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Compliance Officer Advancement Options

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What are a lawyer's options, in regard to advancement, should he/she take a position as a compliance officer? Are there any case studies or examples of those who have moved on to be a General Counsel or other Management position after starting as Compliance Officer?

Over the last 30 years I have been very fortunate in being able to deal with many attorneys who are compliance officers. I haven't known many who have moved on to general counsel maybe because the compliance job wore them out! The attorney who can serve a financial institution as an expert in both Compliance and the Uniform Commercial Code is a rare bird, indeed. That lawyer, along with the lawyer in the very large banks that specialize in antimoney laundering is sure to go far up the administrative ladder. Financial institutions are in need of lawyers who are conversant in Compliance and the UCC.

First published on 05/5/03

First published on 05/05/2003

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Filed under compliance as: 

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