Ask a CCO: How do you keep the focus on compliance during a pandemic?
We asked nine prominent chief compliance officers what has been the most difficult part of ensuring ethics and compliance has remained top of mind for employees during the pandemic.
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ArticleLRN survey: Compliance and ethics rose to challenge of COVID-19
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Six senior compliance practitioners offer their perspectives on what makes for an effective training program and share tips and guidance for companies looking to enhance their education initiatives.
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PremiumFour veteran CCOs, 5 questions: The evolution of compliance
With a combined 64 years experience in compliance, these four chief compliance officers reflect on how the profession has evolved over the past decade-plus and what challenges lie ahead.
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At their core, compliance officers are problem-solvers. They wrestle with thorny questions every day: How do we implement a global gifts-and-entertainment policy across jurisdictions with vastly different cultural norms? How do we balance business pressures with anti-corruption obligations? How do we address new risks like AI itself?
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In financial institutions across the United States, there’s a reflex that’s become almost ritual. When a regulator walks in, or a board member asks whether the AML program is working, the answer is the same: “We just passed audit.” It’s delivered with confidence, sometimes even pride, as if the risk ...