Compliance Officers are very important to a company in order to keep things in control. They are mindful of what rules are being followed, and they keep everything in line. For companies that don’t have compliance officers, they may run into problems that they didn’t foresee because they didn’t have anyone overseeing these types of duties.
Sometimes All The Blame Is Put On The Compliance Officers
I have seen it happen many times when the Compliance Officers receive the blame for whatever goes wrong because they are supposed to catch the problems. They are to oversee because that is their job, but they also need to report bad workers so that the problems don’t continue.
Helane is a lawyer. She directed the enforcement of the Securities and Exchange Commission’s San Francisco District Office program. She was watching over everything that happens there, and keeping it in line. At the same site, she was also the Office Administrator.
Even before 1996, Helane was practicing law. Many of her clients were sued by the SEC, and she represented them. At this time, she was a partner in the firm, Howard, Rice, Nemerovski, Canady, Falk & Rabkin. She consistently has risen to the demands of the jobs that she takes on.
When people think of the somewhat thankless job of the Compliance Officers, they should remember that without them, companies wouldn’t be able to conduct the business that they do and offer the services and products that we have become so accustomed to.
Check out Helane’s Bloomberg profile to learn more about her life and career.