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How can a Dual Hat CCO Benefit from a Compliance Consultant? We have provided examples below of how Outsourced Compliance Support can play a key role of supporting CCOs that wear many hats Being a dual-hat CCO means the individual must balance the demanding and often conflicting priorities of both roles
Can Chief Compliance Officers Wear Multiple Hats? We set out to talk to CCOs and CAEs who also serve in other roles to ask how the combined responsibilities work, as well as to find out what experts thought of combining audit with compliance and other jobs
Don’t give CCO role ‘short shrift’ when wearing multiple hats The January calls raised some questions about how exam staff look at CCOs who wear multiple hats – a very common situation in the industry Some listeners walked away from the event fearing examiners will target such CCOs
ONE PERSON, TWO HATS: COMBINING THE ROLES OF CHIEF COMPLIANCE OFFICER . . . Part IV outlines six advantages of consolidating the roles of CCO and CLO: 1) enhanced power, 2) early risk detection, 3) wider legal protection, 4) cost savings, 5) additional obligations, and 6) increased efficiency throughout the company
Lots of Private Fund CCOs Wear Multiple Hats – Compliance Building Bill Myers wrote a story summarizing the Form ADV data for over 4500 private fund advisers Of that, at least 2800 had more than one job at the firm Only 622 listed the title for their CCO as only compliance officer The most common other hat was CFO, followed by general counsel Sources: Three-Fifths of Private Fund CCOs Wearing Multiple Hats
Most CCOs are also something else - privatefundscfo. com But it will be increasingly important to be sure that, however many hats your CCO wears, your firm has proper policies and procedures in place, and that it enforces those P Ps appropriately
The challenges of wearing multiple hats: A compliance officer’s guide . . . Unlike their counterparts in larger organisations, CCOs in small firms must navigate limited resources, expanded responsibilities and a complex regulatory landscape, often juggling roles in compliance, risk management, cybersecurity and legal matters
Building a Compliance Program While Wearing Multiple Hats | COMPLY For a compliance leader like Becker who wears many hats, attending large conferences or virtual panels isn’t always the best use of his time However, Becker does believe compliance leaders should take advantage of the community whenever possible