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. This month, I visit with Ellen Hunt, Senior Vice President – Audit, Ethics & Compliance Officer.
Ellen is a lawyer, ethics & compliance professional, and chief audit executive. She has extensive management experience in designing, implementing and operating ethics and compliance programs including board governance and reporting, designing ethics education, creating policy management frameworks, managing enterprise and compliance risk processes as well as handling investigations and regulatory inquiries. Utilizing AARP’s enterprise risk management profile, she re-designed how AARP conducts its annual audit planning process to identify audits that relate to the organization’s must significant risks and incorporated the use of data analytics into audit execution.
In this final episode, Ellen visits about what life can look like after you leave the CCO role. What are the types of corporate positions you are skilled for? As ethics and compliance matures, organizations are now seeing risks as positives. The question becomes how you are going to manage that risk for greater profitability; how you will strategically manage risk. We conclude with a discussion of why CCOs need to go onto Boards of Directors and why Boards need compliance expertise to navigate the post Covid-19 world.
Day: May 26, 2020
The disruption brought about by the Coronavirus pandemic has ensured that the government contracting sector and organizations working on federally funded projects are no longer conducting business as usual. From an ethics and compliance perspective, organizations large and small, profit and not-for-profit, need to maintain a robust ethics and compliance program, but now it is within a starkly different environment. Government contractors, grant recipients, and others working on federally funded programs must understand and respond to changing compliance risks to maintain the adequacy and effectiveness of their policies and procedures.
In this webinar our panelists will discuss current challenges and practical responses to help organizations maintain the effectiveness of their ethics and compliance programs in the current crisis. They will also present a framework for an ethical decision-making process based on practical considerations and industry experience. Join Moderator, Rod Grandon, Managing Director, Government Services, at AMI and Panelists, Eric Feldman — Senior Vice President, Managing Director, Corporate Ethics & Compliance Programs at AMI, Dismas Locaria — Partner at Venable LLP and Thomas Topolski — Executive Vice President, Infrastructure Business Development at Parsons Corporation.
For more information on AMI check out their website, here.
On this special bonus episode of The Ethics Experts, we speak with Michael Clarke about the perfect vendor experience, and what you should do to make sure you get it.
Check out more episodes, and don’t forget to subscribe on your favorite podcast platform!
Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Julie Myers Wood, CEO of Guidepost Solutions. We visit about privacy laws as they impact the transfer of data in the new normal of Covid-19.
This week’s guest on the Innovation In Compliance podcast is Amy Hilbert of Casepoint. She joined Casepoint to help build out their services for federal, state and local, and international government agencies, and to help ensure that the company had the right people, processes and contracting methods in place. She chats with Tom Fox about Casepoint’s services, and what they can do for compliance professionals.
Products and Services
Amy describes Casepoint as a legal technology platform, whose first component is e-discovery. Their clients use them “to help work through large volumes of data so they can narrow down to key pieces they need, either for a FOIA request, for an investigation, for certifications… or to actually go to litigation,” Amy says.
Moving Government To The Cloud
Tom asks Amy to describe the unique requirements government agencies must face as they move to the cloud. Amy responds that every organization, including the government, has to look at their risk posture before moving to the cloud. Since the government’s mandate is to protect the data of its citizens, they have to adopt more stringent policies and procedures. Amy points out, “Anything that goes into the cloud has to be FedRAMP certified.”
Project Management As The Key
Amy and Tom discuss why Casepoint was able to secure an exclusive contract with the SEC. “They [the SEC] went to great extents to make sure that they were really picking a solid solution based on the functionality and capabilities of the company,” Amy says. “I think the key for Casepoint was our ability to handle some of those complex data types that we received.” Tom remarks that Casepoint is not simply a technological platform and solution, but project management is also a key part of the company. Amy agrees that Casepoint’s project managers are a key part of the company’s success: they ensure that clients leverage the technology in the best way possible to get the most efficiency in their workflow.
How Compliance Professionals Can Benefit
Two case studies illustrating how Casepoint helped clients are shared. She points out that maintaining metadata is the key to data analysis. Tom comments that the case studies emphasize for him the services component as well as the workflow process, which would enable the user to “quickly and efficiently be able to use the data that you’ve been able to synthesize for them… Oftentimes in a corporation, compliance practitioners who are lawyers may not understand or be able to pull as quickly other types of information. So having that sort of in-house expertise … seems critical to me,” Tom says.
Resources
Casepoint.com
