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One of my favorite sayings is that “bedside manner matters.” This comes from my background as a physician. At the end of the day, being knowledgeable doesn’t mean that you work well with people. As a compliance officer, it’s important that you work well with people.

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There are a lot of great tools on the market nowadays that can make your workday a lot easier. Investing in the right tools frees up a lot of your time to work on compliance issues. Instead of spending your time tracking down emails and sign in sheets.

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Trust is a valuable currency for compliance officers. The more individuals in your organization trust you, the more comfortable they’ll feel in coming to you with compliance violations or other compliance related matters. Some view compliance officers as obstacles in their way.

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Reporting structure really matters in compliance. That’s why almost every CIA you read will mention reporting structure, specifically, that a compliance officer shouldn’t report to the general council or CFO. Compliance officers shouldn’t have a compliance/CFO role or a compliance/general council...

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