"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.
This 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 discussions.
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.
