Building a Positive Relationship with Legal and Compliance Staff

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2 Responses

  1. Kevin L. Warmack, E.J.D. says:


    This is one article that should be sent to every compliance officer, general counsel, etc! Additionally, the gist of it should be included in all training.

    Although I am a compliance officer and I’m “Johnny Law” , we have to be sensitive to the business and be attuned to the ways in which to make rules work for the firm and not against the firm. In most of the rules and regulations, there is the black and white of the rule and then there is that middle ground of the gray where the firm can operate successfully while following the white and black. The role of the compliance officer is to make sure that the firm is operating in that gray as well as the black and white.

    Compliance has to “come down from the mountain” and be a part of the real world. Then you can be a success for your firm and in turn your firm can be successful as well.

  1. July 12, 2012

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