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Accountability: The Heart of Compliance

Episode 3-The Process of Building a Culture of Compliance

We have been getting accountability all wrong in the compliance profession. It’s not a set of tasks – it’s a way of thinking and it has to come from the heart as well as the head. On Accountability: The Heart of Compliance Tom Fox and Sam Silverstein dig into what accountability means to the corporate compliance function and business organizations and most significantly, how to make it an integral part of your culture. In this episode we consider the process for building a culture of compliance. Some of the highlights include:

  • How to perform an accountability assessment?
  • What is a core values evaluation?
  • How can you both discover and assess your company’s core values?
  • How can you establish core values?
  • How can you disseminate your core values throughout your organization?

For more information on Sam Silverstein’s Consulting and Organizational Development, click here.

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Everything Compliance

Episode 51-August Reflections Edition

Welcome to the only roundtable podcast in compliance. Today, we have a quartet of Jay Rosen, Matt Kelly, Jonathan Armstrong and Tom Fox. Rants and shouts outs follow the commentary for this episode.
  1. Jay Rosen takes a look at the recent white paper by ECI President Dr. Pay Harned on the new DOJ Evaluation of Corporate Compliance Programs and ECI’s High Quality Compliance Programs. Jay shouts out to Preet Bharara’s podcast “Stay Tuned”.
  2. Jonathan Armstrong considers the Serco Deferred Prosecution Agreement the SFO’s failures in prosecuting individuals former company employees. Jonathan shouts out to those who talk about mental health issues in public.
  3. Tom Fox considers the lessons learned from the TechnipFMC and Microsoft FCPA settlements. Tom shouts out to his fellow Southerner Moscow Mitch and his invitation to Mr. Putin to come on over during the next presidential election.
  4. Matt Kelly considers the lessons from the recent Facebook settlements with the FTC and SEC. Kelly shouts out to Federal Reserve examiners who reviewed tech vendors at banks they were auditing.
The members of the Everything Compliance are:
  • Jay Rosen– Jay is Vice President, Business Development Corporate Monitoring at Affiliated Monitors. Rosen can be reached at JRosen@affiliatedmonitors.com
  • Mike Volkov– One of the top FCPA commentators and practitioners around and the Chief Executive Officer of The Volkov Law Group, LLC. Volkov can be reached at mvolkov@volkovlawgroup.com.
  • Matt Kelly– Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com
  • Jonathan Armstrong–is our UK colleague, who is an experienced lawyer with Cordery in London. Armstrong can be reached at armstrong@corderycompliance.com
  • Sarah Hadden–Publisher at Corporate Compliance Insights. Hadden can be reached at Sarah@corporatecomplianceinsights.com
The host and producer (and sometime panelist) of Everything Compliance is Tom Fox the Compliance Evangelist. Everything Compliance is a part of the Compliance Podcast Network.
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Daily Compliance News

Daily Compliance News: August 8, 2019, the ostrich edition

In today’s edition of Daily Compliance News:

  • Swiss bank ignores compliance officer; pays $10.7M for tax evasion. (Compliance Week)
  • SFO issues guidance for corporate cooperation. (FCPA Blog)
  • Why DD in the pre-acquistion phase is so critical. (WSJ)
  • Colombia ordered to pay banks shuttered during Odebretch investigation. (Reuters)
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Trekking Through Compliance

Trekking Through Compliance-Episode 68 – Elan of Troyius

In this episode of Trekking Through Compliance, we consider the episode Elan of Troyius which aired on December 20, 1968, Star Date 4372.5.

Compliance Takeaways:
  1. Do you perform continuous monitoring of your 3rd parties?
  2. How deep does your 3rd party investigation go?
  3. How culturally astute is your compliance regime?
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Adventures in Compliance

The Marazin Stone and Storytelling in Compliance

We are back with fan favorite Sherlock Holmes week. In this week’s blog posts, I will focus on the first five stories from The Casebook of Sherlock Holmes, mining each story for themes and lessons related to the compliance professional, leadership and business ethics. In today’s offering, I consider The Adventure of the Marazin Stone and how it informs storytelling in compliance. Join us tomorrow as we continue our week of stories from The Casebook of Sherlock Holmes by looking at the The Adventure of the Three Gables and institutional justice.

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Daily Compliance News

Daily Compliance News: August 7, 2019, the travel warnings edition

In today’s edition of Daily Compliance News:
  • How bad is gun violence by white supremacist in America? Venezuela and Mexico issue travel warnings for coming to US. (MarketWatch)
  • Why do you need employee due diligence? (WSJ)
  • Is it really any wonder? Novartis accused of hiding negative data during trials. (NYT)
  • Can Equifax ever be trusted again? (Washington Post)
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Great Women in Compliance

Cultivating the Next Generation of Compliance Officers-Barbara Boehler

The Great Women in Compliance Podcast is hosted by Lisa Fine and Mary Shirley who believe that when women support other women, collectively everyone’s boat rises.  With this in mind, the #GWIC podcast puts the spotlight on women who have trailblazed in Compliance, hold remarkable achievements and have actionable advice to help advance other women in the industry. In this week’s episode feature, Mary speaks with Barbara Boehler, who is currently Director of Programming at Compliance Week, a magazine and events company in the Compliance space.  Barbara is also an adjunct professor at Boston University and the Suffolk Law School in Boston.
Some of the highlights include:
  • The life cycle from lawyer to Compliance Officer to directing events and sprinkling in lecturing
  • The differences between financial services compliance vs corporate compliance
  • Barbara’s number one tip for success in financial services compliance
  • What it’s like teaching the next generation of Compliance Officers about Compliance
  • What goes into the curriculum for Compliance lectures
  • Suggestions for getting into an Adjunct Professor role
  • How lecturing can improve your skills as a Compliance professional
  • Chief Compliance Officer hot topics
  • What makes a popular speaker at Compliance conferences and tips for angling speaking proposals to get selected.
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Compliance Into the Weeds

Compliance into the Weeds: Episode 134-Compliance Responses to El Paso and Dayton

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 most somber episode, Matt Kelly  and I go into the weeds to explore what are some of the compliance responses to the twin tragedies of El Paso and Dayton.
Some of the highlights include:
Ø How the lack of safety at the workplace impacts employee trust.
Ø How should a company police hate and racist speech by employees online?
Ø What is your company policy around firearms at the workplace? What if your state allows it?
Ø What actions should Walmart take for the safety of its employees and customers?
Ø What red flags on employee hate speech are actionable?
Ø What employee hate speech puts a company on actual knowledge of an impending or even possible attack?
Ø What is a company’s liability in such a situation?
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Trekking Through Compliance

Trekking Through Compliance-Episode 67 – The Empath

In this episode of Trekking Through Compliance, we consider the episode The Empath which aired on December 6, 1968, Star Date 5121.0.
Compliance Takeaways:

  1. What is a gap analysis?
  2. Who should be on your investigation team?
  3. What is the Board of Director’s role in hiring?
Categories
Adventures in Compliance

The Blanched Soldier and Learning to Ask for Help

We are back with fan favorite Sherlock Holmes week. In this week’s blog posts, I will focus on the first five stories from The Casebook of Sherlock Holmes, mining each story for themes and lessons related to the compliance professional, leadership and business ethics. In today’s offering, I consider The Adventure of the Blanched Soldier and learning to ask for help. Join us tomorrow as we continue our week of stories from The Casebook of Sherlock Holmes by looking at the The Adventure of the Marazin Stone and storytelling in compliance.