The Compliance Life - Katie Smith, a CCO with a Liberal Arts Degree

Thomas Fox
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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. This month, my guest is Katie Smith who is the Vice President for Ethics at Assurance. She previously served as Assistant Vice President and Chief Ethics Officer for USAA and Executive Vice President and Chief Compliance and Ethics Officer at Convercent.

In this first episode, we consider Katie’s journey to the CCO role. She talks about how her Liberal See more +

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. This month, my guest is Katie Smith who is the Vice President for Ethics at Assurance. She previously served as Assistant Vice President and Chief Ethics Officer for USAA and Executive Vice President and Chief Compliance and Ethics Officer at Convercent.

In this first episode, we consider Katie’s journey to the CCO role. She talks about how her Liberal Arts degree, not a JD, facilitated her success in compliance. She details her initial corporate work in HR and moving over to the compliance field and her journey to the CCO chair. See less -

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