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Challenges for the Chief Compliance Officer (CCO)
Are you the Chief Compliance Officer?
You are responsible for ethics and compliance. You are
responsible to build a strong organizational ethics and
compliance program, which is a high priority in any
organization, especially in listed ones.
Reputational
Risk Management is becoming more and more important. Every
compliance or ethics issue may lead to a scandal or a problem
with the company’s reputation that may weaken its brand value.
Supervisors, Regulators, Internal and External Auditors
try to ensure that you have built a good ethics and compliance
program, and that you have the necessary knowledge and
experience as the chief ethics and compliance officer in charge.
These are the major
challenges for your job:
Challenge 1:
Your role is not clearly and properly defined.
Challenge 2:
There are Conflicts of Interest (self-review).
You manage
functions and you audit them for compliance the same time.
Challenge 3:
You are not independent.
You do not report to the CEO.
You do not have the authority.
Your job is not decided and
terminated only from the Board of Directors.
You are not able
to make a difference.
Challenge 4:
Although they
say that they rely on you, they don't give you the financial and
human resources necessary to do your job, to educate employees
and management, to respond to violations effectively in a timely
manner.
Challenge 5:
You have no accurate data - there is no effective monitoring and
reporting in place, amd you can do nothing for that.
Challenge 6:
You are not connected to the operations. You are here "for
compliance" (just for show). You are avoided, and you become
isolated. You are not participating in major decisions.
Join the International Association of
Risk and Compliance Professionals (IARCP). Membership is Free
www.risk-compliance-association.com/How_to_become_member.htm
Benefits for Members:
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Reading Room
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Certified Risk and Compliance
Management Professional (CRCMP)
www.risk-compliance-association.com/Distance_Learning_and_Certification.htm
Certified Information Systems
Risk and Compliance Professional (CISRCP)
www.risk-compliance-association.com/CISRCP_Distance_Learning_and_Certification.htm
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Federal Trade Commission Fair, the California Online Privacy
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Pornography and Marketing Act
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Certified Risk and Compliance Management Professional (CRCMP)
Distance Learning and Online Certification Program
Certified Information Systems Risk and Compliance
Professional (CISRCP) -
Distance Learning and Online Certification Program
To learn more:
www.risk-compliance-association.com/Distance_Learning_and_Certification.htm
The
IARCP offerstwo certified training courses:
A. Certified Risk
and Compliance Management Professional (CRCMP) - Prep Course (5
days)
B. Certified Information Systems Risk and Compliance
Professional (CISRCP) - Prep Course (5 days),
that lead to
the certificates:
A. Certified Risk and Compliance Management
Professional (CRCMP)
B. Certified Information Systems Risk
and Compliance Professional (CISRCP)
Membership to the
association is free.
www.risk-compliance-association.com
Compliance Officer
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Chief Compliance Officer
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The new evolving role of the Chief Risk
Officer.
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