Questions that Leadership Should Ask the Compliance Officer

5 Jul

By Roy Snell roy.snell@corporatecompliance.org Below are some questions leadership should ask the compliance officer and a suggestion about how to implement these questions in your organization.  You need to collaborate with leadership to pick a subset of the questions to implement.  Then over time you can add, edit and delete questions. Is there anyone interfering with your ability to implement any of the elements of an effective compliance program? Is there anyone interfering with your ability to prevent, find, or fix this organization’s legal, policy, or ethical issues? Do you have any responsibilities outside of compliance and ethics that could

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