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The Compliance Life

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The Compliance Life

Maria D’Avanzo – Move to Compliance

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Maria D’Avanzo. We discuss Maria’s journey from a real estate and probate lawyer to compliance,  then CCO chair, and now as the Chief Evangelist Officer at Traliant.  

The 2008 financial crisis caused a downturn in real estate work so Maria sold her law practice. This precipitated her move into the compliance field. Maria began her first compliance role at a real estate focused private equity shop. Here she registered investment adviser and broker dealer entities and obtained series 7, 63 and 24 licenses.  After four years, Maria moved to Deputy Chief Compliance Officer at AIG Asset Management where she led a team of compliance professionals handling regulatory compliance matters on behalf of both registered investment advisers and broker dealer entities in North America.

Resources

Maria D’Avanzo LinkedIn Profile

Traliant.com

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The Compliance Life

Maria D’ Avanzo – Academic Background and Early Professional Career

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Maria D’ Avanzo. We discuss Maria’s journey from a real estate and probate lawyer to compliance,  then CCO chair, and now as the Chief Evangelist Officer at Traliant.

Maria attended the College of the Holy Cross and St. John’s University School of Law. Her early professional career included working at a boutique litigation shop in White Plains, NY, defending mass tort litigations involving repetitive stress injury claims. She then moved to a small insurance defense firm also, White Plains. She and her husband founded a small law practice focusing on real estate and small business transactions.

Resources

Maria D’ Avanzo LinkedIn Profile

Traliant.com

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The Compliance Life

Scott Garland – Lessons Learned in Ethics and Going Forward

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I am joined by Scott Garland, Managing Director at AMI. Scott came to AMI from the DOJ, where he held the role of Professional Responsibility Officer. As he described, it was akin to a CCO role for the US Attorney’s Office for Massachusetts.

Some of the key lessons Garland learned in the role of Professional Responsibility Officer, which apply to the skill set needed to be a CCO, include; (1) Always do the right thing, but it is not always obvious what that is; (2) the issue you are presented might not be the real issue, or the sole real issue, (3) being calm and nonjudgmental helps people open up, (4) try and balance analysis with action, pragmatism with principles, using tenets of risk management, (5) craft advice that is simple, clear, and unambiguous. (6)Do not just say what not to do; also say what to do and when to come back for more help, (7)  admit mistakes as soon as possible, and (8) good people make mistakes. Most people will forgive a mistake if done unintentionally; you are forthright about it and try to fix it.

Garland recently joined Affiliated Monitors, Inc. as Managing Director – Sanctions, Cyber, Fraud, and Ethics Compliance & Monitoring. One of the reasons he did so was to help companies strengthen their compliance operations in these areas in a couple of areas. The first is before the government comes knocking by proactively assessing a company’s compliance operations and ethical culture and recommending improvements. The second is after the government knocks, acting as an independent monitor of the company’s compliance with a plea agreement, settlement agreement, consent decree, court or administrative order; emphasize not playing gotcha or playing the blame game, but rather with helping the company improve through lasting change.

Resources

Scott Garland’s Profile on AMI

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The Compliance Life

Scott Garland – Becoming a Professional Responsibility Officer

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I am joined by Scott Garland, Managing Director at AMI. Scott came to AMI from the DOJ, where he held the role of Professional Responsibility Officer. As he described, it was akin to a CCO role for the US Attorney’s Office for Massachusetts.

It was at the US Attorney’s Office for the District of Massachusetts where Garland moved into the Professional Responsibility Officer role. In this role, he was the Office’s primary expert on legal ethics, but his remit extended to constitutional issues and DOJ regulations. Some typical issues he dealt with included conflicts of interest, allegations/findings of lawyer misconduct, dealing with represented parties, handling confidential or privileged information, and liaising with oversight agencies.

Resources

Scott Garland’s Profile on AMI

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The Compliance Life

Scott Garland – To the DOJ and the Computer Crime & Intellectual Property and National Security Unit

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I am joined by Scott Garland, Managing Director at AMI. Scott came to AMI from the DOJ, where he held the role of Professional Responsibility Officer. As he described, it was akin to a CCO role for the US Attorney’s Office for Massachusetts.

With a knack for understanding technology, relating it to legal issues, and translating it for lawyers, judges, and juries, Garland went to the DOJ, working at Main Justice in Computer Crime & Intellectual Property Section in DC. His work there included criminal investigations and trials, policy analysis, and drafting manuals. From that position, he moved to Boston to the US Attorney’s Office for the District of Massachusetts. He began in the Cybercrime Unit, then National Security Unit, eventually becoming NSU’s Deputy Chief, then Acting Chief of the Unit. Along the way, he picked up a variety of advisory responsibilities: identity theft coordinator, committee on dealing with cooperating witnesses, and grand jury supervisor.

Resources

Scott Garland’s Profile on AMI

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The Compliance Life

Scott Garland – From Computer Science to Law

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I am joined by Scott Garland, Managing Director at AMI. Scott came to AMI from the DOJ, where he held the role of Professional Responsibility Officer. As he described, it was akin to a CCO role for the US Attorney’s Office for Massachusetts.

Garland’s Bachelor’s Degree was more analytical than most CCO types as he entered MIT to major in software engineering and graduated with a B.Sc. in Economics. After college, he worked as a statistical research associate at a consulting company. He decided he wanted to bridge analysis to policy, so he went to the University of Michigan Law School for his law school degree. He then held a federal judicial clerkship and worked at two mid-sized law firms, practicing white-collar criminal defense and some litigation, including constitutional law.

Resources

Scott Garland’s Profile on AMI

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The Compliance Life

Joe Burke-Looking Down the Road for Compliance

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc.

In this concluding episode, Burke looks down the road for compliance in the following areas. Data privacy and trade compliance take center stage. How the new ownership model provided by Private Equity provides challenges and opportunities. The long, slow march to ethics and tone.

How do we inspire through influence through the teaching of compliance?

Resources

Joe Burke LinkedIn Profile

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The Compliance Life

Joe Burke – Into the CCO Chair

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc.

Burke continues his roles at Dell, doing global audits and Investigations. He also worked his legal role to drive change in compliance. In 2017, he left Dell to move to the spin-off of Quest Software Inc. and a new role as Chief Ethics and Compliance Officer. In this role, he created a new compliance regime and worked with the Private Equity owners to bring about change at Quest in the area of compliance.

Resources

Joe Burke LinkedIn Profile

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The Compliance Life

Joe Burke -To Dell and Into Compliance

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc.

From Kentucky Fried Chicken in Louisville, Joe moved to Round Rock, TX, to work at Dell Inc. He began in Federal Government Sales, where he developed a compliance program for GSA and TAA work for  Dell Federal. He moved into compliance with the “big switch” from commercial legal to Chief Compliance Counsel. In this role, he was instrumental in building a new FCPA program using the Federal Sentencing Guidelines as a guideline.

Resources

Joe Burke LinkedIn Profile

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The Compliance Life

Joe Burke – From UVA to Colonel Sanders

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc.

Episode 1- College & Early Career

Joe discusses his early life and going to college at UVA with a degree in history and French and then law school at Fordham. He began his legal career at Donovan, Leisure in NYC. From there, he transition to PepsiCo, Inc. in the Kentucky Fried Chicken sub in Louisville, KY and learned about the franchising world. He has some interesting observations on culture in the franchisor/franchisee relationship. He discusses how all of these institutions impacted his career going forward.

Resources

Joe Burke LinkedIn Profile