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Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
You're the New Chief Compliance Officer; Now What?
by Howard Haykin
In his Corruption, Crime & Compliance blog column, attorney Michael Volkov offered prospective new Chief Compliance Officers advice on:
- questions you should resolve before accepting the position; and,
- five basic steps to get started once you've been hired.
Now, we'll offer the 5 basic steps, and let Mr. Volkov to 'put some meat on the bones'.
- Meet with your compliance team.
- Meet with your “operational” partners, meaning your natural partners and supporters in the compliance space – HR, legal, internal audit, controller, CFO, security (if the company has an office), and IT.
- Meet with business leaders and key managers.
- Develop a tentative game plan.
- Bring your vision to senior leadership and the audit committee.
At the conclusion of this process, a CCO will know whether he or she will be facing an internal political struggle that will complicate his or her assignment or whether the challenges can be overcome with the support of senior leadership.