One of the biggest challenges a compliance officer faces is establishing a strong commitment to creating a culture of compliance and obtaining recognition–there needs to be a compliance “tone from the ...

Starting a new job as a compliance leader can be daunting. Here's what you need to know. Becoming a compliance officer may be a lifelong dream or a goal that evolves over time. Depending on your ...

Haydee Olinger, Sr. Advisor at Barker Gilmore, and former longtime chief compliance officer at McDonald’s, is one of the few who have. She has now served on the board of two publicly-traded companies.

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. When I first stepped into this profession, my title was not “Chief ...

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 ...

A chief compliance officer (CCO) is a member of your firm’s team who can help protect your business from potential legal or regulatory issues. Registered investment advisors must have a CCO serving at ...

With predictions of an uptick in M&A activity in 2023, and growth-oriented firms looking to expand into additional areas of meaningful advisory services, now is an opportune time to reinforce the need ...

In 2016, FINRA decided to take a closer look at how firms integrate compliance into their culture. Although this focus didn’t make it into the 2017 exam priorities letter, it stands to reason that ...

MLG Capital Taps Veteran Compliance Leader as New Chief Compliance Officer and Associate General Counsel MLG Capital has appointed Kelly Whetstone, a compliance veteran with more than 20 years of ...

Somerset Securities, Inc., a broker-dealer and member FINRA/SIPC and SIPC member since 1963, announced today that Leonard “Lenny” Barenboim has been appointed Chief Compliance Officer (CCO). In this ...