5 Key Takeaways on the CCO’s Expanding Role with Technology


From fully automated personal trading supervision to advertising review, many of the day-to-day tasks of today’s compliance officers are wrapped up in the use of technology. As such, the relationship between compliance officers and technology has shifted.

As part of the MCO 2016 Webinar series, our May co-hosts and guest experts, FrontLine Compliance discussed the CCO’s Changing Role in Technology in detail.

In case you missed it, here are five key takeaways from the webinar, “The CCO’s Expanding Role with Technology”.

5 Key Takeaways

  1. Know that the Role of Compliance has changed with the introduction of technology as part of everyday duties and be prepared for both the pros and the cons.

  2. Take a seat at the tech table. Today, compliance officers play an important role in the procurement process.

  3. Make any new system implementation a part of the compliance program & vice versa

  4. Update written procedures as applicable when existing systems evolve through the use of new technology or when technology is upgraded.

  5. Make sure your employees can use your tech. While an intuitive to use approach to software is often best, supervisors may require additional training. Make sure everyone has the training they need in order to properly use the tools you’ve selected.

Want to know more? Please feel free to request a copy of the slides from our Webinar co-host, FrontLine Compliance:

Chip Arvantides 301.231.5800 (office)