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The compliance message: Where does it begin?

Ignore mavericks and the uninitiated at your peril, warns Tracey Calvert. The perils of working with people who fail to conform, or are untried and untested, are manifold

6 September 2017

No compliance officer is an island. My apologies to John Donne, but his belief that human beings do not thrive when isolated from others is, I believe, an idea which has resonance in our context and can be applied to the role of compliance officers in law firms in the 21st century. In other words, the success of the compliance function lies in ensuring that colleagues invest in the culture which is being created.

Regardless of the skills of the compliance professionals, the quality of the systems and controls, or the accuracy of risk assessments, there must be confidence that these will be used by colleagues who are minded to be compliant. Without the commitment of others, all may be in vain. Compliance is a team effort.

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