This another course in our series on the controllership function. The controller’s role encompasses many traditional responsibilities. The breadth and depth of the controller skill set has expanded and will continue to expand as the business world evolves.

Controllers ensure that the company adheres to all relevant laws and regulations. Their role in compliance extends not just to financial areas but operational, regulatory and legal compliance. They stay up to date with changes in financial regulations and adjust the company's policies and procedures accordingly.

The controller has several broad areas to stay up to date on regarding compliance initiatives:

  • Financial compliance
  • Regulatory compliance
  • Operational Compliance
  • IT Compliance

Within this segment we will address the controller’s role in compliance in today’s digital age.

Learning Objectives
  • Identify and overview the controller’s role in compliance.
  • Explore and examine controller’s role in financial compliance
  • Explore and examine controller’s role in regulatory compliance.
    • Understand primary regulatory agencies.
    • Examine regulatory compliance policies
  • Discover and examine controller’s role in operational and strategic compliance.
  • Identify and examine methods to ensure compliance.
  • Explore and examine consequences of non-compliance.
Last updated/reviewed: September 18, 2024
1 Review (6 ratings)

Reviews

5
Anonymous Author
Straight forward introduction to the world of compliance and the Controller's role in it.
Prerequisites
Course Complexity: Foundational
No advanced preparation or prerequisites are required for this course.
Education Provider Information
Company: Illumeo, Inc., 75 East Santa Clara St., Suite 1215, San Jose, CA 95113
Contact: For more information regarding this course, including complaint and cancellation policies, please contact our offices at (408) 400- 3993 or send an e-mail to .
Instructor for this course
  Course Overview CPE
Course Syllabus
INTRODUCTION AND OVERVIEW
  Introduction to The Controllers Role in Compliance5:46
  Financial Compliance7:39
  Regulatory Compliance18:09
  IT Regulatory Compliance and Major Regulatory Agencies10:31
  Regulatory Compliance Policy6:54
  Operational and Strategic Compliance7:00
  ESG Compliance3:40
  Ways to Ensure Compliance2:42
  Consequence of Non-Compliance3:40
  Summary and Appendix3:04
CONTINUOUS PLAY
  The Controllers Role in Compliance1:09:05
SUPPORTING MATERIAL
  Slides: The Controllership Series: The Controllers Role in CompliancePDF
  The Controllership Series: The Controllers Role in Compliance Glossary/IndexPDF
REVIEW AND TEST
  REVIEW QUESTIONSquiz
 FINAL EXAMexam