Tag: compliance

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The Compliance Life

Joya Williams-Becoming a Senior Compliance Specialist

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 successfully 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, I take things in a different direction as I host my first non-CCO compliance professional, Joya Williams and detail her journey in compliance.

Joya discusses her move to Shell to her now current role at Chevron Phillips Chemical Company as a Compliance Specialist, then onto Shell Oil Company and her current position at Applied Materials.  She discusses her professional growth and details some of the key relationships she had at each organization and how those relationships continue to bear fruit in her compliance work up through today. She also details some of the key lessons learned at each stop. She discusses getting her MA

Resources

 Joya William LinkedIn Profile

Categories
Greetings and Felicitations

Ulysses at 100-Lessons for the 21st Century Compliance Professional – Bloomsday and Storytelling


Matt Kelly once challenged me to write a blog post for Bloomsday. Well aware of my great love for Joyce’s magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, James Joyce’s novel at 100 and the compliance profession, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the books and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus, can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In Part 5, Bloomsday and storytelling.
 Resources
The Teaching Compliance-James Joyce Ulysses, by James Heffernan
The Politicians Who Love Ulysses by Kevin Dettmar
“Ulysses” and the Moral Right to Pleasure by Dan Chiasson in the New Yorker
The Moral of Ulysses by Charles Cosby
Ethics and the Modernist Subject in James Joyce’s “Ulysses,” Virginia Woolf’s “The Waves,” and Djuna Barnes’s “Nightwood” by AnnKatrin Jonsson
The Ethical Reader in Ulysses by Stephen Gilbert

Categories
A Yank at Oxford

Getting Tough at Oxford


Tune in every quarter to learn how David Simon, a 53-year-old lawyer from the US, navigates the ancient world of Oxford University in pursuit of an MBA. David is a Partner at the white shoe law firm Foley and Lardner, who has dedicated his career to white collar compliance with a heavy international focus. “My practice touches a lot on some of the sanctions and international trade issues that typically come up on international matters,” he says. In A Yank in Oxford, David and host Tom Fox will talk about what inspired his decision to pursue an Executive MBA, and his hopes for where the journey may lead.
In this Episode 4, David discusses beginning his academic journey through his third quarter in the Oxford MBA program. Highlights include:
1.           You are now about 9 months into your EMBA program. How is it going?
 2.           Working with your classmates. Are you finding interesting collaboration opportunities?
 a.         working with a classmate on a proposal to the State Department for an anti-corruption project in sub-Saharan Africa;
b.         some nascent legal tech projects involving AI; and
c.         required Entrepreneurship Project.
3.          What substantive stuff what you been learning.
 a.      Global Rules of the Game.
b.     Strategy Class.
c.     Accounting.
d.     Technology and Operations Management.
4.           Fun stuff – matriculation 
The Ceremony was in the Divinity School, one of the oldest university buildings. Very formal – Latin incantations and subfusc? As Oxford as it gets.

Categories
Greetings and Felicitations

Ulysses at 100-Lessons for the 21st Century Compliance Professional- Molly Bloom

Matt Kelly once challenged me to write a blog post for Bloomsday. Well aware of my great love for Joyce’s magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, James Joyce’s novel at 100 and the compliance profession, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the books and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus, can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In this Part 4 of this 5-part podcast series, we consider the chapter involving Molly Bloom and use her story to explore the 21st-century compliance professional.

Compliance Quote-Mary Shirley “I love working in that area because sometimes there’s no clear answer or even good answer. That keeps you on your toes and requires a skill set different from what is required to be a successful lawyer.”

Resources

The Teaching Compliance-James Joyce Ulysses, by James Heffernan

The Politicians Who Love Ulysses by Kevin Dettmar

“Ulysses” and the Moral Right to Pleasure by Dan Chiasson in the New Yorker

Categories
Innovation in Compliance

Compliance Insights from Traliant: Episode 4 – Scott Schneider, Spotlight on Your Code of Conduct


Welcome to a special five-part podcast series on compliance insights, sponsored by Traliant. Over this series, we will discuss key issues that Traliant is helping to lead and define the online training industry going forward. Over this five-part series, I will visit with  John Arendes, Chief Executive Officer (CEO) at the company, on what is new at New Traliant and what the Department of Justice (DOJ) has communicated to the compliance community regarding its expectations around online training and communications; Maggie Smith, Vice President of Human Resources at Traliant on the role of DEI in your corporate ESG program; and Scott Schneider, Head of Content Development at Traliant on your Code of Conduct and anti-corruption training. In this Episode 4, I visit with Scott Schneider, VP of Innovation at Traliant, on the evolution and importance of the corporate Code of Conduct. Highlights include:

  • Culture is the key driver, and your Code of Conduct is the foundation for a broader discussion of what regulators look for in a compliance program.
  • How has the Code of Conduct evolved?
  • Your Code of Conduct should be more than simply aspirational, and your Code of Conduct training helps drive home values, ethics & culture.

Resources
Traliant Website
Scott Schneider on LinkedIn

Categories
Greetings and Felicitations

Ulysses at 100-Lessons for the 21st Century Compliance Professional- Stephen Daedalus

Matt Kelly once challenged me to write a blog post for Bloomsday. Well aware of my great love for Joyce’s magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, James Joyce’s novel at 100 and the compliance profession, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the books and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus, can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In Part 3, we take up the story of Stephen Daedalus and how it intersects with the role of ethics in compliance.

Compliance Quote-Lisa Fine, “ I am passionate about compliance because I think compliance provides guidance on how to make ethical decisions and do the right thing. It helps us understand and think about gray areas and help organizations to be better corporate citizens.”

Resources

The Teaching Compliance-James Joyce Ulysses, by James Heffernan

The Moral of Ulysses by Charles Cosby

Ethics and the Modernist Subject in James Joyce’s “Ulysses,” Virginia Woolf’s “The Waves,” and Djuna Barnes’s “Nightwood” by AnnKatrin Jonsson

The Ethical Reader in Ulysses by Stephen Gilbert

Categories
GalloCast

Welcome to the Gallocast-Episode 1


Welcome to the inaugural episode of the Gallocast. You have heard of the Manningcast in football. Now we have the Gallocast in compliance. The two top brothers in compliance, Nick and Gio Gallo come together for a free form exploration of compliance topics. It is great insights on compliance brought to you by the co-CEOs of ComplianceLine. Fun, witty, insightful with a dash of the two brothers throughout. It’s like listening to the Brothers Gallo talk compliance at the dinner table. Hosted by Tom Fox, the Voice of Compliance. Topics in this episode include:
·      Return to office, WFH or hybrid?
·      Moderna CFO lasts for 1 day.
·      Keeping culture positive during acquisition?
·      ESG and climate reporting.
·      Howard Schultz goes on a listening tour.
·      When should a startup put in a compliance program?
·      Did we learn anything during the pandemic to end or at least reduce useless meetings?
·      What does Ukraine War mean for compliance?
·      What can top management do to ‘talk the talk’.
Resources
Nick Gallo on LinkedIn
Gio Gallo on LinkedIn
ComplianceLine

Categories
Great Women in Compliance

A Conversation with Adam Balfour


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
Adam Balfour is known as a “GGIC” – a great guy in compliance, and he is also Vice President and General Counsel for Corporate Compliance and Vice President for Global Risk Management at Bridgestone America. Initially from Scotland, Adam has supported diversity throughout his career and recognizes the importance of different viewpoints as part of analyzing risk.
Adam has become known for a number of things, including his “Sunday Morning Compliance Tip,” which is on LinkedIn every week and is now being published by Corporate Compliance Insights. Lisa and Adam talk about how this passion project has grown and how a community has evolved around it. They also discuss how projects like these can enhance your professional career as well as the opportunities they can provide for people to build their networks and experiences.
Another thing Adam is known for is the philosophy of “ethics and compliance for humans,” and he explains this idea and how it applies to how he builds a program. He is also a strong advocate for women, a dad to 3 girls and one son, so he shares his advice with them.

 The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance-related offerings to listen to. If you are enjoying this episode, please rate it on your preferred podcast player to help other like-minded Ethics and Compliance professionals find it. You can also find the GWIC podcast on Corporate Compliance Insights, where Lisa and Mary have a landing page with additional information about them and the story of the podcast. 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).

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.

Categories
Compliance Into the Weeds

Compliance Craziness

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. In this episode, we deep dive into some recent crazy stories involving CCOs, compliance professionals and the compliance function.  Highlights include:

·      New CCO at Facebook and the results.

·      Did Penn State CCO engage in retaliation, discrimination and harassment?

·      Is a contract non-renewal retaliation?

Resources

Matt in Radical Compliance

Categories
The Compliance Life

Joya Williams-Compliance at Weatherford and Transocean

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, I take things in a different direction as I host my first non-CCO compliance professional, Joya Williams and detail her journey in compliance.

Joya moved from Baker Hughes to Weatherford and then Transocean where she held different compliance roles which brought depth and scope to her compliance resume. She details some of the key relationships she had at each organization and how those relationships continue to bear fruit in her compliance work up through today. She also details some of the key lessons learned at each stop. She discusses getter her BA and being an Adjunct Professor at San Jacinto College in Pasadena TX.

Resources

 Joya William LinkedIn Profile