Compliance officers wear a lot of hats. In many ways, they are the eyes and ears of senior management and the Board of Directors and keep a finger on the pulse of the overall Compliance Management System (CMS). They are likely involved with internal audits, training, change management, etc., just to name a few. The Compliance officer can’t; however, do it all on their own and being both a leader and a team player are essential. We often compare a compliance officer’s role to the game of football. They are often seen as the quarterback that leads the team to success but throwing a block here and there to protect their teammates and showing them they have their back is invaluable.
David explains more in the video.
Have compliance questions and need them answered quickly? Get a quote for the Quick Response Retainer!