Foreside’s Kelli A. Haugh, Managing Director, recently authored a piece focusing on the importance of gender diversity, equity, and inclusion in compliance for an edition of NSCP Currents. Kelli is a volunteer of the NSCP’s Diversity and Inclusion Working Committee and understands the challenges surrounding the underrepresentation in leadership, specifically when it comes to compliance.
A perceived lack of executive authority is particularly problematic for CCOs. They have a vital role in setting a compliance tone at the top and overseeing a firm’s compliance policies and procedures.
“Undermining the CCO’s decision-making or not adequately considering issues raised by the CCO, even implicitly, diminishes the integrity of the firm’s compliance program and puts the firm at risk.” Kelli shares.
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