Analyze Roles and Responsibilities for Compliance Management Essay

You have completed an internship in the finance division of a fast-growing information technology corporation. Your boss, the financial manager, is considering

hiring you for a full-time job. He first wants to evaluate your financial knowledge and has provided you with a short examination. When composing your answers

to this employment examination, ensure that they are cohesive and read like a short essay.

Your submission must address the following critical elements:

I. Analyze Roles and Responsibilities for Compliance

A. Examine the types of decisions financial managers make. How are these decisions related to the primary objective of financial managers?

B. Analyze the various ethical issues a financial manager could potentially face and how these could be handled.

C. Compare and contrast the different federal safeguards that are in place to reduce financial reporting abuse. Why are these considered

appropriate safeguards?

II. Investment Options

A. If a private company is “going public,” what does this mean, and how would the company do this? What are the advantages of doing this? Do

you see any disadvantages? If so, what are they?

B. How do the largest U.S. stock markets differ? Out of those choices, which would be the smartest private investment option, in your opinion?

Why?

C. Compare and contrast the various investment products that are available and the types of institutions that sell them.