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Rutherford Blog

Jonathan Skerrett
4 months ago by Jonathan Skerrett
Rutherfordsearch When Should You Hire First Compliance Officer

​When Should You Hire Your First Compliance Officer?​

"When should we hire our first compliance officer?"​

This perennial question arises at regulated firms frequently. If it has not yet crossed your desk, it is probably only a matter of time. ​

And now is probably a good time.​

Our "When Should You Hire Your First Compliance Officer" guide is designed to be a tool to lead you through the key issues to be considered when assessing compliance resourcing. Recognising that every firm's risk profile is different and there is no one-size fits all solution, we have provided a framework to facilitate and inform internal discussion. ​

The present guide has been created in collaboration with compliance expert Oliver Lodge, Director of OWL Regulatory Consulting and ex-Regulator at the Financial Services Authority (FSA) and the Investment Management Regulatory Organisation (IMRO). ​

Fill out the form below to download the guide, and discover what are the main factors to account for when making this crucial decision.