For those companies dedicated to compliance, the first and most critical step is a commitment to empower its compliance office. A company must assign adequate personnel and allocate adequate resources to fulfill its mission. An effective compliance officer must be regarded as equal to, or even senior to, the company’s Chief Financial Officer or General Counsel.
Gone are the days when compliance offices are a backwater for auditors or management specialists with no authority to address compliance issues. The challenge today is to empower compliance functions by integrating the required elements for success: legal, auditing, human resources and investigative resources.
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