Compliance
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People Anatomy™
A spotter’s guide to the men and women of finance.
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Compliance officer
/kəmˈplaɪəns ˈɒfɪsə/ (n.)
One employed in the compliance department (as distinct from one hailing from the legal department) so not, strictly speaking, a professional (but constantly at pains to call herself one, the same way that real estate agents and financial advisors do).
In the Harry Potter argot, a mudblood (don’t forget, this is a pejorative term for someone who nonetheless may have ninja legal skills: Hermione Grainger was a mudblood, after all).
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.