- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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Many compliance departments are not independent, but instead report to other departments. COSO recommends compliance be separated out into its own division, led by a chief compliance officer with an executive-level position.
Discover the vital role company culture plays in not only embracing new technologies and processes but also driving continuous improvement through a commitment to learning and a growth mindset.
The U.K. Financial Conduct Authority fined the London branch of Australian-based Macquarie Bank Limited more than 13 million pounds (U.S. $16.3 million) for “serious control failures” that allowed a trader to conceal hundreds of fictitious trades over a 20-month period.
