The last decade or so has seen a significant increase in the scale and responsibility of the compliance function. Major financial institutions have made substantial investments in the sector, ...

"It really is about how business-minded and strategic you are,” said John Gilmore, managing partner of the recruiting firm BarkerGilmore. The more complex the regulatory and geopolitical environment ...

Be a compliance advocate within your organization. Don’t be afraid of the unfamiliar or shy away from a challenge. Build relationships during good times so that when it’s time to deliver bad ...

Compliance officers work in nearly every sort of for-profit and non-profit organization, working to ensure that the organization complies with the internal and external laws, regulations, and policies ...

RIA Summit Wealth Group has hired Scott Wilkinson from its former broker/dealer, Commonwealth, to be chief compliance officer ...

Hiring good people for compliance departments is getting harder as young professionals increasingly gravitate toward business careers with more curb appeal. Many in the sector say it is a struggle to ...

Michael Jimenez spent the better part of his three years in law school ruling out all the kinds of law he didn't want to practice. Stints interning for a judge and working at the state attorney ...

A career in compliance is not generally thought of as a ‘people job’. Often it is viewed as a technical role that ensures advice firms follow the rules and regulations laid down by the Financial ...