You may or may not have a Chief Ethics and Compliance Officer. The non-profit OCEG certainly recommends that you install one. Beyond that it offers some tips about how the job can maximize the compliance process and generate other benefits. A specific CECO job must be tailored to the company. but there are some bedrock principles. Establish a compliance committee with C-level responsibility. Obtain buy-in from the board. Design a compensation plan that does not incent unethical behavior. It will not prevent Sarbox violations. But you've got too much on the line not to do this.