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Compliance Tip of the Day

Compliance Tip of the Day – So You Want to Be on a Board

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our goal is to provide you with bite-sized, actionable tips to help you stay ahead in your compliance efforts. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Today’s episode continues our five-part series, considering several questions about compliance officers working with or on the Board, and moves on to how a CCO can make themselves more marketable to sit on a Board.

For more on this topic, check out The Compliance Handbook, a Guide to Operationalizing your Compliance Program, 6th edition, which was recently released by LexisNexis. It is available here.

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Compliance Into the Weeds

Compliance into the Weeds: SCCE Compliance and Ethics Institute Report

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly discuss Matt’s experiences at the recently concluded SCCE Compliance and Ethics Institute.

Matt shares his insights on the atmosphere, key sessions, and notable absences from the agenda. They explore the innovative use of AI in compliance programs, including the development of chatbots for policy inquiries. Additionally, they reflect on leadership changes within the SCCE and liken the metaphor of nurturing compliance to tending a bonsai tree, emphasizing the long-term growth and development of a compliance culture within organizations.

 

Key highlights:

  • The SCCE conference was well-attended with over 1300 participants.
  • The absence of key representatives from the Trump administration was notable.
  • Innovative presentations offered fresh perspectives on compliance topics.
  • Compliance professionals must adapt policies to effectively support AI tools.
  • Leadership changes at SCCE signal a new direction for the organization.

Resources:

Matt on Radical Compliance 

Tom

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A multi-award-winning podcast, Compliance into the Weeds was most recently honored as one of the Top 25 Regulatory Compliance Podcasts, a Top 10 Business Law Podcast, and a Top 12 Risk Management Podcast. Compliance into the Weeds has been conferred the Davey, Communicator, and W3 Awards for podcast excellence.

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Daily Compliance News

Daily Compliance News: September 18, 2025, The Four Humours Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, including compliance, ethics, risk management, leadership, or general interest, relevant to the compliance professional.

Top stories include:

  • Muzzled Ben and Jerry’s founder resigns. (NYT)
  • Data Privacy Policies: To Be or Not to Be. (Reuters)
  • The 4 personality types. (BBC)
  • DOJ is about to cut loose the Binance monitor. (Bloomberg)
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AI Today in 5

AI Today in 5: September 18, 2025, The No to Nvidia Episode

Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI, so start your day, sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5, all from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest related to AI.

Top AI stories include:

  • Chinese companies told not to buy Nvidia chips. (Reuters)
  • Colorado postpones implementation of AI law. (Seyfarth)
  • AI engine for regulatory compliance. (Business Wire)
  • Experiments on kids with Chatbots. (NBC News)
  • Legislating for AI. (FT)

For more information on the use of AI in Compliance programs, my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com.

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Blog

Board Week, Part 4: So You Want to Be on a Board

If you work in compliance, you already speak the language boards care about risk, resilience, integrity, and long-term value. The opportunity now is to package your experience so that directors and the searchers who advise them will view you as a business voice who specializes in compliance, rather than the other way around. Drawing on insights from women leaders who have navigated their way to board service, along with hard-won boardroom lessons, we present today a step-by-step playbook for compliance professionals who want a seat at the table.

Reframe Your Value: From “Compliance Leader” to “Board-Ready Risk Strategist”

Boards add people to fill needs, not aspirations. Translate your day job into board outcomes.

As a CCO, you use judgment under uncertainty. Some of the key tasks of every compliance officer include triaging investigations, balancing disclosure risk, and managing interactions with regulators. Boards prize seasoned judgment more than technical depth. You also have a broad, enterprise risk lens. Recast hotline trends, third-party risk, sanctions exposure, data privacy, and culture measurement as strategy inputs and value protection, not just controls.

You should already have fluency crisis preparation and management. You know incident response cycles (facts are murky, pressure is high, stakeholders differ). That calm, evidence-first approach is board gold. Finally, show that you understand the boundary: boards govern, while management operates. You can probe, synthesize, and guide without taking control of the show.

Deliverable: Write a one-page Board Bio (not a resume). Lead with judgment, strategy impact, crisis experience, and committee relevance (Audit/Risk/Gov). Keep it crisp; your first paragraph must sing.

Choose Your On-Ramps: Nonprofit, Private, Public—In That Order (Usually)

Recruiters fill a minority of board seats; most come through networks and word of mouth. For many compliance professionals, the fastest on-ramp is to mission-driven or local nonprofit boards, followed by private company boards, and then public boards.

Nonprofit boards hone the muscle memory of governance, committee work, and board dynamics. You learn agendas, pre-reads, fiduciary duties, and the cadence of challenge/support. You also practice EQ moves, such as knowing when to ask in the room versus follow up offline. Private company boards value operators who have built programs and navigated growth risk, which are perfect for compliance leaders who have matured third-party, privacy, or cyber programs at scaling companies. Finally, public company boards hire for specific committee needs, prior board experience, and public company expertise (audit, compensation, nominating/governance, cyber risk).

Action to take: Pick three nonprofits whose mission you genuinely care about. Offer to help first (advisory project, committee seat), then raise your hand for the board. Passion + preparation beats paper credentials.

Build a Targeted Narrative, Not a Generic Pitch

Your pitch should not be “I want a board seat.”; but rather Here’s the problem I’m built to solve.”

If you are a controls/assurance pro (SOX, internal audit, investigations): position for Audit or Risk committee. Emphasize financial integrity, whistleblower credibility, remediation discipline, and root cause rigor. If you are a tech-savvy, privacy-conscious, or cyber-savvy CCO, aim for Risk or Technology oversight. Stress incident playbooks, data governance, AI/ML risk, and cross-functional response. If you are facing cultural/ethical issues, look to nomination and governance needs. Areas such as board composition, CEO succession risk, incentive design that deters misconduct, and culture as control.

Homework: Then do industry homework. If you’re pursuing a career in healthcare, life sciences, fintech, or manufacturing, read 10-Ks, enforcement actions, and peer risk factors; convert your experience into sector-specific oversight value.

Network Like It’s Your Job (Because It Is)

Board seats are an art, not a posting. Your path will resemble a mosaic more than a pipeline.

Warm introductions often outshine cold resumes. Tell three people each week in positions such as GCs, CFOs, fellow CCOs, auditors, and PE operating partners exactly which needs you need to fill and in which sector. Peer groups are multipliers. Join compliance councils, audit institute chapters, NACD/director forums, and alumni boards. Offer to moderate a panel on “Board Oversight of Third-Party Risk” or “AI and Culture Risk.” Finally, be visible in solving problems. Publish a short LinkedIn series on board-relevant topics (e.g., “A director’s five questions for sanctions exposure”). Speak briefly; show judgment.

Remember: Patience wins. Boards decide on quarterly cycles, not recruiting sprints.

Get Committee-Ready—Fast

Most first-time directors enter through committees. Make yourself instantly addictive:

The Audit Committee. Develop a new approach that ties investigations, SOX controls, fraud risk assessments, and hotline patterns to financial statement risk. Show how your work protected revenue or EBITDA. The Risk Committee brings a heat map that integrates cyber, third-party, geopolitical, product safety, and culture risk. Demonstrate scenario planning and escalation criteria. The Nom/Gov Committee connects incentive structures, succession planning, ethics benchmarks, and board composition to long-term value. Finally, consider the Compensation Committee by translating root causes of misconduct into incentive design advice (pay for how results are achieved, not just that they’re completed).

Deliverable: Create a two-page Board Briefing Pack you can share confidentially when asked: a sample dashboard, escalation triggers, and a case study where your counsel changed a decision.

Do the Diligence: Culture, Time, and Risk

Do not treat an offer like a trophy; do your homework for the Company and the position. Ensure you are a cultural fit. Talk to multiple directors and at least two executives. Ask how the board challenges management, how dissent is handled, and how pre-reads and follow-ups actually work. If they are reticent to connect you, that is a red flag. Make sure you understand the time reality. Beyond quarterly meetings, count committee meetings, prep, and off-cycle crises. Nonprofit boards can be especially “needy”; set eyes-open expectations. And last but certainly not least, tie down the D&O and indemnification. Always ask to see the policy and indemnity language, including limits, carve-outs, and advancement of expenses. For public or PE-backed companies, confirm coverage by entity and by capacity.

Make Your Board Bio and Outreach Ready This Month

Create a one-page Board Bio. It should contain an Opening (3–4 lines) that demonstrates your judgment, sector context, and committee fit (e.g., “Audit/Risk-ready executive who led global compliance and crisis response across 30 countries; proven board advisor on cyber, sanctions, and culture risk”). It should contain 3-5 selected impact bullets tying actions you have taken to outcomes (“Reduced investigation cycle time 40% and increased substantiation quality; informed board decision to exit a high-risk distributor, avoiding potential enforcement exposure”). Add your board interests in selected industries, committee preferences, and geography. Of course, add your contact information.

Action: Take this and create an outreach list with 15 names, including those from legal, finance, audit, PE ops partners, CEOs you’ve advised, and nonprofit leaders. Ask for needs-first conversations, not a seat at the table.

Final Word: You’re More Board-Ready Than You Think

Boards do not need passengers; they need steady judgment, crisis fluency, and a practical grasp of how controls become strategy. That’s your wheelhouse. Do the homework, shape a needs-first narrative, and start where you can make an impact now. The seat will often come from a conversation you did not know would matter.

And when it does, remember the rule that separates great directors from the rest: noses in, fingers out, with a steady hand on the compass of integrity.

30-60-90 Action Plan

Next 30 days

  • Draft board bio + two-page briefing pack.
  • Reconnect with five execs who’ve seen your judgment under pressure; ask for introductions to their board contacts.
  • Identify and approach one nonprofit and one private company where your risk expertise is directly relevant.

Days 31–60

  • Speak on one panel/webinar: “Board Oversight of Third-Party & Sanctions Risk” or “What Directors Need to Know About AI and Culture.”
  • Conduct three informational interviews with current directors and refine your narrative based on their feedback.

Days 61–90

  • Commit to a nonprofit board or board committee role.
  • Join a director education program (NACD or equivalent) and complete a module on Audit/Risk oversight.
  • Publish a three-post LinkedIn series: “A Director’s Playbook for Crisis Escalation,” “Five Board Questions for AI Risk,” “Culture as a Control.”
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Hill Country Authors

Hill Country Authors Podcast – Exploring Texas Tales: Cynthia Leal Massey’s Journey, Writing Process, and Historic Inspirations

Welcome to a new season of the award-winning Hill Country Authors Podcast, sponsored by Stoney Creek Publishing. In this podcast, Hill Country resident Tom Fox visits with authors who live in and writes up the Texas Hill Country. In this episode, Tom Fox interviews Cynthia Leal Massey, a well-known author of both fiction and non-fiction.

Cynthia shares her journey of becoming a writer, beginning with her childhood fascination with reading biographies and continuing through her studies in creative writing in college. She discusses her deep-seated passion for Texas history and how it influences her work, particularly her latest book, ‘Well of Deception.’ Cynthia elaborates on her unconventional writing process, how she engages readers emotionally, and her transition from non-fiction to fiction. The conversation also touches on the intriguing real-life murder case that inspired ‘Well of Deception,’ her methods in capturing authentic dialogue and dialect, and her experience working with Stoney Creek Publishing. Additionally, Cynthia previews her upcoming project about the Van Riper family, further delving into Texas’s rich history.

Key highlights: 

  • Cynthia’s Journey to Becoming a Writer
  • Passion for Texas History
  • The Story Behind ‘Well of Deception’
  • Writing Process and Techniques
  • Publishing Experience with Stoney Creek Publishing
  • Blog and Research Insights

Resources:

Pre-Order Well of Deception on:

TamuPress

Amazon

Stoney Creek Publishing

Follow Cynthia Leal Massey on:

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Stoney Creek Publishing Profile

Website: www.cynthialealmassey.com

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Nancy Huffman Fine Art

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