COMPLIANCE FUNCTIONS

Compliance Functions

Compliance Functions

The compliance department, among other things, presents an advisory, supervising, and education function to support management's supervisory blame and its efforts to achieve compliance with government and

1. Advisory

Compliance department staffs supply regulatory and compliance advice to enterprise and command flats on an ongoing basis. These efforts engage answering to inquiries and matters as they arise and proactively holding enterprise flats apprised of regulatory expansion and firm principle changes.

2. Policies and procedures

A centre blame of the compliance department is to assist management in the development of principles, methods, and guidelines conceived to facilitate compliance with ...