All Compliance Officer articles
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News BriefN.Y. compliance officer charged for embezzling $200K from employer
A New York-based chief counsel and compliance officer was charged for embezzling more than $200,000 from the consulting firm he worked for, the Manhattan District Attorney’s Office announced.
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Blog
Ware & Kay Solicitors appoints risk, compliance officer
Law firm Ware & Kay Solicitors announced the appointment of James Withers as risk and compliance officer.
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PremiumQ&A: FlightHub compliance officer on shift to culture of compliance
Sona Bedrossian, FlightHub Group’s general counsel and compliance officer, explains to Compliance Week how the online travel agency embeds compliance into its technology.
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Article
Scottish FA names compliance officer
The Scottish Football Association announced the appointment of Martin Black as compliance officer.
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ArticleNBC plans sitcom featuring Jon Cryer as compliance officer
A new sitcom picked up by NBC for the next broadcast season will feature Jon Cryer of “Two and a Half Men” fame as Jim, a “sarcastic but good natured compliance officer who has little conflict in his life and lots of warmth and laughter.”
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ArticleUpheld ruling in Commerzbank compliance officer suit imparts discrimination lessons
A recent ruling against Commerzbank in a case brought by a compliance officer serves as reminder employers should not make “stereotypical” assumptions about what tasks pregnant female staff or those returning from maternity leave can perform, legal experts said.
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ArticleCompensation or compromise? The risks of compliance bonuses
Financial crime expert Martin Woods assesses whether incentivizing compliance officers with bonuses may undermine the importance of performing the job with integrity and credibility.
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PremiumFive ways the pandemic has changed compliance—perhaps permanently
It’s a good thing you’re all experts in partnering for change, as more than 3 in 4 of you think COVID-19 will have a permanent impact on some compliance functions.
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ArticleDeutsche Bank rightly paying the price for looking the other way on Epstein
In terms of Know Your Customer, Deutsche Bank knew what it had with Jeffrey Epstein. It just didn’t care enough to do anything about it.
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ArticleAsk Amii mailbag: What to do when back-to-work guidance falls to you
Executive coach Amii-Barnard Bahn offers some tips for when your compliance title morphs into “Chief Public Health Officer,” plus ways to highlight the compliance function at your company and more.
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Article
Nasdaq has a new chief legal officer
Nasdaq has named John Zecca as executive vice president and chief legal officer, responsible for managing Nasdaq’s regulatory oversight, legal counsel, and compliance across the company’s global businesses.
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ArticleCCO salary benchmark reports
A newly released benchmark report from BarkerGilmore shows compliance annual salary trends by industry, education, and more.
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Article
UBS compliance officer convicted of insider trading
A London Southwark Crown Court jury on June 27 convicted two individuals—a senior compliance officer of UBS and a day trader of financial securities—and sentenced them to three years’ imprisonment for insider trading.
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Blog
Fiat Chrysler Automobiles names compliance officer
Fiat Chrysler Automobiles recently announced several key changes to its leadership team, effective immediately, including the appointment of a new compliance officer.
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Blog
Argent Trust names chief compliance officer
Argent Trust Company has named Deanna Rankin chief compliance officer.
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Blog
Sharecare appoints compliance officer
Sharecare, a digital health company, has named Ami Patel as chief legal and compliance officer. Patel is responsible for the legal affairs of the entire company globally.
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Blog
Financial Conduct Authority fines compliance officer for pension transfer failings
The U.K. Financial Conduct Authority fined a compliance oversight officer £75,000 for failing to exercise due skill, care, and diligence concerning pension transfer failings.
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Blog
Admiral Markets names compliance officer
Admiral Markets UK has appointed Simon Roberts as the its new general manager, and Stephen Ayme has been added to the management board team and will be leading the compliance department.
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Blog
Irish Data Regulator Probes Facebook’s European Privacy Practices
Image: The investigation by Ireland’s Data Protection Commissioner Helen Dixon into Austrian law student Max Schrems’ privacy complaint will continue in light of the recent decision by the European Court of Justice to invalidate the Safe Harbor program for international data transfers between the United States and the European Union. ...
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Blog
U.K. FCA: Senior Managers To Be ‘Whistleblower Champions’
Image: The U.K. Financial Conduct Authority is calling on senior managers to serve as “Whistleblower Champions” and to play a lead role in protecting employees who come forward with critical information about misconduct. The rules are part of the Senior Managers Regime, which is slated to go into effect ...