Tag: compliance

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Compliance Week Conference Podcast

Compliance Week 2024 Speaker Preview Podcasts – Bianca Forde on Mobility in Compliance

In this episode of the Compliance Week 2024 Speaker Preview Podcasts series, Bianca Forde discusses her panel presentation at Compliance Week 2024, “Insights into Career Paths and Transitions within the Compliance Profession.” Some of the issues she will discuss in this podcast and her presentation are:

  • Key drivers for compliance careers
  • Mobility in compliance and beyond
  • Meeting other compliance professionals and building relationships at Compliance Week 2024

I hope you can join me at Compliance Week 2024. This year’s event will be held April 2-4 at The Westin Washington, DC, Downtown. The line-up for this year’s event is first-rate, with some of the top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 19th year, join 500+ compliance, ethics, legal, and audit professionals who gather to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs, among many others, to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders, and ethics and compliance visionaries.
  • Hear from 80+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from panels on leadership, fraud detection, confronting regulatory change, abiding by cross-border rules and regulations, and the always-favorite fireside chats.
  • Bring actionable takeaways to your program from various session types, including cyber, AI, Compliance, Board obligations, data-driven compliance, and many others, for you to listen, learn, and share.
  • Compliance Week aims to arm you with information, strategy, and tactics to transform your organization and career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount on the registration price. Enter the discount code TFOX2024 for $200 off.

The Compliance Week 2024 Preview Podcast series is a production of the Compliance Podcast Network. Compliance Week is the sponsor of this series.

Categories
Compliance Week Conference Podcast

Compliance Week 2024 Speaker Preview Podcasts – Junna Ro on Careers in Compliance

In this episode of the Compliance Week 2024 Speaker Preview Podcasts series, Junna Ro discusses her panel presentation at Compliance Week 2024, “Insights into Career Paths and Transitions within the Compliance Profession.” Some of the issues she will discuss in this podcast and her presentation are:

  • Key drivers for compliance careers
  • Mobility in compliance and beyond
  • Making new connections at Compliance Week 2024

I hope you can join me at Compliance Week 2024. This year’s event will be held April 2-4 at The Westin Washington, DC, Downtown. The line-up for this year’s event is first-rate, with some of the top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 19th year, join 500+ compliance, ethics, legal, and audit professionals who gather to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs, among many others, to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders, and ethics and compliance visionaries.
  • Hear from 80+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from panels on leadership, fraud detection, confronting regulatory change, abiding by cross-border rules and regulations, and the always-favorite fireside chats.
  • Bring actionable takeaways to your program from various session types, including cyber, AI, Compliance, Board obligations, data-driven compliance, and many others, for you to listen, learn, and share.
  • Compliance Week aims to arm you with information, strategy, and tactics to transform your organization and career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount on the registration price. Enter the discount code TFOX2024 for $200 off.

The Compliance Week 2024 Preview Podcast series is a production of the Compliance Podcast Network. Compliance Week is the sponsor of this series.

Categories
Compliance Tip of the Day

Compliance Tip of the Day: Compliance and Human Rights

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 begin to consider the role of compliance in a corporate human rights strategy.

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

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Great Women in Compliance

Great Women in Compliance – Roundtable Discussion on Board of Directors and What They Expect from The Chief Ethics & Compliance Officer with Haydee Olinger and Avril Ussery Sisk

Welcome to the Great Women in Compliance! In this episode, Lisa and Ellen have as guests Haydee Olinger and Avril Ussery Sisk to discuss the Board and Compliance.

The Chief Ethics &Compliance Officer should be reporting regularly to the Board, but how do you know what the Board expects, especially if there are layers between you and the Board?  In this #GWIC episode, Lisa Fine and Ellen Hunt talk with Haydee Olinger and Avril Ussery Sisk, both current board members and ethics experts, about what they expect from the Chief Ethics and Compliance Officer.

You can hear this episode on Corporate Compliance Insights or wherever you hear podcasts. https://lnkd.in/d9VGcfw

Listen in for how these Board members want the Chief Ethics & Compliance Officer to provide pre-reads, meaningful metrics, and focus on the “high hard risks.” Learn about how to build relationships with the Board and ask for resources, as well as how to gain financial knowledge and business acumen. If you are thinking about getting on a board, Haydee and Avril share their journey and thoughts about how you can get started on your journey.  

Resources:

Join the Great Women in Compliance community on LinkedIn here.

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Compliance Week Conference Podcast

Compliance Week 2024 Speaker Preview Podcasts – James Griffin on Emerging Risks

In the Compliance Week 2024 Speaker Preview Podcasts series episode, James Griffin discusses his panel presentation at Compliance Week 2024, “Examining and Interpreting Emerging Risk Areas.” Some of the issues he will discuss in this podcast and his presentation are:

  • What is top of mind for compliance leaders, including a review of recent settlements and interpretations of the implications of those settlements?
  • Emerging areas of risk, future trends, and what’s coming down the pike
  • New ideas for his compliance program from Compliance Week 2024

I hope you can join me at Compliance Week 2024. This year’s event will be held April 2-4 at The Westin Washington, DC, Downtown. The line-up for this year’s event is first-rate, with some of the top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 19th year, join 500+ compliance, ethics, legal, and audit professionals who gather to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs, among many others, to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders, and ethics and compliance visionaries.
  • Hear from 80+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from panels on leadership, fraud detection, confronting regulatory change, abiding by cross-border rules and regulations, and the always-favorite fireside chats.
  • Bring actionable takeaways to your program from various session types, including cyber, AI, Compliance, Board obligations, data-driven compliance, and many others, for you to listen, learn, and share.
  • Compliance Week aims to arm you with information, strategy, and tactics to transform your organization and career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount on the registration price. Enter the discount code TFOX2024 for $200 off.

The Compliance Week 2024 Preview Podcast series is a production of the Compliance Podcast Network. Compliance Week is the sponsor of this series.

Categories
Compliance Tip of the Day

Compliance Tip of the Day: Investment Models for The Compliance Professional

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 explore how a compliance professional or CCO should think through an investment model for your corporate compliance program.

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

Categories
Compliance Tip of the Day

Compliance Tip of the Day: Investment Models for Compliance

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 explore what investment models compliance professional or CCO, should consider for a corporate compliance program.

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

Categories
Adventures in Compliance

The Return of Sherlock Holmes – Compliance & Investigative Lessons from The Adventure of The Priory School

Welcome to a review of all the Sherlock Holmes stories that are collected in the work “The Return of Sherlock Holmes.“. It is a collection of thirteen detective stories written by Sir Arthur Conan Doyle, marking the reappearance of the brilliant detective Sherlock Holmes after his apparent death in “The Final Problem.” The collection spans various intriguing cases and mysteries that Holmes and his loyal friend Dr. John Watson tackle. Today we take up the Adventure of the Priory School and mine it for compliance and investigative lessons for the compliance professional.

“The Adventure of the Priory School” is a captivating Sherlock Holmes story that delves into the realms of hidden identities, unexpected alliances, and intricate mysteries. The narrative offers valuable insights into compliance, ethics, and leadership, as demonstrated by the school’s headmaster, Dr. Thorneycroft Huxtable, who seeks Holmes’ assistance when a student mysteriously disappears. This action highlights the significance of transparency, accountability, due diligence, communication, and training in resolving issues and mitigating risks.

Tom views this story as a complex and intriguing mystery that underscores the importance of ethical leadership, transparency, and due diligence in resolving compliance issues. Drawing from his extensive experience in the field, Fox emphasizes the need for comprehensive investigative techniques, flexibility in risk management, and adaptability to changing circumstances. He sees the story as a rich source of lessons for compliance professionals and stresses the importance of applying these principles in real-world scenarios.

 Key Investigative Lessons:

  • Mystery of Lord Saltire’s Kidnapping at School
  • Collaborative Problem-Solving in School Crisis
  • Holmes’ Lessons in Thorough Investigative Techniques

Resources:

The New Annotated Sherlock Holmes

Sherlock Holmes FAQ

Connect with Tom Fox

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Compliance Week Conference Podcast

Compliance Week 2024 Speaker Preview Podcasts – Darrel Byer on Building a Compliance Program from the Ground Up

In this episode of the Compliance Week 2024 Speaker Preview Podcasts series, Darrel Byer discusses his presentation at Compliance Week 2024, “Building a Compliance Organization from the Ground Up.” Some of the issues he will discuss in this podcast and his presentation are:

  • Experiences in building their departments and why they made the choices they did
  • What worked, Forward-looking opportunities for improvement
  • Meeting new colleagues at Compliance Week 2024

I hope you can join me at Compliance Week 2024. This year’s event will be held April 2-4 at The Westin Washington, DC, Downtown. The line-up for this year’s event is first-rate, with some of the top ethics and compliance practitioners around.

Gain insights and make connections at the industry’s premier cross-industry national compliance event, offering knowledge-packed, accredited sessions and take-home advice from the most influential leaders in the compliance community. Back for its 19th year, join 500+ compliance, ethics, legal, and audit professionals who gather to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Compliance, ethics, legal, and audit professionals will gather safely face-to-face to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs, among many others, to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders, and ethics and compliance visionaries.
  • Hear from 80+ respected cross-industry practitioners who are CEOs, CCOs, regulators, federal officials, and practitioners to help inform and shape the strategic direction of your enterprise risk management program.
  • Hear directly from panels on leadership, fraud detection, confronting regulatory change, abiding by cross-border rules and regulations, and the always-favorite fireside chats.
  • Bring actionable takeaways to your program from various session types, including cyber, AI, Compliance, Board obligations, data-driven compliance, and many others, for you to listen, learn, and share.
  • Compliance Week aims to arm you with information, strategy, and tactics to transform your organization and career by connecting ethics to business performance through process augmentation and data visualization.

I hope you can join me at the event. For information on the event, click here. As an extra benefit to listeners of this podcast, Compliance Week is offering a $200 discount on the registration price. Enter the discount code TFOX2024 for $200 off.

The Compliance Week 2024 Preview Podcast series is a production of the Compliance Podcast Network. Compliance Week is the sponsor of this series.

Categories
Blog

Positivity in Compliance: Fostering a Culture of Collaboration

Maintaining a positive attitude in compliance programs is crucial for effective interactions and perceptions within the field. In a recent episode of ‘Creativity and Compliance‘ co-hosted by Tom Fox and Ronnie Feldman, the importance of positivity in compliance was discussed in depth. The episode highlighted how focusing on positivity can transform the image of compliance professionals from being seen as restrictive to being viewed as business enablers who collaborate with other departments to achieve ethical business goals.

One key aspect emphasized in the episode is the role of creativity and humor in enhancing communication, engagement, and behavior change within compliance programs. Compliance professionals can employ positive reinforcement strategies to drive ethical behavior and foster a more engaging environment by incorporating creative elements from everyday activities and infusing humor and positivity.

Leadership’s positivity, particularly from a Chief Compliance Officer (CCO), is a significant factor in influencing a compliance function’s overall tone and culture. An optimistic approach from the CCO can set the tone for the entire compliance team, encouraging collaboration and ethical behavior throughout the organization.

Whether you consider the compliance function of Debbie Downer or Dr. No from the Land of No, a corporate compliance function is often characterized by negativity and strict enforcement. It is seen as the Land of Business Non-Development. By shifting towards a more positive and solution-oriented approach, compliance professionals can reframe their role as facilitators of business success while upholding ethical standards. This change in attitude can improve the effectiveness of compliance programs and boost employee morale and engagement.

Quotes from the episode further emphasize the importance of positivity in compliance. “People like being around people that are positive, that are energizing, that are solution-oriented,” highlights the impact of positive interactions on employee engagement and relationships within the organization. Additionally, the quote, “The main evolutionary significance of humor is it gets us from the closed mode to the open mode faster than anything else,” underscores the role of humor in fostering a more open and collaborative environment within compliance programs.

This does not mean a compliance professional must walk around all day with a smile from ear to ear. It means a positive attitude towards working with others in your organization to accomplish goals. It all focuses on fostering relationships. What is your relationship with the business development team members, the finance department, HR, or any other corporate function? One of my favorite strategies is from Russ Berland. Buy pizzas for lunch. Almost everyone loves pizza, so it’s hard to go wrong with pizza for lunch.

Always remember that you want others in the organization to pick up the phone and call you, or if you are back in the office, to stop by and talk to you if they have questions. They are much more likely to do so if there is some personal relationship or connection. Louis Sapirman used to talk about planes, trains, and automobiles. In other words, get out of the corporate headquarters and meet employees where they work. They are, after all, your compliance customers. You might not be able to meet your employees in such a pre-pandemic manner, but the point is still the same; to meet your employee, compliance customer base.

Maintaining a positive attitude toward compliance is essential for building a culture of collaboration, engagement, and ethical behavior. By embracing creativity, humor, and positivity, compliance professionals can enhance communication, drive behavior change, and ultimately contribute to the overall success of compliance programs. Leadership’s positivity, particularly from the CCO, is crucial in setting the tone for the compliance function and fostering a more positive and engaging environment. Organizations can create a more effective and ethical compliance program that resonates with employees and stakeholders by prioritizing positivity in compliance.