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Congratulations, You’re a Compliance Officer!

Now what?

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Lingua:  English
A compact, onboarding primer for the newly minted Compliance Officer. An enthusiastic, bottom-up view of the Compliance profession.
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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

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Sheryl

Sheryl T. Smikle, PhD