Today, I want to consider what is the role of a Chief Compliance Officer (CCO) in strengthening the ethical culture of an organization. This blog post is based on, in part in an interview I did with ...

Compliance is one of the most important aspects of a registered investment advisor (RIA) firm’s responsibilities. At the heart of ensuring that a business keeps up with the industry's constantly ...

We often discuss the importance of a “Speak Up” culture. We encourage employees to report their concerns, we emphasize the important of such reporting to the life of an organization. Chief Compliance ...

When it comes to the C-suite, the most underrated executive-level position is the chief communications officer (CCO). As experienced communications professionals, CCOs are often sought out during a ...

A chief compliance officer (CCO) is a member of your firm’s team who can help protect your business from potential legal or regulatory issues. Registered investment advisors must have a CCO serving at ...

What makes a compliance officer effective at their role? Is an understanding of regulatory requirements enough? As a stakeholder in an independent wealth management firm, what do you look for in a CCO ...

The National Commission for the Certification of Crane Operators (CCO) has launched CCO Education Services LLC (CCO EDU) to focus on developing, auditing, and approving a network of “accredited” ...

Wanted: Seasoned executive to become a champion of the customer. Must be adept at breaking down organizational silos to create a persistent customer-first mentality across physical and digital ...