---
title: "Map the designated chief compliance officer"
url: "https://ailawframework.com/practice/financial-services-regulation/map-individual-accountability-for-ai-and-operational-risk/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-T1-R8-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Map the designated chief compliance officer

> Record the person named as chief compliance officer and the functions the written policies assign to that person, each with the page. Write no accountability statement.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/map-individual-accountability-for-ai-and-operational-risk/united-states  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Financial Services Regulation (AFSL/ASIC/credit)](https://ailawframework.com/practice/financial-services-regulation.md) |
| Human involvement | Yellow: Lawyer and AI draft together |
| How AI is used | Record the person named as chief compliance officer and the functions the written policies assign to that person, each with the page. Write no accountability statement. |
| What the lawyer must review | Rule 206(4)-7(c) requires the adviser to designate a supervised person responsible for administering the policies adopted under paragraph (a). Paragraph (b) requires a review no less frequently than annually. This is not an Australian accountability map or accountability statement. The lawyer decides whether the designation meets the rule. The tool does not prepare a statement for anyone to sign. |
| Written for | United States |
| Applies to | [Map individual accountability for AI and operational risk](https://ailawframework.com/practice/financial-services-regulation/map-individual-accountability-for-ai-and-operational-risk.md) |

## Checking plan

- What the AI does: Record the person named as chief compliance officer and the functions the written policies assign to that person, each with the page. Write no accountability statement.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- Do not import an Australian accountable-person regime.
- Naming a person in the policy is not a conclusion that the policies are adequate.

## Sources

- [17 C.F.R. section 275.206(4)-7, Compliance procedures and practices](https://www.law.cornell.edu/cfr/text/17/275.206(4)-7) (checked 2026-10-22)
- [ABA Formal Opinion 512, Generative Artificial Intelligence Tools (29 July 2024)](https://www.americanbar.org/content/dam/aba/administrative/professional_responsibility/ethics-opinions/aba-formal-opinion-512.pdf) (checked 2026-10-22)

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*