Compliance is an increasingly important function within organizations. As the number and complexity of regulations increase and the penalties for not adhering to those regulations increase it is critical that organizations focus on compliance.  The Compliance Office provides oversight for an organization and ensures that all employees adhere to governing regulations.


The Compliance Office is responsible for ensuring that an organization and its employees are complying with both internal policies and procedures and external regulations. 


The Compliance Office is usually responsible for developing a  Code of Conduct, Conflict of Interest Policy and Conflict of Commitment Policy.  They are also responsible for investigating and responding to violations of internal and external rules, regulations, policies, procedures and standards of conduct in a systematic manner. 


The Compliance Office must operate with a large degree of independence to ensure their objectivity in performing their duties.  The Compliance Officer is often responsible for informing the Board of the state of an organization’s compliance environment.



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