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Essential Strategies for Financial Services Compliance

Essential Strategies for Financial Services Compliance

by Annie Mills (Author)

  • New

    Hardcover 2008

    $33.26
Synopsis

Compliance officers perform a vital, yet unpopular role in the business world as they advise on complying with myriad rules and regulations. What is good for compliance is sometimes seen as being bad for business, making a compliance officer's role a difficult one. Essential Strategies for Financial Services Compliance offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department's activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitation of their responsibilities are, what to do when things go wrong, and how to deal with unusual problems.

$33.26

Save:$17.45 (34%)

Quantity

Temporarily out of stock

More Information

Format: Hardcover
 Pages: 374
 Publisher: John Wiley & Sons
Published: 15 Aug 2008
ISBN 10: 0470519045
ISBN 13: 9780470519042

Media Reviews
...offers practical guidance...and how to deal with unusual problems. Securities & Investment Review May 2008
Author Bio
Annie Mills (London, UK) has worked in the compliance industry for nearly 10 years, working in many areas of investment management and banking compliance. Currently she is Senior Compliance Officer, Global Banking and Advisory at Standard Bank, where she has held previous positions as Head of International Compliance Monitoring, and as Compliance Officer. During her time at Standard Bank, her compliance team won the 2005 Compliance Register Award for Best UK Compliance Department. Previous to Standard Bank, Mills worked for Grindlays Private Bank, Guardian Investment Holdings, and First Marathon Securities. She presently sits on the Examining Panel for the Securities and Investment Institute's Regulation and Compliance Diploma.