Difficult People and How to Handle Them. 1  The Tyrant rants and raves and makes no sense. 2  The Ogre is grumpy and unpleasant and snaps for no reason. 3  The Bully derives pleasure from pushing other people around. 4  The Loose Cannon is quiet and pent up but abusive when set off.
A compliance manager is a professional that keeps the legal and ethical integrity of a company intact through policy enforcement and program planning. He or she makes sure all departments of a business are complying with the rules and regulations the company upholds.
Chief Compliance Officers of Investment Advisers (CCOs) [1] play an important and crucial role in fostering integrity in the securities industry.They are responsible for making sure that their firms comply with the rules that apply to their operations.iven the vital role that CCOs play, they need to be supported. Simply stated, the Commission needs capable and honest CCOs to help protect investors and the integrity of the capital markets. Recently, a fellow Commissioner issued a public dissent in two recent enforcement actions against CCOs of investment advisers.