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Legal Counsel Versus The Compliance Officer - Strategic ...

    https://www.compliance.com/resources/legal-counsel-versus-compliance-officer/
    She states there are philosophical differences between the compliance officer and legal counsel. The latter focuses on providing legal advice and does not act as the decision authority, whereas the compliance officer is a program official that must make decisions and not just offer advice.

A simple way to explain the difference between legal and ...

    https://blog.thebroadcat.com/a-simple-way-to-explain-the-difference-between-legal-and-compliance
    A simple analogy that you can use to explain the difference focuses of corporate compliance and corporate legal functions. ... That is, lawyers focus on reducing legal liability, not preventing the stuff that causes liability. That's how lawyering works: lawyers help protect their clients with legal clauses and agreements in case things go ...

The Chief Compliance Officer vs the General Counsel

    https://assets.corporatecompliance.org/Portals/1/PDF/Resources/past_handouts/CEI/2008/601-3.pdf
    This article appears here with permission from the Society of Corporate Compliance and Ethics www.corporatecompliance.org Editor’s Note: Mr. Tabuena is with the Center for Corporate Governance at Deloitte & Touche USA LLP and has pre-viously served as a compliance officer and in-house counsel. He is a member of theFile Size: 500KB

Legal and Compliance Coordination – An Essential ...

    https://blog.volkovlaw.com/2017/03/legal-compliance-coordination-essential-foundation-effective-compliance-program-part-iv-iv/
    Mar 22, 2017 · A lawyer defines and advises on the law – the rules of the road. Compliance officers develop controls, policies, procedures, and systems designed to ensure that corporate actors stay within the rules of the road. Lawyers do not define the company’s ethical culture.

Compliance Officer and Legal Counsel Relationships Ruder ...

    https://www.jdsupra.com/legalnews/compliance-officer-and-legal-counsel-83458/
    Feb 11, 2017 · Legal counsel is an advocate for the organization. When compliance issues come up, legal counsel advocates the position of the client. The compliance officer on …

Why the Compliance Function is Different Than the Legal ...

    http://fcpacompliancereport.com/2014/06/why-the-compliance-function-is-different-than-the-legal-function/
    Jun 09, 2014 · I agree with your comments on the differences between compliance and legal departments. However, they should both work together. This is because the compliance department may not know how to properly collect and inventory the evidence, the rules of law involved, and when to turn the issue over to the legal department.

The Roles of General Counsel and Chief Compliance Officers

    https://www.corporatecomplianceinsights.com/the-roles-of-general-counsel-and-chief-compliance-officers/
    Jan 18, 2011 · Tod Reichert Tod K. Reichert is Chief Compliance Officer, Senior Vice President and Corporate Secretary of MCG Capital Corporation (NASDAQ: MCGC). Tod is responsible for advising MCG regarding compliance with applicable laws and regulations, including the 1940 Act and other securities laws, and overseeing the development, monitoring, training and testing of corporate policies.

The New Career Choice: The Compliance Attorney the ...

    http://www.nationaljurist.com/smartlawyer/new-career-choice-compliance-attorney
    Feb 01, 2018 · The key to the compliance attorney’s superiority is that the attorney understands and anticipates the potential downstream legal ramifications of each issue before him or her. For example, on a recent day I had to review an organization’s plan for complying with federal health insurance laws. After my review, the plan was to be submitted to ...

Compliance Specialists: Who They Are and What They Earn

    https://www.northeastern.edu/graduate/blog/compliance-specialist-career-overview/
    Mar 29, 2018 · Compliance officers are then the liaisons between the company and inspector to procure appropriate company documentation and review the scope of any proposed audits. Whether they develop their own remediation plan or receive a third-party recommendation, compliance specialists are responsible for taking corrective action to ensure and maintain ...

Integrating Risk, Legal and Compliance ... - Corporate Counsel

    https://www.law.com/corpcounsel/2020/05/21/integrating-risk-legal-and-compliance-functions-in-large-corporations/
    May 21, 2020 · Integrating Risk, Legal and Compliance Functions in Large Corporations Boeing’s recent decision to assign its new chief legal officer the responsibility for both global compliance and the law ...

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