All CCOs articles
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ArticleFive challenges for European CCOs heading into 2021
Many of the problems European compliance officers faced in 2020 will remain in place going into the new year, but new risks and new regulations will also present new challenges.
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PremiumCCO compensation data reveals big strides for women
Bucking the trend: Survey shows women more likely to hold top compliance roles, have a law degree, and make a bit more money than men.
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PremiumHealthcare: Data backs theory women have clearer path to CCO role
The trend of few female leaders within the sector seems to be shifting, at least when it comes to the chief compliance officer position.
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PremiumHiring manager: CCOs are in demand, seeing salary bumps
A managing director at an executive search firm that specializes in compliance hires has some advice—and a bit of good news—if you’re looking for a job as a CCO.
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Article
10 tips for boosting CCO face time with the board
Effective communication with the board is essential for a chief compliance officer. Here are 10 ways to make your time at the table as productive as possible.
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Blog
Compliance lessons from hurricanes
Recent natural disasters underscore the importance of being prepared, and of practicing crisis response. Compliance officers must do the same for their own hurricane-level crises.
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Blog
Here come the good guys
The modern compliance profession has labored in the shadows for a decade or more, but now it’s finally getting the recognition it deserves with Compliance Officers Day. More from Bill Coffin.
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Blog
Study: technology key to CCOs keeping a ‘seat at the table’
The ability of financial institutions’ compliance functions to manage risk is challenged on multiple fronts, including rising expectations that they play a stronger, more strategic role in front-office processes, the increased volume and complexity of regulations, and a lagging data and technology architecture, according to a new study by Accenture. ...
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Blog
No matter who wins the Presidential race in November, compliance officers might lose
After watching the most recent Democrat and Republican Presidential debates, one begins to wonder what the next President will seek to achieve on various regulatory fronts. Between candidates’ promises to regulate more strongly, or to deregulate entirely, it looks like no matter who wins in November, compliance officers are poised ...
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Blog
Ceresney: SEC Takes ‘Careful, Measured Approach’ to CCO Liability
Image: Many compliance officers are on edge these days amid regulatory actions that underscore their risk of personal liability. Once again, Andrew Ceresney, director of the SEC’s Division of Enforcement, is trying to soothe some of that angst. He recently told an audience of CCOs, “There has been no change ...
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Blog
Aguilar on CCO Liability Fears: Untwist Your Knickers!
Image: SEC Commissioner Luis Aguilar has jumped into the conversation about CCO liability, rebutting “unwarranted fear in the CCO community” that the SEC is looking to take enforcement action against compliance officers at investment advisory firms. “CCOs that faithfully and reasonably fulfill [SEC requirements] are not going to be subjects ...