Compliance officers don’t do compliance, they manage compliance. Compliance is “done” by employees on the front lines, loan officers, tellers, backroom operations, etc. They’re the ones that are completing the forms or not completing the forms. They’re the ones that are filling out all the information. The role of the compliance officer is to manage that process. They are, as we like to say, the “conduit of information” within your institution.
David explains more in the video.
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Published
2021/11/19