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So you want to be a compliance professional?

One good way to learn about any profession is to talk to those who have walked the path before you and hear their thoughts on its rewards and challenges. Reviewing actual job descriptions can also be helpful. And reading some of the debate over the still evolving Ethics / Compliance role may prove enlightening as well.

Wisdom from current and former Compliance and/or Ethics Officers:

• Former SVP and Chief Compliance Officer of a large for profit hospital chain, Audrey Andrews, Tenet

• Benedict Barnes, Deputy Compliance Officer for a financial services firm (2011)(video)

• The twitter feed of former Group Compliance Officer at a for profit company, Donna Boehme, BP plc

• A healthcare Director of Compliance , Karen Boyle, US Physical Therapy (2011) (video)

• A former government compliance officer, Frederick Blumenschein, FDA

• Government Programs Compliance Officer for BC BS of SC, Cindy Cooper

• The first VP of Ethics in a for profit company, John Copeland, Tyson Foods

• A former VP / Chief Ethics and Compliance Officer at a medical device company, Kathy DiGiorno, Medtronic (video)

• A former Chief Ethics Officer, Kathleen Edmond, Best Buy

• The Compliance Officer for a Leafy Greens Marketing Agreement, Jonathan Field

• A Day In the Life of A Compliance Officer - Morven Grierson

• A former Chief Compliance Officer at two different for profit companies, Pat Gnazzos, United Technologies and CA Inc. (2 videos)

• "Brief Confessions of an Ex-Compliance Officer", Marty Herbert ,Wolters Kluwer (2012)

• Global Director of Ethics, Emauel Lulin, L'Oreal

• Chief Compliance Officer for a University Medical System, Laura Callahan Mezzan, Johns Hopkins

• A local ethics officer for Jacksonville Florida, Carla Miller

• University of California Davis CCO, Teresa Porter, describes her job to her organization.

• SNC-Lavalin's CCO, Andreas Pohlmann, talks about his role as a "trusted advisor"

• Former Prosecutor, Former IG turned Chief Integrity Officer for a government agency, James Sheehan (2012) (video)

• Compliance and Ethics Officer for Consolidated Edison, Kimberly Strong, talks about communicating across a large organization (2014)(video)

• Nokia's Global Ethics Officer, Rob Weisberg (video)

• Compliance Officer for Eastern Michigan University's Athletics Department, Melody Reifel Werner

• The University of Toledo has an ADA Compliance Officer, Wendy Wilitala, and a Chief Compliance Officer, David Cutri (video)

• SVP and Chief Ethics and Compliance Officer of a large hospital chain, Alan Yuspeh, HCA

• News Corp's Chief Compliance Officer, Gerson Zweifach

• Compliance Officer: Stress, Sanity and Sensibility (Panel of CECOS 2012) (video)

Compliance and Ethics Jobs Described

To browse a collection of actual C&E job descriptions, click here.

Opinions About the Role from Academia, Industry and Gatherings of the Interested:

• Why Chief Compliance Officers Are More Important Than Ever (Browning 2013)

• Two is Company, Three is a Crowd: Compliance Officers, In-House and Outside Counsel (2013)

• Turning Compliance from a Cost into an Asset (Dow Jones Panel 2013)(video)

• Who would volunteer for the role of Compliance Officer? (Freeman 2013)

• Some Thoughts on What Makes a Good CCO (Fox 2013)

• The Evolving Responsibilities and Liabilities of Ethics Representatives: A Practical Guide (European Business Ethics Forum 2013)

• Compliance Stakes Its Independence (Park and Peterson 2013)

• Remarks at The 2013 National Compliance Outreach Program for Broker-Dealers (Gallagher, SEC Commissioner)

• 4 Common Characteristics of the Best Compliance Officers (Sullivan 2012)

• Three Keys to the Role of Chief Compliance Officer (Fox 2012)

• Roy Snell, SCCE, explains his views on the role. (2012)(video)

• Evidence, access aid job security when compliance staff raise a red flag (Olaoye 2012)

• Ethical Culture a Top Priority in 2012 for Compliance Officers But Structural Barriers Remain (LRN 2012)

• The Law School Class That May Just Get You A Job (Matthews 2012)

• The Chief Compliance Officer of the Future (Deloitte 2012) (video)

• General Counsel, Chief Compliance Officer . . . or Both? (Dunn 2012)

• The Evolving Role and Expectations of the Chief Ethics and Compliance Officer (McCleskey 2012)

• Compliance Officers "Inundated" With Due Diligence Questionnaires (Matthews 2012)

• Compliance Profession - Setting The Career Path for Compliance Officers (Kelly 2012)

• Do The Right Thing - Then Get Fired (Reuters 2012)

• Evolution of the Chief Ethics and Compliance Officer (McCleskey 2012) (video)

• Compliance officers face multiple options for credentials (Dimauro 2012)

• #35 in U.S. News Best Jobs 2012

• Stress, Compliance and Ethics (HCCA and SCCE 2012)

• An SEC Commissioner's Plea for Clarity (Barlyn 2012)

  
  
  

• Chief Compliance Officer of the Future (Deloitte 2011)(video)

• Eyeing Compliance Officer Resignations (Murphy 2011)(video)

• NRS Compliance Compensation Study (2011)

• Ethics and Compliance Function at Manufacturing Companies (MAPI 2011) (video)

• State of Compliance 2011 (PwC and Compliance Week, 2011)

  
  
  

• Don't Divorce the GC and the Compliance Officer (Heineman 2010)

• Corporate Clergy: Role of Compliance Officer Involves Communicating Meaning, Importance of Ethics (Liebman 2010)

• Compliance Professional of Yesterday, Today and Tomorrow (Oglanian 2010)

• Chief Compliance Officers, SEC Style (Kelly 2010)

• Compliance Officer Salary Survey Results (HCPRO 2010)

• The Business Case for a Standalone Chief Compliance Officer Position (Corpedia 2010)

• Role of the Ethics Officer (Trevino, 2010)(2 videos)

• A Compliance Officer’s Role (Eichenwald, 2010)(series of videos)

• Leading Corporate Integrity (ERC Fellows 2010)

• Perspectives of Chief Ethics and Compliance Officers on the Detection and Prevention of Corporate Misdeeds (Rand 2009)

• The Role of the Chief Ethics and Compliance Officer (Bednar 2007)

• What Is The Role of Chief Compliance/Chief Ethics Officer? (O'Connor 2005)

• Position Description for Chief Compliance Officer (ACHE)

• Code of Ethics for Health Care compliance Professionals (HCCA 1999)

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If you are currently searching for a position or want to see the types of roles that become available, check out Compliance Opportunities (Sources of job listings)

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Learning the Profession

As is evidenced by the comments linked above, many of those currently in compliance officer / professional roles gravitated into the field from another area – law, internal audit, administration, law enforcement, even clinical work. But more and more frequently it seems employers are looking for a “certification” or other external validation of their compliance professional’s competence. And there are a number of programs, with widely varying formats, prices and prerequisites, that have been developed to fit that demand.

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Certifying Organizations

Also there are a number of organizations offering “Certifications” related to Compliance:

• The American Academy of Professional Coders (AAPC) has the Certified Professional Compliance Officer (CPCO) credential

• The Association of Insurance Compliance Professionals has two certifications (ACP, CCP)

• The American Bankers Association's Institute has a variety of certifications

• Various certifications are available from the Compliance Certification Board (CHC, CHRC, CHPC, CCEP)

• Ethics and Compliance Officers AssociationThe Ethics and Compliance Officers Association (ECOA) offers two certifications - become a Leading or Advanced Professional in Ethics and Compliance (LPEC / APEC)

• The National Association of Federal Credit Unions has a certification (NCCO)

• Designation as a Certified Securities Compliance Professional (CSCP) is available from the National Society of Compliance Professionals

• The Regulatory Affairs Professionals Society has a certification (RAC)

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