The Vital Role of a Compliance Officer
The role of a good compliance officer is quickly growing within the workforce. Ethics and compliance go together well in this vital role. A compliance officer job is one that is fairly new and not very well-known. It is becoming a role that is highly important. The following items are incorporated in the job and the role of a compliance officer. These include:
* the implementing of a compliance program
* the program includes prevention of problems
* the repair of ethical and regulatory problems
* the use of tools including risk assessments, education, and audits
The role of a compliance officer is to discover problems. The officer has the role of then ensuring that the problems are fixed. Prevention of the same problems are included in the vital role of a compliance officer.
Day-to-Day Compliance is Essential
Every company has rules that must be followed. There are necessary rules that cannot be broken within a company. This compliance officer will make sure that the rules of the company are being followed. The day-to-day compliance of the rules for any company is essential. These rules assist every employee from making mistakes that may result in punitive actions. These actions can be prevented with day-to-day compliance.
Helane Morrison and Compliance
Helane L. Morrison is a chief compliance officer at Hall Capital Partners LLC. She is a member of the Executive Committee too. She is a person with a remarkable background. Ms. Morrison does have an impressive background in the practice of law. She is more than qualified to take on the role of a chief compliance officer.
Enforcement Programs with Solid Direction
Morrison is a highly skilled leader who has the ability to provide solid direction. She has been the director of the enforcement program of the Securities and Exchange Commission’s San Francisco District Office. She has offered solid direction for the SEC for three years. She is a gifted and talented compliance officer who has skills of high quantity.