Log in Try for free

Follow us

English

Welcome to Bookboon

In order to provide our services we rely on a series of essential cookies to access our features.
We also use a set of 3rd party cookies that allow us to deliver a better experience.

Please read our Privacy Policy page , and if you agree, please click on the button below ot enter the site.

Home Congratulations, You’re a Compliance Officer!

Congratulations, You’re a Compliance Officer!

Now what?

by Sheryl T. Smikle, PhD
Ratings:
( 0 )
Write a review
36 pages
Language:
 English
A compact, onboarding primer for the newly minted Compliance Officer. An enthusiastic, bottom-up view of the Compliance profession.
This is a Business eBook
Business subscription free for the first 30 days, then $5.99/mo
 
Access this book on our eReader, no adverts inside the book
Latest eBooks
About the author

Sheryl T. Smikle, Ph.D. is an education professor, life coach, e-learning instructional designer, workshop presenter, faculty mentor, and learning strategist. Sheryl also has expertise in adult education and workplace training and development. She has alternated between two careers: second...

More about Sheryl T. Smikle, PhD
Description
Content

Congratulations, You’re a Compliance Officer! Now What? Is a compact, onboarding primer for the newly minted Compliance Officer. This is an enthusiastic, bottom-up view of the Compliance profession. The text introduces the reader to foundational Compliance documents, frameworks, principles, and maxims of this young, growing profession. The book ends with a short list of Compliance professional organizations, training resources, and certifications. The author’s awe and admiration for the Compliance profession and its practitioners permeate the text. Keep this handy text close and read often.

About the author

Sheryl T. Smikle, PhD is a language acquisition educator by training. Her nearly 20 years in Compliance included various global Compliance Officer roles with Fortune Companies in the financial services sector. Sheryl is a native New Yorker who resides in Dutchess County with her daughter Zoe and toy poodle Bambi. She enjoys travel and culture.
This is her first book.

  • About the author
  • Foreword
  • The point of this text
  1. Introduction
  2. Compliance officer: General roles and tasks
  3. A brief review of key compliance documents
    1. United States Federal Sentencing Guidelines
    2. Basel Committee on banking and supervision directives
  4. Doing compliance work
    1. Doing compliance work: The legal inventory
    2. Doing compliance work: Policies and procedures
    3. Doing compliance work: Communications and training
    4. Doing compliance work: Monitoring and testing
  5. Compliance alliance: The “three lines of defense”
  6. Now, you’re a compliance officer! So what?
  • A Word of Special Thanks

Write a review