Quote:
Originally Posted by DMcCunney
An old friend was a senior marking communications person for a major brokerage firm. She created content for various firm offerings and firm members.
The biggest issue she had to deal with was Compliance, and what might be said and how to say it that would conform to the constantly changing nature of the applicable financial regulations. She spent a fair bit of time explaining to various, and in some cases very senior, people that what they wanted wasn't in compliance, would bite the firm in the butt if done as desired, so no, she couldn't do it as desired, sorry.
She referred to the staffers charged with enforcing compliance as Nazguls. She also spent a fair bit of time mentoring junior employees, and talked about one who decided he wanted to be a Nazgul. She was sympathetic. Compliance officer was an absolutely necessary job, and somebody had to do it, so she gave him the best advice she could about how to pursue that path within the firm.
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Dennis
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In another life I did actual FDA compliance work. This is NOTHING like that. This is just making sure we gave the right legal service to the right people and we documented it in the right way to get paid. Our entire client base is below the poverty line and do not pay for our services. We are fully grant funded. So I am just making sure we did our jobs. Actual compliance was hell. This is more mentoring and helping young attorneys.