a specialist, usually a lawyer, employed by a financial group operating in a variety of fields and for multiple clients to ensure that no conflict of interest arises and that all obligations and regulations are complied with
Examples of 'compliance officer' in a sentence
compliance officer
I had the compliance officer coming into my office every five minutes.
Times, Sunday Times (2013)
By then the accountants had raised the matter with their firm's compliance officer.
Times, Sunday Times (2006)
His firm's compliance officer, one of the finance industry's in-house coppers, wants a meeting.
Times, Sunday Times (2014)
Another senior compliance officer has resigned from the bank.
Times, Sunday Times (2018)
A bank needs just one compliance officer - the chief executive.
Times, Sunday Times (2014)
A pity he did not do more of it when he was a compliance officer.
Times, Sunday Times (2006)
Under this system all firms must have formal compliance officers and a compliance officer for finance and administration.
Times, Sunday Times (2013)
They will attempt to persuade them to complete it before those who still refuse are visited by a compliance officer.
Times, Sunday Times (2011)
The compliance officer is emblematic of all that has gone wrong in banking over the past 20 years.