One of the mysteries of the English language finally explained.
A person who is employed to ensure that a company does not contravene any statutes or regulations which apply to its activities.
- ‘Anyway, there he was, working away, in his own fashion, with a compliance officer looking over his shoulder as he wound down his affairs.’
- ‘It undermines the authority of the compliance officer.’
- ‘She's hesitant to do that because she says that her compliance officer told her that if she reindexes, she'll lose her files.’
- ‘It could also copy any offending message to a compliance officer.’
- ‘Commissioners also will adopt rules requiring funds to have written compliance policies and a compliance officer who reports to the fund's board of directors.’
- ‘A compliance officer has since been assigned to ensure the campaign is not being unfair to traders and was devoid of any uncompetitive practices.’
- ‘In turn, the committee must hire a compliance officer to report to the committee and to Microsoft's chief executive.’
- ‘The deal requires annual antiharassment training for teachers and peer training for all freshmen - and that each school have a compliance officer to ensure students' complaints are heard.’
- ‘The compliance officer will call dealers and find out what that particular unit is selling for in the cash market.’
- ‘This process, by necessity and the regulations, requires the branch manager and the compliance officer to continually review the account application form with the client's trading records.’
- ‘As the information security officer for a county health-care facility, I work very closely with both our privacy officer and our compliance officer.’
- ‘To fix that, the SEC may soon require funds to name a compliance officer who reports to the board.’
- ‘One of the duties of the compliance officer at my last employer was to walk round the dealing room and reset the time-stamping machines when the clocks had gone back or forward an hour.’
- ‘The compliance officer retreated to her car.’
- ‘One could also have understood an argument based upon superior orders and lack of availability at the relevant time of access to a compliance officer.’
- ‘The watchdog also could require each fund to designate a chief compliance officer to ensure questionable practices are quashed.’
- ‘An alert contract compliance officer found the error.’
- ‘In September, the bank hired its first compliance officer to focus on money laundering full time.’
- ‘This greatly increases the number of requirements placed on hedge funds, including keeping up-to-date performance records, hiring a compliance officer and creating a code of ethics.’
- ‘Designating a privacy compliance officer, and providing contact information along with your posted policy, gives you the chance to set things right.’
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