Communicate Often with Upper Management
There are many books and magazines out there to help you in communicating with your boss, whether that is the CEO or CFO, so I will not go into great detail on this subject. Within the realm of compliance it is very important that you do indeed have an open line of communication with your superiors and the board of directors. When your compliance team has a new regulation or existing issue to deal with, it is best that you present the information pertaining to technology to the CEO. Ultimately, the CEO is responsible to the board, and you are responsible to the CEO, so the information has to be correct and timely. When communicating compliance to upper management, you need to focus on all possibilities. ...
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