Introduction

Responsibilities of Corporate Compliance Representatives for sub-programs or Sites

The Compliance Council annually reviews and selects one or more individuals to serve as Compliance Representatives for each sub-program and site, as well as for appropriate specific issues that require corporate compliance oversight.  Compliance Representatives are at the Associate Director level or higher.  The Compliance Representatives have the following responsibilities:
  • Oversee their sub-program or site  to ensure key compliance obligations are appropriately addressed;
  • Serve on Compliance Council subcommittee(s) and report periodically on their sub-program’s or sites' efforts and effectiveness in supporting the subcommittee’s charter;
  • Assist in resolving questions about compliance requirements within their sub-programs or sites and communicate global compliance expectations and directions to staff members;
  • Oversee the drafting and publication of any necessary Corporate Compliance sub-program training documents;
  • Organize and facilitate ongoing compliance education in areas they oversee;
  • Identify and evaluate compliance issues in areas they oversee and apprise Compliance Council and/or the Chief Compliance Officer of the issues; and
  • Maintain records of compliance activities that they oversee.