Tag: CECO

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Great Women in Compliance

Great Women in Compliance – Joe Murphy as the Great Waltzer in Compliance

Welcome to the Great Women in Compliance Podcast, hosted by Mary Shirley and Lisa Fine.

A #GWIC can be lots of things – which is one of the best parts of this community. Today’s guest is a true advocate and supporter of women while also being one of the architects of this profession and one of our best.  It’s Joe Murphy, who co-authored the first book ever written on compliance, and is currently the Editor of Compliance and Ethics: Ideas and Answers.

Getting to know Joe is an honor and a privilege, and if you do, you will immediately learn about his passion for dance. He’s a #CCO and #GWIC in his role as Chief Cha-Cha Officer at Haddonfield Dance, and a Great Waltzer in Compliance.

Lisa was lucky to speak with this about and a number of other topics, including the genesis of Compliance and Ethics: Ideas and Answers. They also speak about what Joe sees as the best design for a CECO role to set them up for success, and about the power dynamics that are inherent in roles.

Just as the waltz can be done in a circle, we end with a discussion of what Joe has enjoyed and learned from dance that can be great lessons for life and life in compliance. Lisa and Mary are so grateful that Joe has spent some time with us.

You can find the Great Women in Compliance Podcast on the Compliance Podcast Network where you can find several other resources and podcasts to keep you up to date in the Ethics and Compliance world. You can also find the GWIC podcast on Corporate Compliance Insights where you can learn more about the podcast, stream prior episodes and catch up on Mary’s monthly column “Living Your Best Compliance Life.”

Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.  Don’t forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you’re done, or if you can’t bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat.

If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.  Don’t forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you’re done, or if you can’t bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat.

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.

Join the Great Women in Compliance community on LinkedIn here.

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Greetings and Felicitations

Winnie the Pooh Explains Compliance: Part 5 – Winnie the Pooh as CECO (Think, Think, Think)

This week I have explored compliance through a five-part podcast series, as seen through the lens of Winnie the Pooh and the characters living in the Hundred Acre Woods. I want to conclude my series by looking at Winnie the Pooh himself through the lens of the Chief Ethics and Compliance Officer (CECO).

Pooh may be a bit naive and slow-witted, but he is also friendly, thoughtful and steadfast. Although he and his friends agree that he is “a bear of very little brain”, Pooh is occasionally acknowledged to have a clever idea, usually driven by common sense. Pooh is also a talented poet; his poems and “hums frequently punctuate the stories”. Although he is humble about his slow-wittedness, he is comfortable with his creative gifts. When Owl’s house blows down in a windstorm, trapping Pooh, Piglet and Owl inside, Pooh encourages Piglet (the only one small enough to do so) to escape and rescue them all by promising that “a respectful Pooh song” will be written about Piglet’s feat. Later, Pooh muses about the creative process as he composes the song.

Pooh is very social. Christopher Robin is his closest friend, Piglet, and often chooses to spend his time with one or both of them. But he also habitually visits the other animals, often looking for a snack or an audience for his poetry as much as for companionship. His kind-heartedness means he goes out of his way to be friendly to Eeyore, visiting him, bringing him a birthday present, and building him a house, despite receiving mostly disdain from Eeyore.

We need to recall that the DOJ started from the position that the role of compliance and ethics in an organization was co-equal. Winnie the Pooh reminds us of that foundational building block. Pooh also reminds us that a CECO is a social animal. Just as he is friends with all the animals and characters we have visited this week, you as a compliance professional should make friends with all the corporate functions they represented this week: sales, HR, finance and legal. If you find you run out of hunny to pass around, you can always resort to the Russ Berland strategy of pizza.

Even though this is the final offering in this week’s blog post on Compliance in the Hundred Acre Woods, do not feel blue. We will have another week of Pooh later this summer for more compliance lessons. And if you do feel blue in the interim, check out this YouTube clip of the Pooh theme song. And always remember, when all else fails;

“Think, Think, Think”

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Greetings and Felicitations

Winnie the Pooh Explains Compliance: Part 4 – Piglet and Finance

This week I am exploring a five-part series on compliance as seen through the lens of Winnie the Pooh and the characters who live in the Hundred Acre Woods. Today I discuss Pooh’s best friend, Piglet, and use Piglet to consider the role of finance in a compliance program.

Piglet has some great adventures (or sometimes misadventures), such as giving Eeyore a birthday balloon that pops or getting lost in the Hundred Acre Wood mist and helping to rescue Pooh and Owl after they are trapped in Owl’s fallen house. My favorite Piglet tale is when Eeyore mistakenly offers Piglet’s house as a new home for Owl after his house has blown down. Piglet nobly agrees to let Owl have the house, at which point Pooh asks Piglet to live with him, and Piglet accepts. This poignant story shows the true meaning of friendship and any Pooh story I know.

I cannot think of any character more able to illustrate the role of finance in compliance than Piglet. He is obsessed with keeping things neat and tidy and sometimes has an inferiority complex, although his friends think highly of him. Sort of like finance.

Finance has roles in the prevention, detection and remediates prongs of any compliance program. In the prevent prong, this is most particularly true around offshore payments, generally defined as payments made to a location other than the home domicile of the payee or the location where the services were delivered. If a Tunisian agent who performs services in Dubai asks for payment in a location other than Dubai or Tunisia, that will qualify as an offshore payment. If you train people in finance on this issue, they may well pick up the phone and notify compliance when they see a request for payment in a geographic location separate from one of the two standard payment venues. When properly documented, those types of communications demonstrate that your compliance program is operationalized into the fabric of the organization.

The bottom line is that not only can finance be one of the compliance function’s strongest corporate allies but that the role of finance, by its nature, works to operationalize compliance. This is because to implement the appropriate internal controls around compliance, finance must know the specific requirements of compliance know what kinds of issues are likely to come up that might create a risk of bribery and corruption, all leading to an understanding of the appropriate compliance internal controls to implement around payments.

Join me tomorrow when I conclude with Winnie the Pooh and his influence on the Chief Ethics and Compliance Officer (CECO) role.

Categories
The Compliance Life

Joe Burke – Into the CCO Chair

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 skills does a CCO need to navigate the compliance waters in 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. 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 Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc.

Burke continues his roles at Dell, doing global audits and Investigations. He also worked his legal role to drive change in compliance. In 2017, he left Dell to move to the spin-off of Quest Software Inc. and a new role as Chief Ethics and Compliance Officer. In this role, he created a new compliance regime and worked with the Private Equity owners to bring about change at Quest in the area of compliance.

Resources

Joe Burke LinkedIn Profile

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The Compliance Life

Susan Divers – Move to Thought Leadership at LRN

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 Susan Divers, currently Director of Thought Leadership at LRN.

In this concluding episode, Susan discusses her failed retirement from AECOM and how LRN found her. She took from AECOM an interest in what works in an effective compliance and ethics program. She discussed the values that LRN espouses for compliance and ethics programs and how that dovetails with her experiences as a CECO. She discussed company’s which put their values into action during the pandemic. We concluded with Susan looking down the road at the role of the CCO and corporate compliance function and the intersection of compliance and ESG.

Resources

 Susan Divers LinkedIn Profile

LRN

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The Compliance Life

Susan Divers – Sitting in the CECO Chair

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 Susan Divers, currently Director of Thought Leadership at LRN.

In 2009, Susan moved into the CECO chair at AECOM. She became the Senior Corporate Vice President, Chief Ethics and Compliance Officer & Associate General at AECOM. In this role she built out a compliance program across the globe for an international infrastructure construction company and built out her compliance team. She learned that to engage employees in compliance and ethics you often needed to explain the ‘why’ of compliance. She talked about the values of senior leadership and how that helped infuse compliance throughout the organization. She was particularly proud of the company receiving a World’s Most Ethical designation early in her tenure and then for five consecutive years.

Resources

 Susan Divers LinkedIn Profile

LRN

Categories
The Compliance Life

Susan Divers-Moving In-House

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 Susan Divers, currently Director of Thought Leadership at LRN.

In 1994,  Susan moved in-house becoming the first Deputy GC for international at SAIC.  In this role she set up compliance programs for ABC, trade controls and investigations as SAIC did not have a dedicated CECO at that time. She traveled extensively internationally and had experience with the Overseas Private Investment Company after the SAIC joint venture was nationalized by Chavez in Venezuela. After a brief stop at Lockheed Martin, Susan moved to the Chief Ethics and Compliance (CECO) role at AECOM.

Resources

 Susan Divers LinkedIn Profile

LRN

Categories
The Compliance Life

Susan Divers – College & 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 Susan Divers, currently Director of Thought Leadership at LRN.
Susan graduated from George Washington University at night while working at the State Department during the day. Her legal career began Office of the Legal Advisor at the State Department and continued in London with two large law firms.  I moved back to Washington, entered private practice, working first with Bob Strauss at Akin Gump and then moving over Sonnenshien’s DC office where she became a partner.
Resources
Susan Divers LinkedIn Profile
LRN

Categories
The Compliance Life

Louis Sapirman – Qualities of the Successful CECO


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 Louis Sapirman, Vice President, Chief Ethics & Compliance Officer and Chief Compliance Counsel for Panasonic Corporation of North America, the principal North American subsidiary of Panasonic Corporation. He oversees the company’s regulatory and compliance function, maintaining a culture of ethics, and ensuring all employees are upholding Panasonic’s longstanding values in their work.
Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World’s Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel.
In this Episode 2, we explore the qualities of the Successful CECO. Some of the key leadership attributes Sapirman sees as critical are Great Communication, a skill that should be practiced constantly, to ensure you remain successful. You should engage in Servant Leadership and your success lies solely in the success of others. Why you need to be flexible and even be a Chameleon. You must be innovative because if you keep doing the same thing over and over, eventually it becomes stale and is destined to fail. Success in E&C requires the ability to be creative and see the novel solutions and change necessary to keep your program successful.