The Compliance Officer is the regulator’s invisible arm in that it ensures that the institution’s business is being conducted in line with regulations, internal policies and procedures.
Checks are carried out primarily through compliance monitoring programmes; be they on-site or desk based reviews. The fulcrum of the findings prompted by the reviews is in bringing these to the attention of senior management. Senior management is ultimately responsible for the establishment and maintenance of the compliance function and in ensuring that the business is carried out in line with regulatory requirements.
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