Positioning Compliance for Effectiveness

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Board Perspectives: Risk Oversight, Issue 65 - Compliance Function: Roles, Responsibilities and Positioning in the Organization

We often receive questions regarding the proper positioning of compliance in an organization. The debate frequently centers on addressing to whom compliance reports. Unfortunately, this line of inquiry does not focus on the fundamental issue of roles and responsibilities. An understanding of these roles provides a powerful context for evaluating how to position the compliance function within the organization.

In this issue of Board Perspectives: Risk Oversight, we explore the different views regarding the responsibilities expected of the compliance function and their implications to positioning compliance.

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