Tag: compliance

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Great Women in Compliance

Great Women in Compliance: Maria Lancri – Successful Global Compliance: A View from France and The EU

In this episode of the Great Women in Compliance podcast, Lisa speaks with Maria Lancri. Maria is a partner at Squair, based in Paris, and has experience both in law firms and in-house, spending 12 years at Hachette Livre—Hachette Books to English speakers like me. She is a member of the Steering Committee at Sorbonne D.U. Compliance & Ethique des Affaires. She is also a leading speaker about the EU and French compliance laws, doing so in various languages (and provides some tips on how she has been successful).

Maria provides information about the French anti-bribery and anti-corruption laws, including their history and current application. She provides timely information about the Sapin II framework in France as well as the current EU Landscape.

While the US laws often lead the global discussion about anti-corruption and anti-bribery, the EU has led in data privacy, ESG, and now AI, and some of the key issues over the next year that are relevant to global organizations.

Maria and Lisa discuss the cultural challenges that E&C professionals may encounter in a global practice and how to support ethical decision-making when you have a multi-cultural employee base.

Join the Great Women in Compliance community on LinkedIn here.

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Compliance Tip of the Day

Compliance Tip of the Day: Lessons on Pre-Acquisition Due Diligence in M&A from John Deere

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.

Inadequate pre-acquisition due diligence can put your company in serious legal, compliance, and reputational jeopardy.

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Compliance Tip of the Day

Compliance Tip of the Day: Lessons on GTE from John Deere

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.

The foundation of any effective whistleblower program is a clear, robust policy that is communicated effectively across the organization.

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FCPA Compliance Report

FCPA Compliance Report: From Inputs to Outputs – Roxanne Petraeus and Susan Divers on Rethinking Compliance

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this edition of the FCPA Compliance Report, host Tom Fox is joined by Roxanne Petraeus and Susan Divers from Ethena to discuss innovative perspectives on compliance training, specifically focusing on the 2024 update to the Evaluation of Corporate Compliance Programs.

Roxanne, drawing from her military background, emphasizes the importance of practical and effective compliance training that resonates with employees rather than traditional ‘check-the-box’ methods. Susan highlights the shift towards emphasizing outputs over inputs, urging for compliance programs that are not just on paper but practiced and understood by all employees.

The discussion delves into the new expectations from the DOJ regarding the use of AI and data analytics in compliance, positioning compliance officers as pivotal to maintaining organizational justice and fairness. They also explore strategies for persuading senior management to prioritize compliance through emphasizing organizational culture and reputation. The conversation concludes with the role of leadership in fostering a compliant culture and practical steps for reaching out to Ethena for further insights.

Highlights in this Episode:

  • Deep Dive into the 2024 Compliance Program Update
  • Roxanne’s Journey and Ethena’s Mission
  • Susan’s Transition to Ethena
  • Outputs Over Inputs: A New Compliance Focus
  • The Role of AI in Compliance
  • Leadership and Compliance Strategy

 Resources:

Roxanne Petraeus on LinkedIn

Susan Divers on LinkedIn

Ethena

Tom Fox

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Facebook

YouTube

Twitter

LinkedIn

For an audio/video version of the Compliance Kids book, Speaking Up is AWESOME, contact Tom Fox.

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Compliance Tip of the Day

Compliance Tip of the Day: Reinforce Whistleblower Policies Through Training and Comms

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.

The foundation of any effective whistleblower program is a clear, robust policy that is communicated effectively across the organization.

 

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Compliance and AI

Compliance and AI: Navigating Compliance with AI – Sage Franch and Scott McCleskey on RuleBook AI

What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These questions are but three of the many questions we will explore in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance.

In this episode, Tom visits with Sage Franch, CEO and co-founder of Rulebook, and Scott McCleskey, a member of Rulebook’s board of advisors, who discuss their innovative AI-driven solutions for regulatory compliance.

Franch describes his extensive background in AI, emphasizing its transformative impact on driving business growth and organizational resilience. McCleskey, with over 30 years in compliance, highlights the challenges of navigating complex regulatory environments and the siloed nature of compliance functions. The conversation explores Rulebook’s AI tools like Regufy and PolicyProtect, which enhance compliance professionals’ abilities by processing vast amounts of regulatory information quickly, thus aiding in proactive and informed decision-making. Moreover, the discussion challenges misconceptions about AI, suggesting that it should augment rather than replace human capabilities, offering support in managing compliance risk proactively and efficiently. The episode concludes with insights into the potential future evolution of compliance tools and the role of AI in wider regulatory contexts.

Key Highlights:

  • Challenges in Regulatory Compliance
  • AI’s Role in Compliance
  • Misconceptions About AI
  • AI Supporting Compliance Professionals
  • Rulebook AI’s Human-in-the-Loop Approach
  • Future of AI in Compliance

Resources:

Sage Franch on LinkedIn

Scott McCleskey on LinkedIn

RuleBook AI

Regufy AI

Policy Protect AI

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Compliance Tip of the Day

Compliance Tip of the Day: Assess and Act on Internal Reports Thoroughly

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.

The DOJ wants to know that companies take reports seriously. This means evaluating the seriousness of allegations promptly and thoroughly.

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Compliance Into the Weeds

Compliance into the Weeds: Exploring Compliance Data Access and Testing Challenges

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 Fox and Matt Kelly take a deep dive into the study, 2024 Benchmarking Study: Testing & Monitoring and Data & Systems, jointly conducted by Radical Compliance and Rethink Compliance.

The study raises critical concerns about the access and effectiveness of data testing in compliance programs. While many compliance officers engage in some level of testing, there is a significant gap in comprehensive testing and access to necessary data across enterprises. Only a small percentage tracks key performance indicators (KPIs) at granular levels, such as individual or department, which are essential for understanding program effectiveness. The discussion also highlights the importance of access to data from different departments, like HR and Finance, to improve compliance monitoring and alignment with DOJ guidelines. The episode concludes with a call for continued research, emphasizing the interconnectedness of data access, comprehensive testing, and compliance success.

Key Highlights:

  • Overview of the Compliance Study
  • Key Findings and Statistics
  • Challenges in Compliance Testing
  • Importance of Multiple KPIs
  • Access to Data Issues

Resources:

Matt in Radical Compliance

2024 Benchmarking Study: Testing & Monitoring and Data & Systems

Rethink Compliance

 

Tom

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Facebook

YouTube

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LinkedIn

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Compliance Tip of the Day

Compliance Tip of the Day: Encouraging and Incentivizing Reporting

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.

A reporting mechanism is only as effective as the culture that surrounds it. Compliance professionals must work to foster an environment where reporting is encouraged and valued.

Categories
Great Women in Compliance

Great Women in Compliance: Katharine Manning – Trauma-Informed Leadership at Work

In this episode of Great Women in Compliance, Hemma visits with Katharine Manning, author of The Empathetic Workplace: Five Steps to a Compassionate, Calm, and Confident Response to Trauma on the Job, to discuss the role of trauma-informed leadership in our workplaces.

Tune in to hear stories of transformative approaches to culture and learn specific actionable techniques for empathy-driven leadership.

Highlights Include:

  • Katharine’s experience as a victim rights advocate
  • The conundrum of corporate communications during social unrest or tragic events
  • The LASER technique for trauma-informed interactions at work

Biography:

Katharine Manning is the President of Blackbird, which provides training and consultation on empathy at work. She is the author of The Empathetic Workplace: Five Steps to a Compassionate, Calm, and Confident Response to Trauma on the Job, and teaches at American University and in the Master’s in Trauma-Informed Leadership Program at Dominican University. Her work has been featured in the Harvard Business Review, Fast Company, Newsweek, CNBC, Business Insider, Thrive Global, and CEOWorld. She has worked on issues of trauma and victimization for more than 25 years, including 15 years at the Justice Department, where she was a Senior Attorney Advisor consulting on victim issues in cases like the Boston Marathon bombing and the Pulse Nightclub shooting.

Join the Great Women in Compliance community on LinkedIn here.