Seeking advice (compliance trouble)
A while ago I emailed some codes that I wrote at home to my work email. It somehow got flagged by compliance after 3 months, and they're chasing me on what it is/whether it was approved.
I'm a bit nervous about how it might be perceived and the potential consequences. How serious is this? What's the best way to communicate to compliance to avoid more complications?
Thanks in advance!
It's better you sent from home to work email than vice versa, but it raises the question of whether or not you're developing IP and potentially keeping a copy at home that you could take to a competing firm.
No idea how to handle this. Bad move if you didn't get any sort of sign off.
I did something similar with financial models that I built before starting a new role, but I had my PM and compliance sign off before I emailed them. And I emailed them to my PM and CC'd compliance.
It was actually something I wrote while in between jobs. Didn’t cross my mind to get a sign off bc it was nothing official / ip related. Looking back it was really unnecessary
in the future, host files online (Google Drive / Dropbox)...and then download them...who emails files?
Ofc, if one can access those at work
Terrible advice. These services are blocked at 99% of funds, and if they're not, compliance monitors them.
This situation just being straight forward is your best move. Tell them exactly what you told this message board: something you wrote between jobs, didn't think much about. The fact that you're sending it into work, not out, definitely makes you look a lot less suspicious.
Their biggest worry would be that the code is something you took from your last job, so any way you could make clear that it's not from there and/or not proprietary is helpful. Does the file have meta-data? It would be ideal if there's something that establishes when you wrote the code. (Maybe you could show them on your laptop or something?)
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