Supervisory Liability and Compliance: The Risk-Oversight Tradeoff

Compliance is a unique and somewhat paradoxical professional responsibility – one that must simultaneously co-exist in a silo of independence and as a fly on the wall of each department within investment advisory and broker-dealer firms. While some employees may believe that compliance personnel are constantly after them with an onslaught of regulatory requirements, acknowledgement forms, and mandatory training, it may be surprising that compliance personnel generally do not seem to view their own roles as supervisory in nature.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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