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Great Women in Compliance

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Great Women in Compliance

Great Women in Compliance: Amy Mertz Brown on Financial and Regulatory Compliance

Welcome to the Great Women in Compliance Podcast!

In this episode, Lisa visits with Amy Mertz Brown, the SVP Chief Compliance and Privacy Officer at BECU.

Amy started her career in the US government, where she was one of the first leaders at the  Consumer Financial Protection Bureau and was formerly the Chief Compliance Officer at the US Securities and Exchange Commission.  She discusses the similarities and differences between her government and in-house regulatory experiences, and the importance of specific training and detailed work instructions in highly regulated industries.

Amy also shares how she has built her career, and what she views as important in deciding on taking on a new role. Amy and Lisa also talk about Reshma Saujani’s views about imposter syndrome, rather than looking at the reasons someone feels like an imposter and questioning the concept and how it impacts women.

Key Highlights:

  • Regulatory Compliance in the Government and in the Private Sector
  • Regulatory Compliance Through Monitoring and Training
  • Navigating Evolving Financial Regulations
  • Questioning the Imposter Syndrome

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Great Women in Compliance: Compliance Week 2024 Wrap-Up

Welcome to the Great Women in Compliance Podcast. We are back and excited for the next set of podcasts.  We kick off with a discussion between #teamgwic: Hemma Lomax, Ellen Hunt, Sarah Hadden and Lisa Fine to talk about the recent Compliance Week 2024 conference and the upcoming podcast episodes.

Compliance Week started with the Women in Compliance brunch, where Ellen spoke and Lisa moderated. The focus of the brunch was on Board Service, which started a week of knowledge sharing, best practices, lessons learned, and building community in our profession

It was a great week in Washington, D.C. with phenomenal speakers and information sharing. Most of all, there was a positive energy from being surrounded by so many smart, dedicated, and hard-working compliance professionals who are creating ethical cultures where people can speak up and be heard.

Key Highlights:

It was a great week in Washington, D.C. with phenomenal speakers and information sharing. Most of all, there was a positive energy from being surrounded by so many smart, dedicated, and hard-working compliance professionals who are creating ethical cultures where people can speak up and be heard. Other key highlights included:

  • Empowering Women and Compliance Professionals for Board Positions
  • Ethical Empowerment for Compliance Culture Transformation
  • Empowering Ethical Decision-Making in Compliance Programs
  • Collaborative Experience: Compliance Professionals Uniting to Support Each Other

The #GWIC podcasts thanks #ComplianceWeek, all of the speakers, attendees, and the #Ethics and #Compliance Community for making this profession such a fulfilling career.

Resources:

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Great Women in Compliance – Christina Marshall on Global Compliance Leadership

Welcome to the Great Women in Compliance Podcast. In this episode, we visit Christina Marshall, an experienced ethics and compliance leader with extensive experience working with US and foreign regulators. Her expertise is in fraud and corruption investigations, risk assessments, and operationalizing compliance in complex global organizations. She currently leads the Oracle EMEA Compliance team, which is responsible for driving compliance through Europe, the Middle East, and Africa. She is a US-trained litigator with a Juris Doctor from Fordham University School of Law.

Christina has worked in private practice as well as as a senior counsel within the Division of Enforcement at the Securities Exchange Commission, which is responsible for investigating violations of the FCPA. Her extensive experience also includes teaching as a professor of Securities Regulation, White Collar Crime, Corporations and American Law. Based on her extensive experience, Christina is highly skilled in investigating procurement fraud, money laundering, and corruption, leading risk assessments, and creating preventative compliance practices.

Christina’s perspective on compliance best practices is that it should function as a partnership with the business, focusing significantly on transparency and support for business leaders, rather than acting as the ‘police’. Her knowledge in this area has been shaped by her prior experience at the US Securities and Exchange Commission’s Division of Enforcement and her extensive engagement with regulators worldwide. Additionally, her time spent teaching law in Russia has enriched her global perspective. She emphasizes the necessity of involving business partners in risk mitigation, with an emphasis on fostering trust and respect, particularly during challenging investigations.

Key Highlights:

  • Collaborative Approach to Achieving Compliance Goals
  • Efficient Risk Management Through Practical Prioritization
  • Fostering Trust Through Investigative Transparency
  • Encouraging Curiosity and Open Communication Culture
  • Global Compliance Strategies in Multinational Operations
  • Tailoring Compliance Programs for Regional Teams
  • Enhancing Compliance Practices Through Root Cause Analysis
  • Enhancing Efficiency Through Clear Communication

Resources:

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Great Women in Compliance – Alejandra Montenegro Almonte on Workplace Culture and Compliance

Welcome to the Great Women in Compliance Podcast. In this episode, Lisa visits with Alejandra Montenegro Almonte, who is a member at Miller & Chevalier and is the Chair of their International Practice and Practice Co-Lead, Workplace Culture. Prior to joining Miller & Chevalier, she was General Counsel for the North American and Latin American Division at Gategroup and an associate at Weil, Gotshal & Manges.  Alejandra has won awards and recognition from Chambers, Best Lawyers in America and Latin America, among others.

In this episode, Alejandra discusses her experience in global ethics and compliance programs, from advising on best practices to workplace investigations.  Alejandra has leveraged her experience in-house and at law firms to provide practical advice and explains her approach to advising clients.

Alejandra also provides insight on her experiences with monitorships, as she has advised clients in monitorships and acted as a monitor.  She talks about the importance of a proactive relationship between the monitor and the organization, as well as some thoughts about best practices for communications and meetings.

She applies a similar set of principles to all of her work, focusing on learning about a business, including its market dynamics and risks, as part of building the best program for that organization.  She uses that as a foundation for her work on program enhancements and on how to conduct workplace investigations.

As this is Women’s History Month, Alejandra provides some ideas on how we can best support women and diversity in our workplaces.

Key Highlights:

  • Building Global Ethics & Compliance Programs
  • Experience in Monitorships as an Advisor and a Monitor
  • Providing Practical Advice on Compliance Risks
  • Cultural Nuances in Global Workplace Dynamics
  • Insights During Women’s History Month

Resources

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Great Women in Compliance: Rupert Evill on Prioritizing Employee Well-Being in Risk Management

Welcome to the Great Women in Compliance Podcast. How can you make risk management more relevant? In this episode, Hemma Lomax visits with Rupert Evill, a seasoned expert in human-centered risk management with a diverse background spanning over 50 countries and 30 sectors and a strong academic foundation in business, international relations, and sustainability.

Rupert’s perspective on human-centered risk management is deeply rooted in the importance of understanding and valuing the personal and human aspects of risk. He emphasizes the need to consider values, ethics, and beliefs when assessing and managing risks, and highlights the significance of empathy, compassion, and curiosity in the process. His belief is that making risk management relevant involves engaging with local perspectives and experiences, acknowledging the realities faced by individuals in different contexts, and building relationships based on mutual understanding and respect. This perspective has been shaped by his extensive experience in due diligence, intelligence gathering, and counter-espionage, as well as his work with mid-caps and SMEs through his company, Ethics Insight.

Key Highlights:

  • Strength-Based Approach to Ethical Risk Management
  • Enhancing Employee Engagement through Simplified Communication
  • Empathy-driven Approach to Addressing Systemic Challenges
  • Fostering Ethical Culture Through Employee Engagement
  • Strategic Alignment for Effective Compliance Functions
  • Individual-Focused Risk Mitigation Strategies
  • Fostering Psychological Safety for Informed Decision-Making
  • Practical Risk Management Strategies for Businesses

Resources:

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Great Women in Compliance – Roundtable Discussion on Board of Directors and What They Expect from The Chief Ethics & Compliance Officer with Haydee Olinger and Avril Ussery Sisk

Welcome to the Great Women in Compliance! In this episode, Lisa and Ellen have as guests Haydee Olinger and Avril Ussery Sisk to discuss the Board and Compliance.

The Chief Ethics &Compliance Officer should be reporting regularly to the Board, but how do you know what the Board expects, especially if there are layers between you and the Board?  In this #GWIC episode, Lisa Fine and Ellen Hunt talk with Haydee Olinger and Avril Ussery Sisk, both current board members and ethics experts, about what they expect from the Chief Ethics and Compliance Officer.

You can hear this episode on Corporate Compliance Insights or wherever you hear podcasts. https://lnkd.in/d9VGcfw

Listen in for how these Board members want the Chief Ethics & Compliance Officer to provide pre-reads, meaningful metrics, and focus on the “high hard risks.” Learn about how to build relationships with the Board and ask for resources, as well as how to gain financial knowledge and business acumen. If you are thinking about getting on a board, Haydee and Avril share their journey and thoughts about how you can get started on your journey.  

Resources:

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Great Women in Compliance – Maria Doughty on Empowering Women Leaders

Welcome to the Great Women in Compliance podcast! In this episode, Lisa visits with Maria Doughty, who is a prominent figure in the realm of women in leadership and currently the president and CEO of the Chicago Network, which is the premier organization of Chicagoland’s most influential women leaders.

Maria is an ambassador for the organization, its purpose of empowering women to lead, and its mission to connect women for personal and professional growth, advance communities, and support and inspire the next generation of women.  Having joined in April 2020, she successfully led the organization through the global pandemic, developed a new strategic plan, digitally transformed the operations, rebuilt the employee team, maintained the organization’s fiscal stability, and increased member engagement.

Maria’s perspective on women in leadership emphasizes the importance of mentorship, intentional conversations, and transparency in helping women realize their potential and excel in leadership roles. Her experiences in both the corporate and nonprofit sectors have shaped her belief in the value of having others recognize and point out the skills and qualities that individuals may not see in themselves, leading to personal and professional growth. She also stresses the importance of diversity in leadership, noting that a variety of viewpoints is essential for critical thinking and effective progress. Maria’s career trajectory underscores her belief in the power of open, candid conversations, support, and genuine encouragement to empower women to succeed in leadership positions.

Join Lisa and Maria for another great episode of Great Women in Compliance.

 

Key Highlights:

  • Empowering Women Leaders in Chicagoland
  • Balancing Empathy and Support in Leadership
  • Empowering Women Leaders in Corporate Environments
  • Empowering Women for Inclusive Leadership Success
  • Enhancing Decision Success Through Diverse Perspectives

Resources:

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Great Women in Compliance – Sabrina Segal on Reimagining Risk Management

Welcome to the Great Women in Compliance Podcast. How can we reimagine risk management? In this episode, Hemma Lomax visits Sabrina Segal, a seasoned third-sector integrity risk and compliance advisor with a legal background. Sabrina is currently in Rwanda as part of an international development and humanitarian assistance team. She hosts Tolerable Risk, a podcast about integrity and compliance in the third sector.

Sabrina shares her perspective on compliance and risk management in the third sector, which is inherently high-risk, largely due to its operation in areas where the private sector may not see value and where government regulation has failed. Sabrina believes that traditional approaches to risk management, which are quantitative-heavy and designed for industries like finance and oil and gas, are unsuitable for the third sector, requiring a more accessible qualitative approach for diverse stakeholders. Drawing from an array of global experiences, Sabrina emphasizes the need for bespoke approaches tailored to the specific needs and constraints of small and medium-sized charities and nonprofits. Sabrina has developed an objective-centered risk management approach for the third sector based on work from her mentor, Timothy Leech. Objective-centered risk management focuses on facilitating the achievement of organizational objectives, collaborating to identify threats and opportunities, and directly influencing decision-making. Sabrina’s compliance and risk management work is designed to improve organizations’ overall programming and impact in the third sector. Still, it has many applications in the private sector and corporate compliance.

Key Highlights:

  • Tolerable Risk Podcast on Tailored Risk Management for Nonprofits

  • Navigating High-Risk Environments: Third Sector Compliance

  • Objective-Driven Risk Analysis and Decision-Making

  • Comprehensive Risk Management Strategy with Active Monitoring

  • The Importance of Involving Stakeholders in Risk Management

  • Quantitative tools and trust in data for risk management

  • Advocacy and Inclusion in Restorative Justice

Resources:

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Great Women in Compliance – Gitanjali Sakhuja on Dancing and Diplomacy in Compliance

Welcome to the Great Women in Compliance Podcast. In this episode, Hemma Lomax visits with Gitanjali Sakhuja, a Fractional Chief Compliance and Ethics Officer based in Washington, D.C. In her current role, Gitanjali works with small to mid-cap companies and nonprofits in the strategic implementation and management of their ethics and compliance programs. Gitanjali mentors regularly with StreetWise Partners, hosts Compliance Socials, a DMV-based community for ethics and compliance professionals and is currently also founding a path for Eyesea, an app mapping pollution in the oceans. She previously worked for the United Nations Development Programme in New York, Geneva, and Jakarta, and both UNICEF and Maersk in Copenhagen. Gitanjali received her J.D. from the Santa Clara University School of Law and is CCEP certified.

Gitanjali is a passionate lawyer with a unique approach to compliance and diplomacy, known for her creative infusion of dance into her work. Gitanjali’s perspective on the “dancing lawyer’s unique approach to compliance and diplomacy” is rooted in her belief that her passion for dance enhances her compliance skills and fosters a positive collaborative atmosphere. She likens the unique rhythm and movement of every dance to the tailored approach required in her compliance work, seeing a synergy between the two. Gitanjali’s experiences in diverse communities and international organizations have shaped her belief that all complex problems can be solved by understanding the intricacies of business and finding creative, practical solutions with business partners. Join Hemma Lomax and Gitanjali Sakhuja on this episode of Great Women in Compliance to delve deeper into her unique approach.

Key Highlights:

  • The Vibrant Connection: Dance and Compliance
  • The Dance of Diplomacy: A UN Career
  • Creative Problem Solving for Compliance Success
  • Leveraging relationships for impactful influence
  • Leveraging diverse experiences for diplomatic superpowers
  • Harnessing Influence: Empowering Change Through Collaboration

Resources:

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance – A Roundtable Discussion with Asha Palmer and Jason Meyer on Neurodivergent Learners

Welcome to the Great Women in Compliance Podcast. In this #GWIC episode, Ellen Hunt and Sarah Hadden visit with Asha Palmer and Jason Meyer about their experiences with neurodiversity and neurodivergent workers.

You can hear this episode on Corporate Compliance Insights or wherever you hear podcasts. https://lnkd.in/d9VGcfw

We live in a neurodiverse world, but what should Compliance do to reach neurodivergent workers? In this roundtable discussion with Asha Palmer, SVP of Compliance Solutions at Skillsoft and Jason Meyer, founder of the NeuRO Inclusion Initiative, we explore this question and talk about how Compliance can get its critical messages out in a way that they are understood by all. With an estimated 20% of the workforce being neurodivergent, now is the time to adapt and adjust how we are presenting compliance information so that it is neuroinclusive.

Listen in to learn more about:

  • How to create easy-to-digest bite-sized learnings to avoid cognitive overload not only for neuro divergent workers but for everyone;
  • Methods other than “separate but equal” to include the neuro divergent; and
  • Getting the feedback that you need to meet your learners where they are.

Additional Resources: