Anyone have a compliance/legal combined title, i.e. CCO/Counsel? If so how do you keep things privileged? Does the counsel title allow that or do you have to work in different capacities at different times?

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I’ve always assumed the counsel title allows for privilege because compliance matters are de jure legal matters. I’ve never seen any attorney client privilege fights about this issue in the wild, although I’m sure someone could fight about it immaturely.

The scary thing though is when compliance officers are not licensed lawyers. That’s free disco right there.

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I agree that they are different categories of compliance, but all relevant categories of compliance are part of a good compliance program. I think the nuance here might be that I’m speaking of how to drive programmatic compliance and you’re speaking of the specifics of each type of compliance - Trying to distinguish between corporate compliance and regulatory compliance may not make sense in the context of a company that is actually trying to run a program (speaking as a person who has set up successful programs inside companies rather than as an external advisor) - the most effective programs see all the compliance leaders (ciso, privacy, CCO etc) inside the company work inside a common framework for policies, training and escalation that is designed around transparency - which as you’ve pointed out is oftentimes directly at odds with the concept of privilege.

I agree with you that a finance institution for example could successfully have a separate group for regulatory compliance vs corporate compliance (neither of which are “attorney” functions) but I’ve also seen very healthy organizations have both corporate compliance and regulatory compliance under the purview of the CCO, because from an operational standpoint the governance constructs that you create inside the company to ensure compliance is part of the fabric of what you do are largely the same - regardless of compliance category - the reporting may be different in form and to whom - but the construct of the program will leverage the same tools and principles around the basics of education, training, audit, and iteration.

All of this is probably summed up with: this is all far more nuanced than saying “everyone who is licensed has privilege”

Thanks for the conversation. :-)

I’ve was GC and CCO at a company. It matters the type of work that you are doing and if it’s clear that it’s meant to be done under ACP or AWP.

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