Compliance officer
Chief compliance officer, compliance manager, records and surveillance lead
Decides who must be recorded, how long recordings are kept and who may listen, and answers for the completeness of the records.
Sees
- The recording policy and the coverage of every in-scope person and line
- Gaps, incidents and their affected periods
- Who can search, play back and export recordings
- Service reports and the audit trail
Does
- Approves the recording policy and changes to it
- Approves retention rules for each recording population
- Approves exports of recordings outside the platform
- Certifies access reviews
- Decides how a recording gap is handled and whether it must be reported
- Attends the monthly service review
Cannot
- Delete recordings before their retention period ends
- Edit or delete entries in the audit trail
- Approve an export they requested themselves without a second approver