How to manage when you are the only compliance officer

6 minute read

At SCCE’s virtual Compliance in Smaller Organizations conference, I had the opportunity to give a presentation, together with Dianne Koval, focusing on how to build an efficient compliance program in a small organization.[1] I was pleased to share my experience; this topic sparked interest in many people who face the challenge of being the only compliance officer within their organization or a small team.

Following July’s presentation, I present in this article some useful practical guidelines for successfully managing this role within a small organization.

First, it is important not to panic if you have been asked to be your organization’s compliance officer and do not have experience. The management has proposed you for this job because they trust you will do it well, so do not be daunted!

You can carry out this role with ease at first and consequently create a strong ethical culture in your organization. The reward will come at a point when you realize the importance of ethics and compliance.

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