Moving from computer programming to compliance and operations over the course of my career is not surprising given the similarities in these areas. They all require rules, procedures, and attention to detail, which are areas in which I thrive. Further, compliance and operations logically go together. Operations run more efficiently with a set of compliance, conduct, and ethical rules that guide a business. In turn, compliance runs effectively when coupled with an understanding of the operational requirements of the business. The final piece I incorporate in my approach to compliance is the identification, management, and reporting of risks that apply to the business.I view compliance as the integration of an understanding of the firm itself, industry, and global environment together with the employees tasked to implement the firm’s mission. Knowledge of the firm’s rules, procedures, and policies in areas such as ethics, regulations, and anti-money laundering provides employees with the necessary tools to perform their roles effectively within the firm’s legal and operational context. Ongoing training and operational monitoring that I provide ensure employee comfort and understanding of the relevant policies and procedures in place.While I utilize knowledge of relevant regulations and laws as a compliance officer, I also approach compliance on a human level. This involves an appreciation of the value of the firm’s employees when I provide them with the appropriate guides of conduct and ethics along with the training to perform their roles effectively in the overall framework of the firm as a business and as a dynamic organization integrating human beings working together in the mission for that firm. Compliance is more than just a blind adherence to the rules and laws. It provides a toolset for me as the compliance officer and for all others involved in implementing the goals of an organization for the benefit of all the stakeholders involved.