Tag: CCO

Compliance Tip of the Day: Why Compliance Needs a Seat at The Table

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Post date February 19, 2024
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Welcome to “Compliance Tip of the Day,” the podcast where we bring 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 aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

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.

In this episode, we review why compliance needs a seat at the corporate strategy table.

For more information on Ethico and a free White Paper on top compliance issues in 2024, click here.

Tags CCO, compliance, Risk Management

Into the Chair - Tales from Chief Compliance Officers

Into the Chair, Tales from Chief Compliance Officers: Rafael Capa on Mastering Risk Management for Success in Compliance

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Post date February 15, 2024
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Welcome to the latest edition of the Compliance Podcast Network: Into the Chair: Tales from Chief Compliance Officers, which 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 navigate the compliance waters of any company successfully? 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. Into the Chair: Tales from Chief Compliance Officers is a Comply podcast hosted by Tom Fox and is a production of the Compliance Podcast Network. In this episode, I visit with Rafael Capa, who has a background in risk management and is in compliance.

Rafael Capa is a highly experienced risk management professional with a career spanning over two decades in various sectors, including market risk, counterparty credit risk, liquidity risk, and operational risk. His perspective on the overall risk management strategy is shaped by his extensive experience. It is centered on the belief that it should be proactive, efficient, and tailored to the specific needs of the business lines. Capa emphasizes the importance of identifying, measuring, monitoring, reporting, and remediating risks in compliance and encourages firms to be proactive in assessing and implementing policies and procedures rather than waiting for regulations to be put in place. He also advocates for using data analytics and artificial intelligence in compliance to enhance effectiveness and efficiency. Furthermore, Capa, who holds a certificate in climate risk, underscores the emerging significance of this field in the compliance role and the necessity for compliance to keep pace with risk management in addressing this issue.

Key Highlights:

Proactive Risk Management Strategy Implementation
Building a Proactive Compliance Program with Data Analytics and AI
Enhancing Compliance through Customized Risk Assessment

Resources:

Rafael Capa on LinkedIn

Haitong International Securities Group

Comply

Connect with Tom Fox

Tags CCO, compliance, Comply, Rafael Capa, Risk Management

Compliance Tip of the Day

Compliance Tip of the Day: Connected Compliance

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Post date February 15, 2024
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Welcome to “Compliance Tip of the Day,” the podcast where we bring 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 aim is to provide you with bite-sized, actionable tips to help you stay on top of your compliance game.

In this episode, we consider connected compliance and why compliance needs to get everything under one roof.

For more information on Ethico and a free White Paper on top compliance issues in 2024, click here.

Tags CCO, compliance, Connected Compliance, Data Siloes

FCPA Compliance Report

FCPA Compliance Report – Navigating DOJ Investigations: Insights from Joshua Drew

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Post date February 12, 2024
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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes Joshua Drew, a Member of Miller & Chevalier who practices in the firm’s white collar and FCPA practice areas.

Joshua Drew, a seasoned attorney with a rich background in the Department of Justice (DOJ) and the Foreign Corrupt Practices Act (FCPA), recently joined the litigation group at Miller & Chevalier. His perspective on joining the firm is largely influenced by his admiration for the team’s expertise, having interacted with several of the firm’s lawyers during his tenure at Vimple.com, now Veon. He also found the firm’s practice areas, particularly FCPA work and general litigation, to be in perfect alignment with his experience. Moreover, he appreciated the firm’s smaller size, strategic focus, and subject-matter expertise, making his decision to join Miller & Chevalier a no-brainer.

To learn more about Joshua Drew’s journey and his insights, join Tom Fox and Joshua Drew on this episode of the FCPA Compliance Report.

Key Highlight:

Drews’s extensive Compliance and Litigation Experience
Streamlining Investigations and Improving Compliance at HP
Life under the monitor at Veon
Impressive Team and Strategic Focus at Miller
Incentivizing Disclosure and Cooperation in Mergers

Resources:

Joshua Drew on LinkedIn

Miller & Chevalier Chartered

Tom Fox

For more information on Ethico and a free White Paper on top compliance issues in 2024, click here.

Tags CCO, compliance, Joshua Drew, Miller & Chevalier, self disclosure

Compliance Tip of the Day

Compliance Tip of the Day: Skills for Compliance Professionals into 2030 and Beyond

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Post date February 12, 2024
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In this episode, we consider the five skills every compliance professional should develop to take the next step into 2025, 2030, and beyond in the compliance field. They are: (1) Adapt to thrive; (2) Be creative; (3) Develop emotional intelligence; (4) Become tech-savvy; and (5) Build your personal brand.

For more information on Ethico and a free White Paper on top compliance issues in 2024, click here.

Tags CCO, compliance, compliance professional, skills for compliance professionals

2 Gurus Talk Compliance

2 Gurus Talk Compliance: Episode 22 – FCPA Blog Tribute

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Post date February 9, 2024
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What happens when two top compliance commentators get together? They talk about compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s episode! In this episode, Tom and Kristy take on a wide variety of compliance-related topics but begin with their reflections on the FCPA Blog.

In the ever-evolving world of regulatory compliance and risk management, challenges are constant, and strategies must be dynamic. Tom highlights the corruption in Ukraine, Elon Musk loses $55bn and throws a tantrum, and why Brazil wants to punish Transparency International. Kristy highlights the DEI, how to fire employees, remote workforce challenges for a CCO and checks in on Florida Man. Join Tom Fox and Kristy Grant-Hart as they delve deeper into these issues in this episode of the 2 Gurus Talk Compliance podcast.

Highlights Include:

1. FCPA Blog announces its closing. (FCPA Compliance & Ethics Blog)

2. A massive corruption scandal was uncovered in Ukraine. (CNN)

3. Musk’s $55bn pay package is voided and he wants to move to Texas. (WSJ)

4. An Ecuadorian official got a $70,000 watch as a bribe. (Bloomberg)

5. Brazil goes after TI for its CPI. (FT)

6. Firing employees the right way is part of compliance (FCPA Blog)

7. Mark Cuban Doubles Down on Support for DEI After Trading Barbs With Anti-Diversity Crusader Elon Musk (Inc.com)

8. Remote Workforces Create New Challenges for Investigators and Compliance Officers (NAVEX)

9. New Jersey and New Hampshire Pass Comprehensive Privacy Legislation (Inside Privacy/Covington)

10. Florida man steals Snoop Dogg’s bobblehead but later has change of heart (Local 10 News)

Resources:

Kristy Grant-Hart on LinkedIn

Tom

Tags Brazil, CCO, compliance, corruption, Elon Musk, FCPA Blog, RTW, TI

Compliance Tip of the Day

Compliance Tip of the Day: Seeing Around Corners

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Post date February 8, 2024
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In this episode, we consider why every compliance professional needs to learn to see around corners and how to do so.

For more information on Ethico and a free White Paper on top compliance issues in 2024, click here.

Tags CCO, compliance, Seeing Around Corners

Compliance Into the Weeds

Compliance into The Weeds: To Monitor or Not to Monitor: What is even The Question?

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Post date February 7, 2024
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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 more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode, Tom and Matt take a deep dive into the seeming inconsistency in approaches to monitoring (or lack thereof) in two recent DOJ enforcement actions involving eBay and SAP.

The Department of Justice’s (DOJ) seemingly inconsistent approach to corporate enforcement and compliance monitoring has been a topic of much debate and confusion. Or has it? This inconsistency is particularly evident in the assignment of compliance monitors and CCO certification, as seen in the contrasting cases of eBay and SAP. Does the DOJ have a contradictory approach? What are the criteria for assigning monitors? Are local U.S. Attorneys may be following their own agendas, leading to this inconsistency. Is there a lack of logic and effectiveness in the DOJ’s policies? To delve deeper into this issue, join Tom Fox and Matt Kelly in this episode of Compliance into the Weeds.

Key Highlights:

Effectiveness and Consistency of Compliance Monitors
Incentivizing self-disclosure and remediation in corporate enforcement
Inconsistent assignment of monitors based on misconduct
Inconsistent enforcement practices by U.S. Attorneys

Resources:

Matt on Radical Compliance

Tom

Tags CCO, compliance, DOJ, eBay, monitors, SAP

SBR - Authors' Podcast

SBR Authors Podcast: Jay Anstine on Navigating Healthcare Compliance

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Post date February 6, 2024
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Welcome to the Sunday Book Review, the Authors Podcast! Don’t miss out on this episode of SBR – Author’s Podcast, where Tom sits down with Jay Anstine on his book Navigating the Politics of Healthcare.

Jay Anstine is a seasoned professional in the healthcare industry, with over two decades of experience in healthcare law, practice, and compliance. Anstine’s perspective on the future of healthcare compliance is shaped by his extensive background and understanding of the political landscape within healthcare organizations. He believes that the industry will continue to grow, with an increasing emphasis on regulations and job security. Anstine predicts a future where payment and reimbursement are closely tied to the quality of care and where transparency, particularly in pricing, becomes a major focus for healthcare organizations. Join Tom Fox and Jay Anstine as they delve deeper into these insights and predictions on the next episode of the SBR-Author’s Podcast.

Key Highlights Include:

Gaining Leadership Support for Champions Network
Building a Strong Compliance and Ethics Culture
Establishing a Risk-Based Champions Network
Selecting Enthusiastic and Motivated Champions
Engaging and Influential Champions Training Program
The Value of Champions Networks in Compliance

Resources:

Jay Anstine on Linkedin

Bluebird Health Law Group

Navigating the Politics of Healthcare: A Compliance Officer’s Guide to Communication, Relationships, and Gaining Buy-in

Tom Fox

Tags CCO, compliance, healthcare compliance, Jay Anstine

FCPA Compliance Report

FCPA Compliance Report – Dr. Karen Jacobson on Bridging Cultural Divides for International Success

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Post date February 5, 2024
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Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. Today, I visited Dr. Karen Jacobson, a renowned expert in organizational leadership and communication. She provides guidance for compliance professionals around leadership.

Dr. Karen Jacobson is a seasoned professional with a rich background in healthcare, public speaking, and business consulting. Her perspective on effective leadership and communication in diverse workplaces is shaped by her experiences in war, the military, healthcare, and even her time as a competitive amateur ballroom dancer. Jacobson believes that effective leadership requires understanding and adapting to the needs of different audiences, tailoring communication to resonate with them, and being culturally aware. She emphasizes the importance of leaders adapting their language and communication style based on the audience’s behavior style, emotions, and level of understanding and learning about the customs, language, and etiquette of the cultures they interact with.

Join Tom Fox and Karen Jacobson on this episode of the FCPA Compliance Report to delve deeper into this insightful perspective.