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The CCO will have hands-on responsibility for all day-to-day compliance matters, as well as directing the compliance activities of those staff members who provide compliance assistance. He or she will also be responsible for developing and monitoring the firm's compliance program, ensuring that all activities meet the requirements of federal and state law and regulatory agencies, and will act as the primary liaison with regulatory agencies on compliance-related issues. The CCO must be knowledgeable about the laws, rules and regulations of the Securities and Exchange Commission (SEC) and should understand the steps needed to maintain the company’s compliance program and adapt it to the rapidly changing regulatory environment.

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Published at 21-05-2015
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