In the movie the Matrix, Neo wasn’t sure if he was the fabled “One” despite what he heard from Morpheus and a trip to see the Oracle. But, Neo still took the steps to discover how to be the “One” and fulfill his potential. Compliance has its own “Matrix” of challenges – and a compliance…
By Amy Lynch, CRCP, Founder & President, FrontLine Compliance As featured in interviews on CNBC, Bloomberg TV, and in The Wall Street Journal As a former SEC examiner myself, I seem to have an innate ability to know what the SEC is going to do before they do it. As you can imagine, this comes…
At a time when compliance staffs are updating programs that may have become stagnant or even floundered during the pandemic, they are being pressed to find enough qualified internal help. The nation’s labor shortfall has made both hiring and retaining employees in compliance a difficult chore, just as a re-energized SEC is formulating an aggressive…
In the movie the Matrix, Neo wasn’t sure if he was the fabled “One” despite what he heard from Morpheus and a trip to see the Oracle. But, Neo still took the steps to discover how to be the “One” and fulfill his potential. Compliance has its own “Matrix” of challenges – and a compliance…
As the pandemic will appear to linger into the Fall, many positions will continue to take their form as fully or partially remote. For the Chief Compliance Officer (CCO), where oversight and supervision of employee activities is paramount to the success of the position, the remote environment brings particular challenges. To help CCOs recharge for…