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…
With new SEC leadership on the immediate horizon, now is the time to take stock of your compliance program and its performance during the pandemic of the past 12 months. Consider the questions the SEC will ask as part of an exam of your firm. Reviewing a few of our UpFront postings during the past…
Through the recent donation on behalf of our clients, FrontLine Compliance supports the World Central Kitchen (WCK) and its crucial mission to help those in need during the COVID-19 pandemic. A disaster relief organization founded by chef José Andrés, WCK has dramatically altered the way the global community thinks about emergency feeding. Here are details on…