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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 20 – Third-Party Risk Management Process

Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom Fox will post a key part of a best practices compliance program daily. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, and will include three key takeaways you can implement at little or no cost to help update your compliance program. I hope you will join us each day in January for this exploration of best practices in compliance.

On Day 20, we delve into the third-party risk management process, a crucial aspect of corporate compliance under the FCPA. Third parties continue to pose the highest risk, necessitating an integrated and operational approach throughout the company. The episode outlines the five essential steps in the third-party risk management life cycle, as mandated by the DOJ in the 2020 FCPA Resource Guide. These steps include business justification, third-party questionnaires, due diligence, compliance terms and conditions, and post-contract management and oversight. Each step is explored in detail, emphasizing the importance of documenting business cases, performing thorough due diligence, and maintaining diligent oversight to mitigate potential FCPA violations. Key takeaways include the necessity of using the full five-step process, involving business development and ensuring all steps are operationalized with business unit representatives. Join us tomorrow for Day 21 to discuss managing your third parties.

Key highlights:

  • Introduction to Third Party Risk Management
  • The Five Steps of Third-Party Risk Management
  • Key Takeaways

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 5th edition, by clicking here.

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31 Days to More Effective Compliance Programs

31 Days for a More Effective Compliance Program: Day 19 – Evaluating the Risk Management Process

Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom Fox will post a key part of a best practices compliance program daily. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, and will include three key takeaways you can implement at little or no cost to help update your compliance program. I hope you will join us each day in January for this exploration of best practices in compliance.

In today’s episode, we review the critical process of evaluating and translating risk assessments into actionable risk profiles. The discussion highlights the importance of prioritizing risks based on their significance and likelihood using risk matrices and heat maps. Expert insights from Ben Locwin and Bill Anathas emphasize focusing resources on high-risk employees and maintaining a robust compliance program aligned with FCPA guidelines. The episode also covers the Treasury Department’s OFAC compliance framework and offers concrete steps for continuous risk monitoring and remediation. Key takeaways include the necessity of a well-reasoned approach to risk evaluation, thorough documentation, and the implementation of a dynamic risk matrix to guide compliance efforts.

Key highlights:

  • Understanding Risk Profiles
  • Evaluating Risk Management Processes
  • Risk Matrix and Heat Maps

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 5th edition, by clicking here.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 18 – Risk Assessments

Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom Fox will post a key part of a best practices compliance program daily. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, and will include three key takeaways you can implement at little or no cost to help update your compliance program. I hope you will join us each day in January for this exploration of best practices in compliance.

In this episode, we discuss the essential role of risk assessments in anti-corruption compliance programs. A well-structured risk assessment forms the foundation of every corporate compliance program. We explore how organizations should identify, assess, and define their risk profiles, emphasizing the need for annual risk assessments whenever business risks change. The focus then shifts to geopolitical issues, supply chain dynamics, and evolving work environments and how these should be factored into compliance risk assessments. Historical perspectives from DOJ guidelines and the importance of a robust risk identification, analysis, and management methodology are also discussed. As highlighted, documenting these processes is crucial for developing an effective compliance strategy that evolves with the company’s risk landscape. Finally, the episode outlines the steps to create a comprehensive risk management strategy post-assessment, including policy development, training, monitoring, and updating protocols.

Key highlights:

  • The Importance of Regular Risk Assessments
  • Methodologies for Risk Assessment
  • Steps in Conducting a Risk Assessment

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 5th edition, by clicking here.

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10 For 10

10 For 10: Top Compliance Stories For the Week Ending – January 18, 2025

Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance professional and the compliance stories you need to know to end your busy week. Sit back, and in 10 minutes, hear the stories every compliance professional should know from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, all curated by the Voice of Compliance, Tom Fox. Get your weekly filling of compliance stories with 10 for 10, a podcast produced by the Compliance Podcast Network.

  • BitMEX fined an additional $100MM.  (WSJ)
  • Wells Fargo banks on compliance. (PYMTS.com)
  • China military corruption purge ‘tip of the iceberg’.  (Business Insider)
  • Cognizant defendants want to know government’s trial strategy. (Law360) sub req’d
  • What is forced labor? (BBC)
  • KPMG to open US law firm in AZ.  (Reuters)
  • SEC sues Elon Musk yet again, this time over Twitter purchase. (Bloomberg)
  • UK Minister resigns over corruption investigation in Bangladesh. (Reuters)
  • Has corporate purpose lost its purpose? (FT)
  • Return To Office compliance. (Bloomberg)

For more information on the Ethico Toolkit for Middle Managers, available at no charge, click here.

You can check out the Daily Compliance News for four curated compliance and ethics-related stories each day here.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 17 – Podcasting for Compliance

Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom Fox will post a key part of a best practices compliance program daily. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, and will include three key takeaways you can implement at little or no cost to help update your compliance program. I hope you will join us each day in January for this exploration of best practices in compliance.

In this episode, we explore the transformative potential of podcasting in compliance training and fostering corporate culture. Harnessing the power of imaginative communication methods, we discuss the effectiveness of delivering compliance messages and training through various podcast formats. We revisit the 2012 Morgan Stanley declination to underscore the impact of consistent compliance reminders and venture into how short ethics and compliance video clips and storytelling podcasts can enhance employee engagement and regulatory satisfaction.

These podcasts are standalone training tools and can be broadcast through social media, creating a larger reach and providing valuable feedback through listener engagement metrics. Additional formats discussed include a branded podcast series featuring longer episodes that humanize compliance topics through interviews and a daily compliance news show to keep employees informed and engaged. This episode emphasizes the importance of innovative storytelling in making compliance communications memorable and effective.

Key highlights:

  • Podcast Storytelling: A New Approach
  • Branded Podcast Series for Compliance
  • The Benefits of Podcasting for Compliance

Resources:

Listeners to this podcast can receive a 20% discount on The Compliance Handbook, 5th edition, by clicking here.

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Blog

Kaizen 2.0: Leveraging AI for Continuous Improvement in Compliance

In the late 1940s, engineer Taiichi Ohno introduced the world to the Toyota Production System, an operational approach rooted in the Japanese principle of Kaizen or, as we call it today, continuous improvement. By prioritizing incremental enhancements and engaging employees at all levels, Toyota transformed manufacturing with concepts like worker empowerment, just-in-time manufacturing, root-cause analysis, and total quality management. The result? Toyota became the largest automaker in the world and a gold standard for process excellence. All this and much more was found in a recent Harvard Business Review article, The Secret to Successful AI-Driven Process Redesign, by H. James Wilson and Paul R. Daugherty.

I use their article as a starting point to explore where Kaizen meets the transformative power of artificial intelligence (AI) in the compliance realm. Kaizen 2.0 empowers employees with AI tools to make data-driven decisions, streamline processes, and elevate organizational performance in this new era. For compliance professionals, the principles behind this transformation offer a powerful roadmap for managing risk, embedding compliance into your business processes, and creating resilient risk management structures.

From Kaizen to Kaizen 2.0: The Role of AI in Compliance 

At its core, Kaizen is about empowering employees to improve processes continuously. Kaizen 2.0 amplifies this with AI, making advanced tools accessible to non-technical employees and enabling them to synthesize complex data for actionable insights. For compliance teams, this means using AI not to replace human judgment but to enhance it, whether by automating routine tasks, detecting risks, or uncovering inefficiencies.

Mercedes-Benz provides an interesting example. The company’s MO360 Data Platform democratizes data access across its global production network, enabling employees at every level to make data-driven decisions. A frontline worker can query AI about assembly-line bottlenecks or supply chain delays and receive actionable real-time recommendations. Imagine a compliance professional leveraging similar tools to identify patterns in third-party transactions or track policy adherence across business units.

This democratization of information underscores a key lesson for compliance professionals. AI tools are most effective when they empower teams rather than replace them. By augmenting human expertise, compliance programs can scale their impact while fostering a culture of accountability and engagement.

AI-Driven Tools: Unlocking New Compliance Opportunities 

Incorporating AI into compliance frameworks opens the door to new possibilities. Consider the following applications for the compliance function.

  • Root-Cause Analysis

Root-cause analysis can become more powerful with AI. Generative AI tools can analyze vast amounts of data to pinpoint the underlying root causes of compliance failures. For example, training AI on high-quality data can reduce false positives in transaction monitoring, allowing teams to focus on genuine risks. Using AI in the root-cause process could allow a compliance professional to determine the root cause of every compliance failure, whether simply a hiccup or a major system failure.

  • Just-in-Time Compliance

Borrowing from Toyota’s just-in-time manufacturing, compliance teams can use AI to implement “just-in-time compliance.” AI tools can monitor real-time transactions, communications, or activities, flagging issues as they occur rather than after the fact. This proactive approach aligns with regulators’ increasing focus on continuous monitoring. Also, consider how you could send a personalized compliance message to an employee who is about to travel to a high-risk country or engage in a high-risk activity.

  • Employee Empowerment

AI-enabled compliance platforms can empower employees across the organization to identify and address risks. This offers a great opportunity to move a compliance tool directly to the first line of defense. A generative AI tool could help employees draft accurate disclosures, navigate complex policies, or report concerns anonymously and securely. By embedding compliance tools into day-to-day workflows, organizations can create a proactive compliance culture and make the process more efficient.

Reshaping Risk Management: Lessons from Kaizen 2.0 

One of the most transformative aspects of Kaizen 2.0 is how it redefines risk management. Merck uses generative AI to improve quality control in drug inspection processes in the pharmaceutical industry. By creating synthetic defect-image data, AI reduces false rejects by over 50%, cutting waste and enhancing efficiency.

Compliance professionals can take inspiration from this approach by leveraging AI to address data quality issues. For instance, AI-powered tools can identify inconsistencies in due diligence data, streamline third-party risk assessments, and ensure consistent policy application across global operations.

Similarly, companies like Colgate-Palmolive and Nestlé are using AI to drive innovation in product development. For compliance teams, these advancements signal the potential for AI to transform regulatory reporting, training, and monitoring by making these processes more adaptive and aligned with business goals.

Overcoming Challenges: Ensuring Human-Centric AI Adoption 

While AI offers immense potential, successful adoption requires careful planning and execution. Compliance professionals must address the following challenges:

  1. Employee Training and Engagement. Like Mercedes-Benz’s Turn2Learn initiative, compliance teams should invest in training employees in AI in compliance programs. Educating staff on using AI tools effectively ensures they can take part in compliance initiatives and take ownership of risk management.
  2. Data Quality and Integration. High-quality data is the foundation of effective AI tools. Compliance leaders must champion data governance initiatives to eliminate silos, standardize data formats, and ensure accuracy. This has been on the Department of Justice’s (DOJ) mind since 2020 and was reiterated in the 2024 Evaluation of Corporate Compliance Programs.
  3. Ethical AI Usage. Compliance teams must lead efforts to ensure AI tools are used ethically and transparently. This includes validating AI outputs, addressing biases, and maintaining accountability for decisions informed by AI.

The Future of Kaizen 2.0 in Compliance

The convergence of AI, digital twins, and autonomous agents will redefine process management in compliance. Autonomous agents powered by generative AI can independently execute tasks, adapt strategies, and continuously improve their performance. This means a shift from routine oversight to strategic leadership for compliance professionals.

Walmart uses autonomous agents for inventory management. Compliance teams could deploy similar agents to monitor real-time regulatory changes, update policies, and notify stakeholders of critical updates.

Looking ahead, digital twins, which are virtual models of real-world systems, could revolutionize compliance training and testing. A digital twin of an organization’s compliance framework could simulate the impact of regulatory changes, test the effectiveness of controls, and identify vulnerabilities before they become liabilities.

A Call to Action for Compliance Professionals

The principles of Kaizen 2.0 offer a roadmap for transforming compliance programs. By embracing AI and empowering employees, compliance leaders can foster a culture of continuous improvement that meets DOJ requirements and drives business success. Three key steps help the compliance professional begin.

The first is to identify opportunities for AI integration in both your compliance program and overall compliance function. You should begin by mapping compliance processes and identifying areas where AI can add value, such as risk monitoring, policy management, or training. Next is engagement with employees by fostering a culture of collaboration by involving employees in AI-driven compliance initiatives. Provide training and resources to help them contribute to continuous improvement.  The final step is to monitor and continuously improve. Establish clear metrics for compliance performance and use AI to monitor progress. Review and refine processes to ensure they remain effective and aligned with business goals. Update, refine, and improve as the data becomes available to you.

Compliance professionals have a unique opportunity to lead our organizations into the future. By leveraging Kaizen 2.0 principles and AI tools, we can create compliance programs that are effective, resilient, adaptive, and aligned with organizational values. Let’s make continuous improvement the cornerstone of a fully operationalized compliance program and demonstrate to your organization that effective compliance leads to more efficient processes, which leads to greater ROI and profitability.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 16 – Effective and Tailored Compliance Training

Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom will post a key part of a best practices compliance program daily. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be 6-8 minutes short, with three key takeaways you can implement at little or no cost to help update your compliance program. I hope you will join us each day in January for this exploration of best practices in compliance.

In today’s episode, we delve into the evolution and importance of employee compliance training, focusing on fostering a culture of compliance within organizations. We discuss key guidelines from the FCPA Resource Guide 2nd Edition and subsequent updates from the DOJ and SEC, emphasizing the necessity of effectively communicating and tailoring training programs to an organization’s specific audience. Critical aspects include the importance of training in local languages, assessing the risk profile of employees, and ensuring senior management’s participation. Furthermore, we explore the concept of ‘espresso shots’ or concise training segments to enhance learning and retention. Metrics such as increased hotline use and survey feedback are essential for evaluating the effectiveness of compliance programs.

Key highlights:

  • Evolution of Compliance Training Standards
  • Measuring Training Effectiveness
  • Tailoring Training to Audience Needs

Resources:

Click here to receive a 20% discount on The Compliance Handbook, 5th edition, for listeners to this podcast.

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Blog

Overcoming AI Resistance for Corporate Compliance Professionals

Artificial intelligence (AI) presents a paradox for corporate leaders. On one hand, its potential is undeniable: in a 2023 Gartner survey, 79% of corporate strategists deemed AI, automation, and analytics critical to their success. Yet, only 20% actively use AI in their daily activities. The gap between intention and action speaks volumes, especially in compliance, where AI offers unprecedented opportunities to manage risk, enhance efficiency, and ensure adherence to regulations. In a recent Harvard Business Review Article entitled Why People Resist Embracing AI, Julian De Freitas reviewed this issue and provided some ways to think through how to respond.

Despite its promise, AI adoption is hindered by human skepticism. Concerns range from fears of job loss to distrust in AI’s capacity for ethical decision-making. For compliance professionals, understanding and addressing these barriers is vital for leveraging AI to strengthen compliance programs and drive corporate integrity. In this blog post, I want to explore these challenges and how compliance leaders can overcome them. I have adapted Freitas’ article for the compliance professional.

The Five Barriers to AI Adoption in Compliance

  • AI’s Opacity: The “Black Box” Problem

Many employees resist AI because it operates as an inscrutable “black box,” offering conclusions without clear explanations. This lack of transparency can be a deal-breaker for compliance teams, as accountability is paramount in regulatory environments. How can an algorithm flag a suspicious transaction or identify potential bribery risks without explaining its rationale?

Compliance leaders should prioritize AI tools that offer clear, comparative explanations to overcome this barrier. For instance, instead of stating that a third-party transaction was flagged as high risk, the system should explain why, perhaps because of discrepancies in invoice patterns or connections to sanctioned entities. Such insights enhance trust and empower teams to make informed decisions.

Start small. Introducing simpler AI models before scaling to more complex ones can build confidence. Much like Miroglio Fashion’s approach to demand forecasting, a pilot program allows teams to familiarize themselves with AI and see its benefits before adopting more advanced systems.

  • AI Is Perceived as Emotionless

Compliance often involves navigating complex, human-centric issues, such as whistleblower reports, triage, Institutional Justice/Fairness, or ethical dilemmas. Many employees doubt AI’s ability to handle such subjective tasks, viewing it as emotionless and rigid. While AI can process vast amounts of data, can it understand the nuances of a whistleblower’s complaint or the subtleties of cultural differences in compliance?

Here, framing matters. Compliance leaders should emphasize AI’s ability to provide objective insights while leaving subjective decision-making to human professionals. For instance, AI can flag patterns in expense reports suggesting potential fraud, but the decision to investigate remains with compliance officers.

Anthropomorphizing AI tools can also make them more relatable. Tools like Amazon Alexa, with humanlike names and voices, have shown that users are more willing to interact with AI when it feels approachable. However, tread carefully in sensitive contexts, such as investigations, where a less personalized AI may feel less intrusive. Always remember the Human-in-the-Loop.

  • AI’s Perceived Rigidity

A common misconception about AI is that it cannot adapt or evolve. For compliance professionals, this rigidity could mean AI systems are seen as inflexible, unable to account for unique organizational contexts or evolving regulatory landscapes.

To address this, emphasize AI’s learning capabilities. Tools that improve over time, such as those that adapt to new fraud schemes or regulatory updates, mainly through large language models, can demonstrate AI’s ability to evolve alongside the business. Netflix’s content recommendations, for example, continuously improve based on user behavior. Compliance systems should follow suit, showcasing how AI refines its processes to meet organizational needs better.

At the same time, compliance leaders must balance flexibility with predictability. Highly adaptable AI systems can introduce risks if they deviate too far from expected outcomes. Regular monitoring and safeguards are critical to ensure the system operates within defined ethical and regulatory boundaries.

  • Fear of Loss of Control

AI’s autonomy often feels threatening, particularly in compliance, where human judgment is paramount. Employees may worry that AI will override their expertise or act independently in ways that could jeopardize compliance efforts. For example, an AI tool autonomously approving transactions without human review might lead to unchecked risks.

The solution? Implement human-in-the-loop systems, where AI supports decision-making rather than replaces it. Nest’s smart thermostat, which allows users to switch between manual control and automation, is an excellent analogy. In compliance, this could mean using AI to flag risks while leaving final decisions to compliance officers. Such hybrid models restore employees’ sense of agency while ensuring AI enhances rather than undermines human oversight.

  • Preference for Human Interaction

Compliance is inherently relational. Building trust, navigating cultural differences, and addressing employee concerns require human empathy—qualities many believe AI lacks. Resistance to AI often stems from the belief that humans are better equipped to handle nuanced interpersonal issues.

While AI cannot replicate human empathy, it can support human efforts. For example, generative AI can analyze patterns in hotline reports to identify systemic issues, allowing compliance officers to focus on building relationships and fostering a speak-up culture. Framing AI as a tool that amplifies human capabilities rather than replacing them can help reduce resistance.

Strategies for Driving AI Adoption in Compliance

  1. Start with Transparency. Be upfront about what AI can and cannot do. Educate employees on how AI systems work, their limitations, and the safeguards to prevent misuse. Transparency builds trust and encourages collaboration.
  2. Focus on Small Wins. Demonstrating tangible benefits through pilot programs can win over skeptics. For instance, AI can automate low-risk tasks like policy distribution or routine transaction monitoring. Success in these areas can pave the way for broader adoption.
  3. Prioritize Training and Support. AI adoption requires investment in employee training. Equip teams with the skills to use AI tools effectively and provide ongoing support to address questions or concerns. Mercedes-Benz’s Turn2Learn initiative offers extensive AI training and is a model worth emulating.
  4. Align AI with Ethical Standards. Compliance professionals must ensure AI systems align with the organization’s values and ethical standards. Regular audits, bias checks, and transparent reporting can reassure stakeholders that AI is being used responsibly.
  5. Measure and Iterate. Establish clear metrics to evaluate AI’s impact on compliance processes. Use these insights to refine the system, addressing pain points and enhancing effectiveness.

AI in Compliance: A Strategic Imperative 

AI’s potential to revolutionize compliance is immense. From automating routine tasks to identifying emerging risks, it can make programs more efficient, proactive, and resilient. However, realizing this potential requires more than technology; it demands a cultural shift.

Compliance leaders must champion AI adoption by addressing psychological barriers and demonstrating its value. Organizations can harness AI to strengthen compliance and drive business success by prioritizing transparency, fostering trust, and empowering employees. As the Gartner survey reminds us, AI is not just a tool for the future—it’s a strategic imperative for today. The question isn’t whether to adopt AI but how to do so in a way that aligns with organizational goals and values. For compliance professionals, the path forward is clear: embrace AI, empower your teams, and lead the charge toward a more efficient, ethical, and innovative compliance landscape.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 15 – Monitoring and Improving Internal Controls

Welcome to a special podcast series on the Compliance Podcast Network, 31 Days to a More Effective Compliance Program. Over these 31 days of the series in January 2025, Tom will post a key part of a best practices compliance program daily. By the end of January, you will have enough information to create, design, or enhance a compliance program. Each podcast will be short, at 6-8 minutes, and will include three key takeaways you can implement at little or no cost to help update your compliance program. I hope you will join us each day in January for this exploration of best practices in compliance.

In this episode, we look at the ongoing process of monitoring and improving company internal controls. Christina Ravelo starts by posing fundamental questions about the frequency of manual approvals and control overrides, emphasizing the importance of continuous evaluation and recalibration. This episode highlights the misperception among many compliance professionals and lawyers that controls are static and unchanging once implemented. Instead, internal controls should be dynamic, requiring regular reviews and updates based on collected data, such as the frequency of overrides. Proper documentation is crucial, and companies should engage in periodic self-reviews as part of their continuous monitoring efforts. Ravello also stresses the necessity of identifying issues and remedying them to prevent further complications. Today’s key takeaways include the idea that control overrides are not inherently problematic if appropriately managed, the dynamic nature of internal controls, and the importance of a comprehensive monitoring process incorporating feedback from every line of defense.

Key highlights:

  • Understanding Control Overrides
  • Continuous Monitoring and Improvement
  • Assessing and Updating Controls

Resources:

Click here to receive a 20% discount on The Compliance Handbook, 5th edition, for listeners to this podcast.

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Great Women in Compliance

Great Women in Compliance – Catherine Razzano on Leading with Passion

In this week’s episode, Hemma visits Catherine Razzano, a veteran legal and compliance expert and Head of Global Legal Compliance at social media giant TikTok.

Learn about Catherine’s transition from private practice to in-house compliance work as she shares her journey from a prestigious clerkship and partnership track in Big Law with an FCPA and white-collar practice to leading in-house compliance teams at General Dynamics, Panasonic, and TikTok. Hemma asked Catherine about the challenges and benefits of working under a monitorship, with Catherine emphasizing the importance of relationship building and trust. Catherine also shared her experiences leading teams under scrutiny and pressure, including during the pandemic and at TikTok.

Catherine discusses the source of her firm commitment to mentoring and sponsoring the next generation of ethics and compliance leaders. Tune in to hear inspiring insights on the importance of intentionality and finding your passion when navigating transitions as we enter the second quarter of the century in 2025.

Highlights include:

  • Managing compliance teams under scrutiny and pressure
  • Culture-building in global organizations
  • Navigating different industries as a compliance professional
  • Following your passion for career growth and transitions
  • The importance of mentoring and sponsorship

Biography:

Catherine Razzano is the Head of Legal Compliance at TikTok, the social media giant where she leads a global team of compliance professionals. She joined TikTok from Panasonic Avionics Corp., where she was hired in 2018 to help the company strengthen its compliance systems while under independent oversight following an investigation into violations of U.S. antibribery law. Before Panasonic, Catherine was an Associate General Counsel and Director of International Law & Compliance at General Dynamics after leaving her white-collar criminal practice at prestigious law firms, Cadwalader Wickersham and Taft and Clifford Chance, LLP, and serving as Judicial Law Clerk to the Honorable John M. Facciola in the United States District Court for the District of Columbia

Thanks, as always, to our sponsor, Corporate Compliance Insights, and our wonderful #GWIC community. You can join the Great Women in Compliance community on LinkedIn here.