Compliance Staff Structure

The structure of your compliance staff can also have a big impact on its ability to meet new challenges and get you through an audit.

Head of Compliance

If at all possible, the head of compliance should have no other duties. This person should report directly to upper management and not be affiliated in any way with another department. This person must work closely with department heads to ensure they take compliance seriously. They also must have free reign to be able to talk to any employees at any time. Training is essential not only for the compliance personnel but also for the other staff members.

If your company is too small to dedicate someone as a compliance officer, then you should choose someone to head up ...

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