compliance officer

British  

noun

1. 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

---

Example Sentences

Switzerland’s attorney general filed criminal charges against UBS UBS 1.45%increase; green up pointing triangle and a former Credit Suisse compliance officer, saying they failed to take steps to prevent money laundering in what later became known as the Mozambique “tuna bonds” scandal.

From The Wall Street Journal

The Swiss attorney general’s office said it charged an unnamed female compliance officer in relation to $7.9 million in payments that she allowed to enter the bank.

From The Wall Street Journal

The compliance officer had numerous indications that the funds were suspicious, but her recommendation to a Credit Suisse management board was to sever the client relationship, and not to report the payments to Swiss authorities as required, the attorney general’s office said.

From The Wall Street Journal

In May 2018, a Deutsche Bank compliance officer noticed payments from Epstein to the Russian bank accounts of women with Eastern European surnames.

From The Wall Street Journal

His team includes a former Kalshi chief compliance officer and a group of ex-Polymarket engineers.

From The Wall Street Journal