Although best practice frameworks are available to guide adherence to compliance regulations, people are necessary to make it all happen. The roles of compliance strategy and implementation are evolving within enterprises with departments and C-Suite positions, including a dedicated compliance department who, along with the CCO, can be tasked with overseeing, planning, and managing elements that work towards IT compliance. Let’s take a closer look at the roles of a CCO and the overall compliance team.
Chief Compliance Officer (CCO): The CCO will be responsible for identifying and managing compliance risk, including developing internal and external controls to manage and resolve compliance problems. Oftentimes, a CCO will put a compliance department in place to provide complete compliance services to the business and staff.
Chief Technology Office (CTO): Unlike a CCO, the CTO oversees the entire technology framework and infrastructure including compliance, governance, and risk assessment.
Compliance Department: Our organization has a dedicated compliance department, charged with managing and overseeing compliance with all applicable regulations and mandates.
- Duties may include:
Implementing risk controls
Reporting on the effectiveness of controls
Resolving compliance problems
Providing regulatory advisement to the business
However, it should be noted that while the technical, procedural, and strategic management resides with those with the greatest liability risk (IT staff, CIO, CFO, and CEO), all constituents in the corporate structure are responsible for complying with the regulations that protect sensitive information.
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