A compliance officer is a professional responsible for ensuring that a company and its employees follow internal policies and procedures as well as external rules, regulations, and laws. They typically collaborate with legal, human, resources, and audit departments, and report to senior management and the board on compliance issues, including trends in internal reporting and whistleblowing.

Compliance officers play a key role in educating employees about their rights and responsibilities regarding whistleblowing, as well as the company’s policies on reporting misconduct.

Compliance officers often serve as a primary internal reporting channel for potential whistleblowers. Employees may report concerns or suspected wrongdoing to the compliance officer before considering external whistleblowing.

When receiving reports of potential misconduct, compliance officers are typically responsible for initiating and overseeing internal investigations. In cases where external reporting occurs, compliance officers may serve as a liaison between the company and regulatory authorities.