Essential Strategies for Financial Services Compliance

Compliance officers perform a vital, yet unpopular role in thebusiness world as they advise on complying with myriad rules andregulations. What is good for compliance is sometimes seen as beingbad for business, making a compliance officer's role a difficultone. Essential Strategies for Financial Services Complianceoffers practical guidance on how to apply a regulatory requirementto day to day situations. It also shows how to communicate thecompliance department? s activities to the rest of the firm, how therole fits within the organization as a whole, what the scope andlimitation of their responsibilities are, what to do when things gowrong, and how to deal with unusual problems.