Now in its seventh year, Compliance Week’s Inside the Mind (ITM) of the CCO survey found AI governance is the top concern for compliance officers, that salaries are rising, the gender pay gap is persistent, and that the most common reporting line for CCOs in 2025 was to legal/general counsel. This briefing sums up the […]
Aaron Nicodemus
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass.
Email: aaron.nicodemus@complianceweek.com
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Posted inWhistleblowers
Whistleblower accuses Mayo Clinic of compromising patient care, privacy with AI tool misuse
A former executive at Mayo Clinic has accused the organization of using AI tools that compromised patient privacy, manipulated data, and blew past institutional review protocols.
Posted inRegulatory Enforcement
SEC targets RIA’s failure to deduct broker-dealer compensation from client advisory fees
The Securities and Exchange Commission (SEC) has highlighted a compliance failure in a New York registered investment adviser’s handling of client advisory fees that its affiliated broker-dealer received from third-party private fund managers. From 2019 to January 2022, Papamarkou Wellner Asset Management, a New York registered investment adviser with $358 million in assets under management, […]
Posted inWhistleblowers
What does retaliation look like? Compliance officers, whistleblowers describe their experiences
Retaliation against whistleblowers is often thought to be a series of noticeable events. It starts with turning a previously positive workplace into a hostile one. Isolation is used like a weapon. Work assignments change dramatically.
Posted inRegulatory Policy
By creating a new AI and exams position, SEC may be ramping up Marketing Rule enforcement
The SEC has created a new position on AI and examinations for broker-dealers and investment advisers. The move should signal to regulated entities that the SEC may begin applying more sophisticated AI tools to scour advertisements made by firms for false or misleading claims
Posted inSurveys & Benchmarking
CCOs more likely to report to general counsel than any other executive, ITM survey finds
CCOs are more likely to report to the general counsel or legal department within their organization than to any other executive or governing body, according to the 2025 Inside the Mind of the CCO survey.
Posted inSurveys & Benchmarking
Does the compliance function influence business strategy in your organization? Two in every three compliance officers say yes.
Two of every three respondents to the Inside the Mind of the CCO survey reported that the compliance function influences business strategy within their organization.
Posted inWhistleblowers
Exclusive: Former Docusign executive sues company for whistleblower retaliation
A former Docusign executive alleged in a federal whistleblower lawsuit that the software company constructively discharged her after she blew the whistle on the company’s mishandling of sensitive data for customers, including Bank of America and Wells Fargo.
Posted inArtificial Intelligence
AI use cases in compliance: Real-world examples
AI is top of mind in compliance. CCOs and their teams are being asked to apply AI tools to compliance use cases in order to reduce manual processes, reduce costs, and reduce (or, in best cases, reallocate) headcount.
Posted inExcellence in Compliance Awards
Iberdrola wins 2026 Compliance Program of the Year
Over the past six years, Iberdrola–Europe’s largest electricity company–digitized the company’s compliance processes for its global footprint in 20 countries.
