Essential Strategies for Financial Services Compliance
By (author) Annie Mills
Essential Strategies for Financial Services Compliance by Annie Mills
Book DescriptionCompliance 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.
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Book DetailsISBN: 9780470519042
(251mm x 177mm x 27mm)
Imprint: John Wiley & Sons Ltd
Publisher: John Wiley and Sons Ltd
Publish Date: 15-Aug-2008
Country of Publication: United Kingdom
Books By Author Annie Mills
Essential Strategies for Financial Services Compliance, Hardback (October 2015)» View all books by Annie Mills
A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment.
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Author Biography - Annie Mills
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.
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