The dilemma facing the legal and compliance departments is common to many areas within organizations: The two departments have overlapping, but sometimes conflicting goals. The general counsel is an advocate for and sometimes defender of the organization, while compliance is charged with training employees on applicable regulations and policies and then uncovering and investigating wrongdoing. A compliance officer often must document the findings of the organization’s investigations, while the general counsel may believe the organization is better off not recording this information. At the same time, both areas must work together to further the organization’s goals.
This isn’t to suggest every legal and compliance department is engaged in battle. “There can be a tenuous relationship, but in our experience, on the whole, the legal department is one of compliance’s most trusted partners,” says Roy Snell, chief executive officer with the Society of Corporate Compliance and Ethics (SCCE). According to a 2012 survey by the SCCE, “Stress, Compliance, and Ethics,” most compliance professionals rate their relationship with legal either a four or five out of five.
