Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
In today’s episode of Great Women in Compliance, Lisa speaks with Ellen Hunt, who is the Senior Vice President and Audit, Ethics and Compliance Officer for AARP. Ellen has accomplished so much for the compliance community, in the field and is a friend, advocate and mentor to a lot of people, Lisa and Mary included.
Following along from the episode a few weeks ago about a dream compliance team, this discussion is about what makes a great Chief Ethics and Compliance Officer (although the title may differ from place to place).
The discussion includes a discussion of what the roles and responsibilities are and should be for a new CECO. This includes some thought about how to manage expectations of a Board and executive team, including the idea of looking at a program and seeing what may not be needed before adding new initiatives.
Ellen also talks about the best ways to lead a team, balancing the needs of high performers with other team members as a new CECO. She provides a few practical strategies that anyone can use at any time with their teams or within the organization.
Join the Great Women in Compliance community on LinkedIn here.
Day: February 26, 2020
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode we take a deep dive into Donald Trump ordering (via Twitter) the AG to reduce the length of sentence requested for Roger Stone and his pardons of 13 convicted white-collar criminals.
Some of the highlights include:
- What is the background to the Barr Sentencing Memo?
- Can white collar defense lawyers use the DOJ reasoning to decouple of the sentencing guidelines?
- What does all this mean for corporate culture?
- When will Trump start attacking companies for doing business ethically?
- What are the implications for the compliance discipline and CCO?
- What tensions does all this create for the corporate compliance and corporate legal functions?
- What happens when arbitrary behavior emanates from the top of an organization?
Resources
Matt Kelly blog post, Lessons from Justice Department Meltdown
In this special 5-part podcast series on the FCPA Compliance Report, I am considering the Airbus international anti-corruption enforcement action from a variety of perspectives from some of the top world’s top compliance practitioners and commentators on compliance. They include, Jay Rosen-Mr. Monitor; Mike Volkov-Editor of Corruption Crime and Compliance; Jonathan Armstrong-partner at Cordery Compliance in London; Cecilia Fellouse-Guenkel-Secretary General, The Circle of Compliance and Tom Fox-the Compliance Evangelist. In today’s Episode 3, Jonathan Armstrong considers the UK’s Serious Fraud Office role in the enforcement involving Airbus.
Highlights include:
- The transparency in the UK-Deferred Prosecution Agreement process allows greater information to for the compliance professional.
- What are the key differences in the UK and US DPA process?
- The breadth and scope of the UK investigation.
- The UK-DPA is not the end of the story as there may well be significant individual enforcement actions going forward.
- What does Airbus mean for the new SFO style of anti-bribery enforcement action?
Resources
Cordery Compliance Client Alert on the Airbus enforcement action here.
In today’s edition of Daily Compliance News:
- SAP in deep trouble in South Africa. (Fin24)
- Trump says there is no coronavirus problem but asks Congress for $1.8bn to fight it. (Washington Post)
- Spying in the luxury hotel world. (WSJ)
- Altuve plunked in first at bat in preseason. (247Sports)
