Risk-Based AML only works if the C-suite agrees what ‘risk’ means
Banks emphasize risk-based compliance in their AML programs, citing it to regulators and embedding it in policy, yet many institutions still handle risk very differently in practice.
Evidentiary Debt: The blind spot liability
On a gray Tuesday morning, the audit seemed routine. A stack of binders sat on the table, the compliance officer was confident, and the regulator’s tone was cordial. Then came the question that changed everything.
Kristy Grant-Hart: Why I Chose to Be a Compliance and Ethics Officer
When people ask me why I chose to be a compliance and ethics officer, my answer is simple: because what we do changes the world.
Carrie Penman: Putting the “E” back in ethics and compliance
When I first stepped into this profession, my title was not “Chief Compliance Officer.” It was “Ethics Officer.” At Westinghouse, I was tasked with launching a program that, at the time, felt experimental: a global, enterprise-wide ethics initiative built not on rules, but on values. I traded in my career ...
Lisa Johnson: What the compliance profession means to me
After completing law school, I accepted a role in the Hearings group with the Nasdaq Stock Market. I did not have any previous experience or desire to enter the financial services industry, but was fascinated by the regulatory body and its goal to protect individual investor interests.
Taneesha Routier: Compliance en blanc
I liken my career in compliance to the movie and international social staple known as “Le Diner En Blanc.”
Timothy Miller: To be a compliance officer is to be a guardian of trust
I am often asked, when I speak at conferences, “Why compliance as a career?” To be completely transparent and honest, when I first started my career, what I was doing was not called “compliance” per se.
Jacquelyn Pruet: Compliance of the future—A value driver, not a cost center
No budgets. No resources. Some of the worst issues our companies have to offer. Executives expecting miracles. Employees afraid to come to us. We are both the police and the shield, the answer everyone needs, and yet often given nothing to answer with.
Jennifer Newton: How you start is how you finish. Leading with integrity in uncertain times
In today’s world, the role of a compliance officer feels more important than ever. Political rhetoric is at an all-time high, trust in institutions is declining, and there is a growing pushback against values we once thought were non-negotiable.
Alishia Farr: Building a culture of compliance
For me, being a compliance professional is not about checking boxes or reacting only when issues evolve, it’s about building and sustaining a culture. At its core, compliance is about honesty, courage, and standing firm in the moment, even when it’s uncomfortable or difficult.
Rezaul Karim: What the compliance profession means to me
When I look back on my career as a compliance officer, I often have mixed feelings. Of course, neither is it a glamorous job, nor is it always well understood by those outside of this profession, but it is an extremely important profession nowadays. On National Compliance Officer Day, I ...
National Compliance Officer Day 2025 - What does the job mean to you?
Compliance officers do not have easy jobs. They’ve got to navigate ever-changing regulations, follow trends in their own industry and other parts of the world, while also managing the internal culture of their organizations. It’s a lot of responsibility and a lot of pressure.
AI adoption without trust: A call for compliance professionals
Employees are adopting AI faster than companies can build policies, governance, and training. That gap creates compliance exposure in areas from data privacy to shadow IT to workplace equity.
The Banks behind Jeffrey Epstein: Why the story matters now more than ever
The Epstein case remains a defining moment for financial institutions. As new investigations bring renewed attention to his enablers, Compliance Week’s 2024 case study offers not only a timeline of failures but a path forward. Here’s what banks, regulators, and compliance teams must learn from it.
A friend for the compliance officer: Co-thinking with AI
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?
Cross-border compliance: Lessons from the UAE for a globalized financial system
Financial ecosystems are no longer confined within national boundaries. Money, technology, and risks flow seamlessly across jurisdictions, creating unprecedented challenges for compliance officers. From sanctions and anti-money laundering (AML) obligations to the rise of virtual assets, the compliance function must now navigate a complex, cross-border landscape where regulators, institutions, and ...
Why audit won’t save your anti-money laundering (AML) program
In financial institutions across the United States, there’s a reflex that’s become almost ritual.
The GENIUS Act: A new era for U.S. crypto regulation
For years, stablecoin regulation was stuck in an uncertain legal gray zone with no clear rules until the GENIUS Act arrived as a turning point. For the first time, a concrete federal framework has drawn a line by requiring reserves to be held, demanding transparency, and putting consumer protections front ...
Aaron Nicodemus named Compliance Week’s Editor-in-Chief
In covering the compliance industry for the past five years at Compliance Week, I’ve learned a few things.
Why are CFOs struggling to stay compliant?
CFOs are tasked with overseeing an organization’s entire financial processes, not least ensuring that financial operations remain compliant with the multitude of global regulations. It’s a heavy burden to carry that might be alleviated slightly with the help of artificial intelligence, writes Markus Hornburg, head of compliance at Basware.
Five reasons why I’m excited about CW’s Cyber Risk & Data Privacy Summit
Having worked for Compliance Week for three years, I’ve found it remarkable how compliance professionals can be so consistently upbeat about their plight. An often refrain in compliance circles is “be comfortable with being uncomfortable.” As difficult as the job can be, that clearly doesn’t mean it can’t be fun.
Ericsson's 'integrity journey' post-FCPA settlement top compliance triumph of 2024
It’s been a long “integrity journey” for Ericsson, according to the company’s Head of Compliance Global Affairs Alison Howell. Since settling with the DOJ over FCPA violations in 2019, the company has gone through a "business critical transformation," resulting in the end of its compliance monitorship.
Five more compliance triumphs of 2024
Whether you’re a multinational telecommunications company looking to certify your anti-corruption program post-settlement, or a biochemical company victimized by a “rogue” employee, seeing the light at the end of the enforcement tunnel isn’t always easy.
Top ethics and compliance failures of 2024
The biggest Compliance Fails of 2024 show the real-world consequences of noncompliance for the companies that faltered, but also for their customers and their employees.
Book review: Larry D. Thompson’s memoir revisits lessons from VW, Enron, and PepsiCo.
Former U.S. Deputy Attorney General Larry D. Thompson participated in landmark legal cases, such as the Justice Department’s Enron investigation and the Volkswagen Independent Compliance Monitorship. Now his memoir looks back on his extensive career in compliance, offering profound insights into corporate culture, diversity, ethics, and integrity.