Top Tips for Compliance Officers when Approaching the board

I attended the  CISI Financial Services Regulation Summit 2014 held in London, today (9 July 2014), which addressed many issues that affect the industry as a whole.

The event Chairman addressed panel members with the question:

What would be your top tip for a Compliance Officer when sumitting requests to the board?

The responses were common sense but can all too easily be forgotton and apply to all areas of business and not just Compliance so I thought it would be useful to blog about it.

1. 'Be coherent in the information that you submit to the board' (Brandon Davies)

2. 'Be objective with clear proposals' i.e. call for actions (Liz Hornby)

3. 'Compliance Officers are under-resourced.  Seek appropriate and adequate

resource for you and your team and back this up with "Why" you need additional resource.' (Paul Whittaker)



Gareth Rowlands, Director Industry Events Limited.

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