Compliance Organization Chart

Compliance Organizational Structure Outline

  • Compliance

    Compliance is the regulation of all company activities to ensure that they are in line (in 'compliance') with all internal and external policies, laws and standards. The group works to identify risk areas and implement controls to protect the organization from those risks.
    Who is in charge? Chief Compliance Officer (CCO), Chief Operations Officer (COO)
  • Internal Audit
    The Internal Audit Group periodically examines all company practices to ensure that they are adhering to defined internal and external policies, laws and regulations. The Internal Audit Group then reports its findings to management and business unit leaders to ensure that all parties are aware of areas in need of regulatory adjustments.
    Common Internal Audit job titles: Internal Auditor, Staff Auditor, Internal Compliance Auditor
  • Policy Creation
    The Policy Creation Group is responsible for examining and researching risk areas and then drafting corporate governance policies that will mitigate the identified risk areas. They are also responsible for training employees on compliant processes and procedures.
    Common Policy Creation job titles: Policy Compliance Analyst, Policy Advisor, Compliance Policy Editor
  • Policy Enforcement
    The Policy Enforcement Group sets guidelines to handle issues of non-compliance. They develop standardized, consistent, legally sound protocols to address each possible situation of non-compliance.
    Common Policy Enforcement job titles: Compliance Officer, Compliance Enforcement Officer, Compliance & Ethics Specialist, Compliance Investigator
  • Regulatory Reporting (Non-Financial)
    The Regulatory Reporting Group defines data collection procedures (related to compliance), then compiles and files reports for management and government institutions. Regulatory reports deal with issues such as environmental friendliness or food/drug safety.
    Common Regulatory Reporting (Non-Financial) job titles: Regulatory Reporting Analyst, Regulatory Specialist, Regulatory Reporting Business Analyst
  • Risk Management
    The Risk Management Group evaluates regulatory and non-regulatory risk and formulates responses and plans of action to mitigate and respond to those risks. They prioritize certain risks based on consequences (monetary or other), set risk tolerance levels and create procedures based on the level of risk involved.
    Common Risk Management job titles: Risk Management Analyst, Risk Management Associate, Risk Analyst, Regulatory & Compliance Specialist

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