Categories
Integrity Through Compliance

Meet Jennifer Newton, CEO and Founder of the National Association of Black Compliance & Risk Management Professionals, Inc. (NABCRMP)


On this episode of “Integrity Through Compliance: AMI’s Business Success Series” you will be introduced to Jennifer Newton, CEO and Founder of the National Association of Black Compliance & Risk Management Professionals, Inc. hosted by AMI’s Managing Directors, Brenda Morris and Dionne Lomax. Newton discusses the origin of the organization, which was founded in 2019.

On this episode of “Integrity Through Compliance: AMI’s Business Success Series” you will be introduced to Jennifer Newton, CEO and Founder of the National Association of Black Compliance & Risk Management Professionals, Inc. hosted by AMI’s Managing Directors, Brenda Morris and Dionne Lomax. Newton discusses the origin of the organization, which was founded in 2019.

The non-profit association is dedicated to the professional development of African-American compliance and risk management professionals. Members of NABCRMP represent corporations, financial institutions, law firms, accountants, consulting firms, government agencies, trade associations, universities and non-profit organizations.

Resources:
NABCRMP website: https://www.nabcrmp.org
Contact: podcast@affiliatedmonitors.com
Learn More: affiliatedmonitors.com/integrity-through-compliance-podcast
Music and Audio Production by Dan Barton

Categories
Great Women in Compliance

Bonus Episode – Jay Rosen on Networking


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
Lisa and Mary are pleased to present the second bonus episode of the series.  For those new to the podcast, bonus episodes identify interviewees who are not Great Women in Compliance but have expertise to share that will benefit the advancement and empowerment of Great Women in Compliance.  Jay Rosen is a friend of the podcast and has been an ally for #GWIC from the very beginning.  The GWIC team extends their sincere gratitude to Jay for his support and friendship over the years.
There is no one better known for their networking skills than Jay, also known as Mr. Monitor due to his day job at Affiliated Monitors.  While many folks fell into Compliance, Jay’s start in Hollywood is amongst the least conventional pre-cursor careers.  We get to hear his story leading him to Compliance before diving into the substantive topic of how to network like a pro – even if you’re shy and introverted with no existing contacts.
Jay shares his best tips with us – addressing those in Compliance departments and those at vendors or other sales roles doing the important job of supplying tools, resources and services to Compliance practitioners to help them function at their best.
The conversation with Jay ends poignantly with Jay recounting the best advice that he ever received from his mother – a supporter of Great Women in Compliance as she purchased Jay a copy of “Sending the Elevator Back Down: What We’ve Learned from Great Women in Compliance”  (CCI Press, 2020) for Jay for Hannukah – that remains of more relevance than ever before.
Mary wraps up the episode with a short story based on her mother’s reframing of a situation that changed how Mary thinks about situations and lessens negative self-talk.
The Great Women in Compliance Podcast is proudly featured on the Compliance Podcast Network and sponsored by Corporate Compliance Insights.  If you enjoyed this episode please subscribe to the podcast and rate it on your podcast player to help other compliance professionals find it.
You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.
Lisa and Mary have extended the Great Women in Compliance brand to the book “Sending the Elevator Back Down: What We’ve Learned from Great Women in Compliance”  (CCI Press, 2020) which can be found on Amazon and features valuable wisdom and advice from Great Women in Compliance across the world.

Categories
Compliance Into the Weeds

Human Capital Disclosures and 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. Today we consider the SEC regulations requiring companies to detail human capital issues in their annual reports. What have some of the initial disclosures revealed? What does it mean for compliance?
Some of the issues we consider are:

  • Why is this issue so important?
  • What are the SEC reporting rules?
  • How did companies report their human capital issues?
  • What does all this mean for corporate culture?

Resources
Matt’s blog post in Radical Compliance:
Corporate Culture and Human Capital Disclosures

Categories
Daily Compliance News

February 10, 2021, Happy Days Are Here Again edition


In today’s edition of Daily Compliance News:

  • Google says culture negatively affected by Covid and WFH. (NYT)
  • Happy days are here again (for white collar defense lawyers). (FT)
  • Lily CFO resigns under cloud. (WSJ)
  • Delta CEO blasts Administration safety measure. (CNN)
Categories
Integrity Through Compliance

Telehealth and Home Healthcare


Our debut episode features Vin DiCianni, President and Founder of Affiliated Monitors, Inc. and Gerald Coyne, Managing Director, State Monitoring Services, as they explain the future of telehealth and home healthcare during a pandemic and beyond.
Listen to the episode now:

Founded in 2004, Affiliated Monitors, Inc. (“AMI”) was the first company in the United States to focus on providing top-quality, independent integrity monitoring and assessment services across a wide range of regulated industries and professions. Monitoring and independent assessments are our only business.
Resources:
“The Expansion of Telemedicine During COVID-19 and Prospects for its Continued Use” by Gerald Coyne in Health Law Weekly (July 31, 2020)
Contact: podcast@affiliatedmonitors.com
Learn More: affiliatedmonitors.com/integrity-through-compliance-podcast
Music and Audio Production by Dan Barton

Categories
The Compliance Life

Natalia Shehadeh-Early Professional Career


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. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Natalia Shehadeh, Chief Compliance Officer at ABB. In this episode we look at Natalia’s early professional career.
Natalia’s early professional career began after graduation, when she started her career in Washington D.C. on the Hill in trade policy and then moved to provide practice navigating quickly to the regulatory side of white-collar defense – trade compliance and some FCPA compliance matters. Later, wanting to see how corporate clients operationalized the guidance she moved in-house in 2007, which opened my eyes to an entirely different side of our practice filled with opportunity.

Categories
Innovation in Compliance

Uncertainty – The Blinders Are Off with Lisa Levy


 
Lisa Levy, CEO of Lcubed Consulting and author of Future Proofing Cubed, started her career in IT. “I grew up as a project manager implementing systems”, she says, “and watching those system implementations fail because people didn’t understand what the new technology was doing or why it was important to them or how it was supposed to actually make their jobs easier.” That early experience led her to focus on “process and building teams that would understand how work is done and then how to use the technology.” She eventually founded Lcubed Consulting to champion better ways of doing work in order to become more agile. Tom Fox welcomes her to this week’s show as they discuss cross-functional collaboration, future proofing, and building agility within the corporate culture through adaptive transformation.
 

 
It Starts With People
“I realized that it’s really about getting the right people doing the right work in a repeatable process and then using technology to enable it,” Lisa comments. Business success depends on people first, then process, then technology, she adds. She says that she established Lcubed Consulting to offer middle-sized companies expertise in four key areas: project management, process performance management, internal controls, and organizational changes. Working with her expert consultants helps her clients’ employees build their capacity in these crucial areas. 
Cross Functional Collaboration
Understanding what’s going on around you as an employee is important, Lisa iterates. She advocates for cross-functional collaboration, so that each employee and team knows where they fit in the big picture. “If everyone understands where they fit in the flow of the business, we can then tie that into the work value that customers and clients receive,” she remarks. This makes certain that resources aren’t being wasted.
Future Proofing and Being Agile
Tom comments that the pandemic has made “the unknown unknowns almost business-as-usual.” He asks Lisa how companies can future proof their operations for whatever comes along. Lisa responds that you must build agility within your business as the first step of “future proofing.” This is the core of their adaptive transformation framework. “Future proofing is about building a basis in corporate culture that embraces change,” she remarks. “A visionary leader is always looking to the next thing that they want to do…Operations is supposed to happen flawlessly and move with the needs of that visionary leader. And so if we start with a culture … and everybody understands that we really want to change on a recurring basis – that this is natural, it’s how we grow, it’s how we scale – and we have that foundation, and we know how to do our jobs, and we know how to use our technology, a business leader can do just about anything, and the business will follow.”
Getting the Message Out
Lisa wrote her book, Future Proofing Cubed, in 2019 before the pandemic. She tells Tom that COVID-19 has made the message that businesses need to be agile, very clear to leaders. She shares insight on how to create an adaptive culture throughout an organization. The tone from the top is important, but employees need to hear the same message from their direct supervisors. “In order to be successful we need to be able to get our people to move in the directions that we need them to…. with the least amount of resistance,” Lisa remarks. 
 
Resources
Lisa Levy | LinkedIn
LCubedConsulting.com
FutureProofingCubed.com

Categories
Daily Compliance News

February 9, 2021, Negative Test Req’d? edition


In today’s edition of Daily Compliance News:

  • NRA Director asks for independent accounting. (WSJ)
  • Former Wirecard CCO talks to Dylan Tokar. (WSJ)
  • SEC wants more company disclosures. (WSJ)
  • Covid vaccine for domestic air travel? (NYT)
Categories
Leading the Way

Evolving Roles in Compliance


Welcome to Leading the Way, a StoneTurn podcast. StoneTurn’s Leading the Way podcast series highlights the top compliance, legal and anti-fraud practitioners who are breaking down siloes and setting new standards for excellence worldwide.
In this premier episode, StoneTurn Partner Valerie Charles visits with Sam Pailca, Associate General Counsel, Microsoft and Andria Kelly, Director, Anti-Corruption & Investigations, Starbucks to hear their advice on the evolving roles of compliance for rising compliance practitioners and current CCOs alike.
Some of the highlights include:

  • Their unique journeys into the field of compliance.
  • How their careers have advanced in compliance.
  • Why are more women becoming leaders in compliance?
  • Women mentors in the compliance arena.
  • How has WFH changed the compliance environment?
  • Companies increasingly recognizing employees as stakeholders; what does it mean for compliance?
  • The change in perception of compliance as a cost center to a value add.
  • How to do effective training.
  • The increasing use of data analytics in compliance.

Resources
StoneTurn
Sam Pailca LinkedIn Profile
Andria Kelly LinkedIn Profile

Categories
The Ethics Experts

Episode 050–Billy Hughes


In this episode of The Ethics Experts, Nick welcomes Billy Hughes, VP, Team Manager at Gartner, to the show to discuss how compliance leaders can impact an organization’s culture and staff engagement.