Compliance: Difference between revisions
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One employed in the compliance department; not | One employed in the [[compliance]] department (as distinct from someone in the [[legal department]]; not, strictly speaking, a professional (so constantly at pains to call herself one, the same way that real estate agents and financial advisors do). | ||
{{Legal and compliance}} | |||
{{dramatis personae}} | {{dramatis personae}} | ||
Revision as of 21:00, 22 April 2017
One employed in the compliance department (as distinct from someone in the legal department; not, strictly speaking, a professional (so constantly at pains to call herself one, the same way that real estate agents and financial advisors do).
Legal and compliance
Just what the difference is in function is between the legal, compliance and legal and compliance departments could occupy a corpulent volume.
Dramatis personae: CEO | CFO | Client | Employees: Divers · Excuse pre-loaders · Survivors · Contractors · The Muppet Show | Middle management: COO · Consultant · MBA | Controllers: Financial reporting | Risk | Credit | Operations | IT | Legal: GC · Inhouse counsel · Docs unit · Litigator · Tax lawyer · US attorney Lawyer | Front office: Trading | Structuring | Sales |