Chief Compliance Officer

The Chief Compliance Officer (“CCO") is also responsible for reporting on the Regulatory Compliance Program to the entity’s Board of Directors, including the results of assessments and internal monitoring activities and on any material compliance issues. The CCO has access to full and complete information throughout the entity, and may communicate directly with the Board as appropriate (“unfettered access”), either through presentations at scheduled board meetings, or as required and at the CCO’s sole discretion. The role requires the CCO to be a participant of selected local management committees that have mandates related to the oversight, monitoring and control of compliance or regulatory risk.…