
Andrada, vice president and corporate auditor and compliance officer Helen De Guzman, vice president and assistant comptroller
Antonio Valera, and senior assistant vice president and assistant treasurer Manolo Fernando; 2006 Meralco directors Arthur Defensor
Jr., Gregory Domingo, Octavio Victor Espiritu, Christian Monsod,
Federico Puno, Washington Sycip, Emilio Vicens, Francisco Viray and former Prime Minister of the Philippines|Prime Minister Cesar
Virata.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

China Development Bank - Management
1
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Penn State child sex abuse scandal - NCAA and Big Ten sanctions
1
*Penn State must enter into an athletics integrity agreement with the NCAA and Big
Ten, appoint a university-wide athletic compliance officer and compliance council, and accept an NCAA-appointed athletic integrity monitor for the duration of its probation.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Jack Ryan (Tom Clancy) - Backstory
1
After three weeks of training at Camp
Peary|the Farm, he is assigned to work as a cover job as analyst and compliance officer for a major Wall Street firm, where he can watch for suspicious financial transactions that could indicate terrorist activity.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Branndon Stewart - College career
1
Originally, Stewart's transfer from
Tennessee was going to cost him two years of eligibility, but Texas AM's NCAA compliance officer recommended Stewart appeal for another year of eligibility. The
NCAA granted the request, giving him another year with the Aggies.
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Nationwide Building Society - Key people
1
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Bob Filner - Mayor of San Diego
1
In January 2013, following a meeting between Filner and the San Diego chapter of Americans for Safe Access, Filner instructed the San Diego Police
Department and city code compliance officers to stop enforcing Local ordinance|codes against Cannabis in
California#Medical marijuana|marijuana dispensaries and stop forwarding cases to the San Diego City Attorney's Office https://store.theartofservice.com/the-compliance-officer-toolkit.html

Florida Highway Patrol - Divisions
1
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Kenneth I. Starr - Early career and financial problems
1
His involvement or failure to oversee caused some concern because he was both a Compliance Officer and a lawyer https://store.theartofservice.com/the-compliance-officer-toolkit.html

GMA News Online - Executive management
1
https://store.theartofservice.com/the-compliance-officer-toolkit.html

Jack Ryan (film series) - Overview
1
Ten years later, Ryan is working on Wall
Street with a cover job as a compliance officer at a stock brokerage, and as a covert CIA analyst, where he discovers that certain accounts are inaccessible to him as auditor, which leads him to Viktor
Cherevin (Kenneth Branagh) https://store.theartofservice.com/the-compliance-officer-toolkit.html

Koch Industries - Legal issues
1
In 2008, Koch Industries discovered that the French affiliate Koch-Glitsch had violated bribery laws allegedly securing contracts in Algeria, Egypt, India, Morocco,
Nigeria and Saudi Arabia after an investigation by Ethics Compliance officer,
Egorova-Farines https://store.theartofservice.com/the-compliance-officer-toolkit.html

List of University of Michigan law and government alumni - Other
1
* Shana Madoff, compliance officer and attorney at securities firm of Ponzi schemer Bernard Madoff https://store.theartofservice.com/the-compliance-officer-toolkit.html

Bernie Madoff
1
He employed at the firm his brother Peter
Madoff|Peter, as Senior Managing Director and Chief Compliance Officer; Peter's daughter Shana Madoff, as the firm's rules and compliance officer and attorney; and his sons Andrew and Mark https://store.theartofservice.com/the-compliance-officer-toolkit.html

Peter Fincham - ITV (2008 –present)
1
The song, called Woody Allen Jesus, had already been approved by Ross's producer and ITV's legal compliance officers https://store.theartofservice.com/the-compliance-officer-toolkit.html

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