Podcast: SEC Commissioner Hester Peirce reflects on public service and compliance

Our US content manager Julie DiMauro spoke to SEC commissioner Hester Peirce about the challenges of being a compliance officer.

We talked about:

  • How compliance obligations lie with firms and not with chief compliance officers or staff.
  • The importance of setting aside adequate resources for compliance departments and programs.
  • Why Commissioner Peirce sees serving as a compliance officer in the private sector as a form of public service.

A transcript of this podcast is available.