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A Compliance Officer Needs To Be On Top Of Everything


At Hall Capital Partners LLC, Helane Morrison is the Chief Compliance Officer, Managing Director and the General Counsel. Being a public speaker, periodically she talks about legal issues and compliance. Other fantastic background on Ms. Morrison includes that she is a member of both the Hedge Fund Subcommittee of the American Bar Association and the Board of the Regional Parks Foundation making her an exceptional professional.

In the years from 1999 – 2007, she was also the head of the U.S. Securities and Exchange Commission San Francisco office. Her accomplishments also include a B.S. in Journalism, which she received from Northwestern University. She also received a J.D. per the University of California at Berkeley, the School of Law. She was also the Editor-in Chief for the California Law Review.

A Compliance Officer needs to have several qualities that will give them the clout they need in order to perform their job duties correctly. Since it is very important that they have the training and experience in order to be respected for what they can do, they should make sure that they cultivate their abilities accordingly.

The job of a Compliance Officer is not an easy one. They are not able to just sit back and let things get out of hand in a company. They have to be on top of everything, watching to make sure that the rules and the regulations are followed completely. If they are not doing their job properly, there can be all kinds of problems. The case of the Volkswagon emissions-software scandal is a prime example of what can happen when the Compliance Officer is not performing up to par. They should have caught certain things that were going wrong before they go out of hand.

One of the main things that a Compliance Officer needs is the proper training in order to make sure that they are able to handle any and all obstacles that appear in the company that they are working for.

There are several issues that a Compliance Officer needs to be current with. One of the most important is legal issues that can arise in a company setting. These have to be followed according to the book. All Human Resources issues also need to followed exactly in order to make sure that all things are running smoothly in that area of the business.

Lastly, the Compliance Officer, if trained properly should have the complete backing of the superiors in the company. They should make sure that they give them the needed power that is necessary to keep the company running properly.

The work of a Compliance Officer is very important to the future and productivity of a company. Without this position, there can be problems that will arise that can take down a business that otherwise is very good. Since the position is very important, those that wish to be in it should make sure they are trained properly and produce well.

Information about Helane Morrison was sourced from this site >> https://en.wikipedia.org/wiki/Helane_Morrison

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