In this episode, I visit with Margaret Johnson, the author of the book from From SOS to WOW. This book can help you to move your leadership skills to a new level through by helping you bust through assumptions, unleash your creative ideas and take courageous action to finally make the move to where you really want to be personally or professionally. Johnson is a long-time business leadership coach who shares some of the techniques she uses to help folks achieve greater results in business and in life.
We discuss her growing up and college years in Michigan why she got to Texas as quickly as you could. She details her professional career in the energy and power industries and how that work prepare you for your current career. She then talks about what led her to write her book and how it can be used by a person to help achieve personal and professional goals.
You can find the book on Amazon.com by clicking here.
You can find out more about Margaret Johnson by checking out her website, ideasandbeyond.com.
Day: November 4, 2020
J&F, una empresa familiar basada en Brasil, admite haber pagado sobornos de casi USD 180M. Matteson Ellis y Alejandra Montenegro Almonte platican sobre el caso, le multa, y lecciones aprendidas.
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Preguntas? Contáctenos en podcasts@milchev.com.
¡(H)Ola Compliance! no tiene la intención y no se puede considerar como asesoramiento legal; el contenido solo refleja los pensamientos y opiniones de sus anfitriones.
¡(H)Ola Compliance! explora la ola de cumplimiento de anticorrupción que ha surgido por Latinoamérica. Inmerso en su cariño para la región, Matteson Ellis y Alejandra Montenegro Almonte (Socios de Miller & Chevalier), navegan las aguas de regulaciones de cumplimiento corporativo desde sus oficinas en Washington, DC y trazan las normas de anticorrupción que afectan a la región. A la vez destacan los desafíos y oportunidades que enfrentan las empresas comprometidas a la ética. ¿Te sientes que estás nadando contra la corriente? ¡Entonces tome la ola de cumplimiento en ¡(H)Ola Compliance!
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 Matt and Tom go into the weeds to look at the turbulence brought to the compliance profession and compliance job market. Some of the issues we consider are:
- How Working From Home has brought a material change to the practice of compliance.
- How to follow the money in the age of Coronavirus?
- Has the pandemic made compliance more relevant?
- Why is there such turbulence in the compliance job market?
- How has the pandemic transformed one traditional risk into something that manifests quite differently.?
- How is the compliance profession evolving?
Resources
See Matt’s blog posts on Radical Compliance– Compliance and Career Turbulence
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will be joined by Stephen Martin and Valerie Charles, Partners at StoneTurn and Toby Ralston and Jamen Tyler, Managing Directors at StoneTurn. In this third episode, I visit with Toby Ralston on why policies, procedures and internal controls are the backbone of your compliance program. Highlights include:
- Why is the Code of Conduct foundational?
- Is one of the key functions of compliance policies to provide a deeper level of guidance?
- What audience should a Code of Conduct, policies and procedures be written towards? Should they be translated into local languages? Should you have employees attest to reading them or use some other model to demonstrate effectiveness?
- Why should Internal Controls for compliance be tied to your risk assessment? How do you do so?
- Internal controls are often seen as financial controls. Can you discuss some instances of non-financial controls and their importance?
Resources
For more information on StoneTurn, click here.
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will be joined by Stephen Martin and Valerie Charles, Partners at StoneTurn and Toby Ralston and Jamen Tyler, Managing Directors at StoneTurn. In this second episode, I visit with Stephen Martin on compliance program governance and structure. Highlights include:
· A CCO must have access and expertise. Who should a CCO have access to and what should be a CCO’s level of expertise?
· A compliance function must be adequately resourced programs – what does this mean in practice? How much budget should your compliance program have? What should be your compliance function head count? What about those outside the compliance function that assist compliance?
· Why should a Board have compliance expertise? What does the Department of Justice’s 2020 Update to the Evaluation of Corporate Compliance say about compliance expertise on the Board?
· Why should there be a Compliance Committee, separate and apart from the Audit Committee?
· Why should the Compliance Committee on the Board have a Charter?
Resources
For more information on StoneTurn, click here.
Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. In this episode, I am joined by Ray Dookhie, Managing Director at K2 Intelligence FIN. Ray returns to discuss the recent FinCEN alert on unemployment fraud and the evolving fraud risks brought on by Covid-19.
Some of the highlights include:
- We are now some 8 months into the pandemic and the challenges financial institutions face have morphed. What are some examples?
- Recently Treasury Department’s Financial Crimes Enforcement Network issued an advisory on unemployment fraud. What is the significance of this release?
- What is this type of fraud?
- Why is Unemployment insurance a prime target for fraudsters?
- What are some of the red flags?
- Why are Financial institutions effectively at the front lines against the fight against fraud?
- If a financial institution detects suspicious payments or other evidence, what should they do?
Resources
For more on current fraud risk, see Fraud’s Perfect Storm: Mitigating Risk in a Global Pandemic by JoAnne Taylor
For more on fraud issues around PPP, see PPP Lending—A Unique Compliance Challenge for Banks
For information and resources on Covid-19, see the K2 Intelligence FIN COVID-19: Resources and Insights
Read the full FinCEN Alert
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
We invite back Andrea Falcione to round off this series on documentation by exploring best practices in Compliance policies. Before we do however, we hear about Rethink Compliance’s approach to maximizing the resource of women returning to the workforce or looking for flexible hours. It sounds win-win to us!
In this episode we discuss the difference in focus between your code and policies, frequency of revisions to policies, desired tone and message, making the most of learning aids and other hot topics for assembling a collection of best in class Compliance policies.
Have you heard that Lisa and Mary have published a book? Yes, you can get your very own copy of “Sending the Elevator Back Down: What We’ve Learned From Great Women in Compliance” (CCI Press, 2020) on Amazon right now! Enjoyed your copy? Don’t forget to leave a review!
Join the Great Women in Compliance community on LinkedIn here.
