SmartSuite for the Compliance Counsel
Compliance Counsel is the lawyer embedded in the compliance programme. They interpret regulations, advise on obligations and policy wording, support investigations and regulatory responses, and make sure compliance decisions are legally defensible and documented.
What you own
- Interpret regulations and advise on their application to the business
- Review policies, procedures and training for legal accuracy
- Support compliance investigations and privilege decisions
- Draft and review responses to regulatory inquiries
- Advise on remediation and self-disclosure decisions
- Track legal developments affecting the compliance programme
Where the role sits
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Reports to
Direct reports
Works closely with
GRC processes
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Owns
accountable for the process
Touches
contributes or approves
Depends on
consumes its output
How SmartSuite helps, suite by suite
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How they use the Legal Operations suite
Regulatory interpretation
Reviews legal obligations tied to contracts and operations.
Compliance validation
Confirms documentation and controls meet regulatory expectations.
Audit support
Produces defensible records for regulators and auditors.
Suites that serve this role
Products this role uses most
How SmartSuite supports this role
Compliance management. Links legal requirements to obligations, policies and controls so counsel's interpretations are recorded against the obligation they affect.
Policy management. Routes policies through legal review and approval with version history.
Issues and actions. Supports investigations and regulatory responses as cases with restricted access and document logs.
Reporting. Gives counsel a view of open compliance matters, inquiries and deadlines.
Industry reference
The ACC's in-house counsel competencies and the SCCE's compliance and ethics practice describe the role; the DOJ's compliance programme evaluation and the FCPA set much of the subject matter. Privilege over investigations, defined in US law by Upjohn, shapes how counsel structures inquiries and documents advice.
Sector rulebooks determine the daily questions: securities and banking law for financial firms, the Anti-Kickback Statute, Stark Law and HIPAA for healthcare, procurement and ethics statutes for public bodies, and privacy, export control and consumer protection law for technology companies.
In their words
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