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Climbing the Jungle Gym: Embracing Lateral Career Moves

In compliance, we often view career advancement as a ladder, a relentless climb toward greater authority, higher compensation, and more significant responsibilities. But what if the path to long-term success is not a straight ascent? Instead, what if it is more like a jungle gym, offering opportunities to move sideways or even down temporarily to reach greater heights in the future?

The phrase “careers are a jungle gym, not a ladder,” attributed to journalist Pattie Sellers and popularized by Sheryl Sandberg, offers a refreshing perspective. Adopting this mindset can be transformative for compliance professionals, as well as for both individual growth and organizational resilience. Interestingly, the Department of Justice evaluates the mobility of compliance professionals within an organization. Brian Elliott looked at this phenomenon in a recent MIT Sloan Management Review article entitled When Moving Sideways Makes Sense.

Why Compliance Professionals Feel Stuck 

In today’s job market, many professionals find themselves in a rut. The slowdown in promotions and a stabilizing economy have left employees feeling stagnant. While layoffs have not accelerated, promotions have plateaued, and opportunities for upward mobility seem limited. Rising burnout rates compound this reality. For compliance professionals managing the “do more with less” mantra, the grind of repeating the same tasks without growth opportunities can lead to disengagement.

So, what’s the solution? It may not be looking outside your organization but exploring new opportunities within. Lateral moves, whether to a different team, project, or function, can offer a much-needed change of pace, a chance to build new skills, and a renewed sense of purpose.

Recognizing When It’s Time to Move Laterally

Knowing when to consider a lateral move is critical. Here are some signals:

  1. Lack of Learning Opportunities. If you have mastered your current role and no longer feel challenged, it is time to look for something new.
  2. Misalignment with Leadership or Team. A poor fit with your manager or team can make work a struggle. Moving to a different group can offer a fresh start.
  3. Desire for Skill Development. If your long-term career goals require expertise, you can’t gain it in your current role, so a lateral move could help you bridge the gap.
  4. Burnout or Low Engagement. When work feels monotonous, a change of scenery, even within the same company, can re-energize you.

For compliance professionals, these factors often align with organizational needs. Expanding your skill set or shifting to a new area within compliance—such as data privacy, ESG reporting, or third-party risk management—can position you as a more valuable asset and expand your personal brand while keeping you engaged.

The Challenges of Lateral Moves

Despite their benefits, lateral moves come with risks. They may involve stepping down in authority, accepting stagnant compensation, or facing initial performance challenges in an unfamiliar area. These risks can be daunting in compliance, where professionals are often judged by their titles, responsibilities, and influence.

However, the rewards often outweigh the risks. Moving laterally can expand your network, broaden your expertise, and prepare you for leadership roles that demand cross-functional knowledge. These moves can be especially valuable in compliance, where adaptability and breadth of expertise are prized.

Building a Culture of Internal Mobility

For organizations, encouraging lateral mobility is not just an employee retention strategy but a business imperative. Companies like Google and Synchrony have recognized the value of internal mobility, implementing programs that make it easier for employees to explore new opportunities within the company. These initiatives reduce burnout, foster innovation, and build a pipeline of well-rounded leaders.

Yet many organizations lack the infrastructure to support lateral moves. Performance metrics and compensation structures often reward upward mobility, while managers may resist losing top talent to other teams. To overcome these barriers, compliance leaders can champion internal mobility by creating formal programs to develop frameworks for lateral moves, including short-term assignments or rotations, to encourage cross-functional collaboration. Another tactic might be to recognize lateral successes within your organization. Finally, train your middle managers on the benefits of internal mobility and encourage them to support their team members’ growth.

How Compliance Professionals Can Navigate Lateral Moves

If you are a compliance professional considering a lateral move, here are some strategies to ensure success:

  1. Identify Allies and Sponsors. Building relationships with leaders who can advocate for you is critical. Sponsors can provide guidance, open doors, and reduce the risks of making a significant change.
  2. Communicate Your Goals. Be transparent about your desire to grow and learn. This helps managers and mentors understand how they can support your development.
  3. Invest in Learning. Pair a lateral move with external learning opportunities, such as certifications or professional development courses, to enhance your value.
  4. Stay Open to Short-Term Setbacks. Accept that a lateral move might not yield immediate rewards. Focus on the long-term benefits, such as skill acquisition and expanded career options.

Why Lateral Moves Matter for Compliance 

Compliance professionals operate in a dynamic environment where regulations, risks, and business priorities constantly evolve. Lateral moves can equip you with the diverse experiences needed to navigate this complexity. Consider that a move from investigations to training can deepen your understanding of preventative measures; shifting from a regional role to a global one can enhance your perspective on cultural and regulatory nuances; or transitioning from compliance to a related function, like internal audit or legal, can broaden your strategic insights. These experiences make you a more effective compliance professional and prepare you for leadership roles where cross-functional expertise is essential. Never forget the Brand of You.

Final Thoughts: The Jungle Gym Advantage 

In the compliance field, careers are not linear. Embracing the jungle gym approach can help you stay engaged, continuously learn, and build the skills needed for long-term success. For organizations, fostering a culture of internal mobility is a strategic advantage, enabling you to retain talent, drive innovation, and develop future leaders.

So, the next time you feel stuck, consider a lateral move. It might just be the step you need, not up but across, to achieve your goals and elevate your career in compliance.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 14 – 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 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.

Today, the focus is on internal controls and their critical role in compliance frameworks. The episode provides a comprehensive definition of internal controls, emphasizing their importance for achieving operational efficiency, reliable financial reporting, compliance with laws and policies, and the reduction of risks such as fraud and waste. The discussion highlights the requirements outlined in the FCPA for internal controls, including the authorization and documentation of transactions and the protection and accountability of assets. Moreover, four significant internal controls for compliance practitioners are identified: delegation of authority, maintenance of the vendor master file, contracts with third parties, and management of cash and currency transfers. The episode underscores that effective internal controls are essential and mandated by the FCPA, forming a cornerstone of any robust compliance program.

Key highlights:

  • Defining Internal Controls
  • Key Components of Internal Controls
  • Internal Controls in Compliance Programs

Resources:

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

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Daily Compliance News

Daily Compliance News: January 14, 2025 – The RTO Compliance Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News—all from the Compliance Podcast Network. Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Top stories include:

  • Using AI as an excuse for ‘cost avoidance.’ (WSJ)
  • Crypto’s compliance conundrum. (CoinDesk)
  • 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.

Check out The FCPA Survival Guide on Amazon.com.

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Innovation in Compliance

Innovation in Compliance: Todd Haugh on Ethical Decision Making in the Workplace: Beyond Financial Incentives

Innovation comes in many areas, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom Fox visits with Todd Haugh, Associate Professor of Business Law and Ethics at the IU Kelley School of Business, Arthur M. Weimer Faculty Fellow in Business Law Board Member and Jesse Fine Fellow, The Poynter Center for the Study of Ethics, and American Institutions Director of the Institute for Corporate Governance and Ethics.

Tom and Todd have too much fun, deep-diving into the intricate relationship between missed bonuses and ethical decision-making in a corporate environment. They discuss how unmet expectations around bonuses can lead to the rationalization of unethical or illegal behavior by employees. They emphasize the importance of managers understanding the broader implications beyond economic incentives, as ignoring these psychological factors can introduce significant risks to an organization. They also talk about the Institute for Corporate Governance and Ethics. Tune in to hear two top commentators talk about financial and other incentives in compliance and how these dynamics can affect overall corporate compliance. Learn strategies to mitigate associated risks.

  • Understanding Behavioral Ethics in Business
  • Impact of Missed Bonuses on Ethical Decision Making
  • Rationalizing Unethical Behavior
  • Perception of Company Care
  • Potential for Unethical or Illegal Behavior
  • The Institute for Corporate Governance and Ethics

Resources:

Todd Haugh on LinkedIn

Indiana University-Kelley School of Business

Institute for Corporate Governance and Ethics

Todd Haugh at Kelley School of Business

Tom Fox

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SBR - Authors' Podcast

SBR – Author’s Podcast – Exploring the Future of Work, Ethics, and Compliance with Kelly Monahan, Part 1

Welcome to the SBR – Author’s Podcast! Host Tom Fox visits with authors in the compliance arena and beyond in this Podcast Series. Today, Tom is joined by his good friend and colleague, Earnie Broughton (Earnie from Boerne), to visit with Dr. Kelly Monahan, co-author of the soon-to-be-released book Essential: How Distributed Teams, Generative AI, and Global Shifts Are Creating a New Human-Powered Leadership (Co-authored with Dr. Christie Smith) We three had such good fun that we went on for nearly an hour, so we have broken up the interview into two podcasts.

In today’s Part 1, Kelly delves into her academic and professional journey and how her experiences have shaped her focus on the intersection of technology and human development. The discussion centers on three macro trends affecting the future of work: generative AI, remote and hybrid work models, and the rise of the alternative workforce. Kelly elaborates on the ‘gray collar’ concept of workers, emphasizing the merging of physical labor with technology. She also highlights the importance of power skills, formerly known as soft skills, in navigating these transformations successfully.

Key highlights:

  • The Future of Work: Trends and Insights
  • AI and Its Impact on the Workforce
  • The Rise of the Gray Collar Workforce
  • Freelancers and Corporate Culture
  • Leadership Mindset and Workforce Engagement

Resources:

The Essential Website

Pre-Order: Essential: How Distributed Teams, Generative AI, and Global Shifts Are Creating a New Human-Powered Leadership on Amazon.com

Kelly Monahan on LinkedIn

Earnie Boughton on LinkedIn

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Blog

The Personalization Imperative: Lessons for Compliance Professionals 

Personalization has emerged as a transformative force in modern business and modern communications. Marketing is no longer about addressing a customer by name in an email but delivering tailored experiences at scale, powered by artificial intelligence (AI) and data-driven insights. In a recent article in the Harvard Business Review, entitled Personalization Done Right, authors Mark Abraham and David Edelman wrote about how companies like SonderMind, Spotify, and Sweetgreen lead the charge, using innovative personalization strategies to create value and delight their customers. However, personalization presents some interesting opportunities for compliance professionals to balance innovation with regulatory obligations, ethical considerations, and data privacy concerns.

Today, I want to examine the lessons that compliance professionals can draw from the personalization strategies outlined in the BCG Personalization Index. I will focus on maintaining compliance while enabling businesses to leverage personalization as a competitive advantage. 

The Five Promises of Personalization 

Personalization leaders succeed by fulfilling five implicit promises to their customers:

  1. Empower Me – Make my experience seamless and intuitive.
  2. Know Me – Use my data responsibly to understand my needs.
  3. Reach Me – Engage with me at the right time, on the right channel.
  4. Show Me – Provide relevant, tailored content.
  5. Delight Me – Continuously improve my experience through innovation.

Each of these promises presents opportunities and risks that compliance professionals must navigate.

  • Empower Me: Enhancing the Customer Journey 

Businesses like SonderMind demonstrate how personalization can empower users. SonderMind’s mental wellness app analyzes individual data to suggest actionable steps, such as meditation or journaling, and arm therapists with anonymized insights to optimize treatment plans. This results in better outcomes for patients and reduced costs for insurers.

For the compliance professional empowering employees (the customers of compliance), Personalization leaders start by asking: How can I make the employee’s experience better by personalizing it? For a compliance professional, this means understanding an employee’s unique needs at every step of their journey and deciding how personalization can best help them. The Department of Justice calls this ‘targeted’ training and communications.

  • Know Me: Building Trust Through Data 

The authors point to Sweetgreen, “a newcomer to the restaurant business relative to the largest chains,” which illustrates this point well. Right from its start, in 2007, it invested in building digital customer relationships. It launched a mobile app in 2013, ahead of many large restaurant chains, and progressively added features such as mobile ordering, delivery, personalized offers and challenges, and a loyalty program to drive digital engagement.

Here, the compliance professional can not only stream compliance communications more efficiently but also use those same communications to build relationships and trust with your employees. Obviously, this is directly in the compliance wheelhouse, as data governance is paramount. Compliance teams must oversee the integration of customer data across systems, ensuring it is accurate, secure, and used in accordance with stated policies.

  • Reach Me: Engaging Responsibly 

Having the data to know the customer is not enough. Your organization must use AI to identify triggers to reach out, such as when a customer browses online or inquires. Then, orchestrate touches across channels and use smart frequency management to ensure their touches are coordinated and not overwhelming. The authors pointed to Cisco, whom they said is “a personalization leader. Its sales team knows whom to contact, when, and about what and comes armed with relevant content and demos. Because Cisco’s sales and marketing teams are closely linked, customers get coordinated exposure to content that supports their needs and that opens up sales dialogues.”

This is precisely how compliance professionals should think about targeted and effective training and communications. This type of coordinated approach, based on employee needs or questions, can pay off with big compliance benefits. Overreach will turn off employees if the communications are bad, useless, and overwhelming. You do not want to cause ‘compliance communication fatigue.’ Compliance professionals must monitor how AI models are recommended, ensuring they align with legal standards and ethical norms.

  • Show Me: Tailoring Content 

Pandora shows how generative AI can create personalized content, reducing production times and improving engagement. The authors noted, “The global jewelry brand Pandora thrives by sparking customer interest with inspirational content. As part of its strategy, it uses AI-generated content to tailor its messaging to each customer and cut cycle times for certain types of content creation from 12 to 14 months to a mere 10 days. The company learned that personalizing the background and model image for each individual—and coordinating how the customer sees those images across emails, websites, and other ads—substantially improved conversion rates.”

This speaks to the DOJ mandate for tailored training. However, you should also consider the business ethics message you can give customers. It can be similar to that of other companies that have gotten into FCPA or other regulatory trouble, celebrating your employees who have done the right thing or consistent messages from your CEO or senior executive about doing business ethically and in compliance.

  • Delight Me: Driving Continuous Improvement 

Personalization leaders adopt agile working methods to accelerate testing and learning, improving the intelligence behind each customer interaction. Companies like DoorDash epitomize the “delight me” promise by running hundreds of micro-experiments to refine their personalization efforts. This agile approach enables rapid innovation but requires robust oversight to ensure compliance with regulations.

Continuous improvement is directly in the wheelhouse of compliance. You should be able to take the feedback you receive from your employees and incorporate that information into your future communications. Even more exciting is the opportunity to have employees individually improve their ways of doing business ethically and in compliance. Compliance professionals should collaborate with product teams to ensure experiments respect privacy laws and customer expectations.

Key Lessons for Compliance Professionals 

  1. Embrace the Role of Enabler. Compliance should not be a roadblock to innovation. Instead, compliance professionals can enable responsible personalization by embedding themselves in cross-functional teams and offering solutions aligning with business goals and regulatory requirements.
  2. Prioritize Data Privacy. As personalization relies heavily on customer data, compliance teams must prioritize data privacy and security. This includes ensuring compliance with global regulations like GDPR, CCPA, and industry-specific standards.
  3. Establish AI Governance. AI is a cornerstone of modern personalization. Compliance professionals must develop and enforce governance frameworks to ensure AI is used ethically and transparently.
  4. Foster a Culture of Transparency. Customers are more likely to trust companies that are upfront about how their data is used. Compliance teams should advocate for clear and accessible privacy policies.
  5. Monitor Regulatory Trends. Personalization efforts are subject to evolving regulations. Compliance professionals must stay informed about changes in data privacy, AI ethics, and advertising standards to guide their organizations effectively.

The Future of Compliance is Personalization 

The rise of personalization presents compliance professionals with a unique opportunity to lead. By ensuring that personalization efforts are ethical, transparent, and compliant, they can help their organizations build trust, drive innovation, and achieve sustainable growth.

As the BCG Personalization Index shows, companies that excel in personalization delight their customers and create significant business value. The same applies to a corporate compliance function and its customers, IE., employees. Compliance professionals are essential to realizing this potential, ensuring businesses can innovate responsibly and thrive in an increasingly competitive landscape.

Compliance is not simply about preventing wrongdoing but enabling your organization to do things correctly. Personalization of compliance is no exception. Compliance professionals should embrace this opportunity and take charge of a future where personalization and compliance go hand in hand.

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31 Days to More Effective Compliance Programs

31 Days to a More Effective Compliance Program: Day 13 – Policies and Procedures

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 review the importance of having well-crafted compliance policies and procedures as the foundation of a robust compliance program. As highlighted by the 2024 ECCP and 2020 FCPA Resource Guide, such policies and procedures are crucial for addressing and mitigating risks identified during a company’s risk assessment. Regulators emphasize having articulated anti-bribery and anti-corruption policies regularly reviewed and updated to reflect evolving risks. We discuss the five general elements of a compliance policy and underscore the need for consistent implementation to maintain the credibility and effectiveness of the compliance program. Key takeaways include the necessity of written policies, expectations from the DOJ and SEC, and the critical role of institutional fairness.

Key highlights:

  • Importance of Compliance Policies
  • Key Elements of Compliance Policies
  • Assessment and Evolution of Policies

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 12 – The Importance and Construction of a Corporate Code of Conduct

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.

This episode explores the critical value and construction of a corporate Code of Conduct, explaining its evolution from a legalistic document to a cornerstone of compliance programs. The discussion includes an analysis of the 2016 SEC Enforcement Action against United Airlines, highlighting how violations of the Code of Conduct can lead to severe consequences, including substantial penalties and executive resignations. Key takeaways emphasize that a Code of Conduct should be tailored to a company’s specific culture and industry, must be accessible to all employees, and needs to be regularly updated and documented to ensure its effectiveness. Tune in to learn why a robust Code of Conduct is foundational for any compliance program.

Key highlights:

  • Introduction to Code of Conduct
  • Regulatory Expectations and Guidelines
  • Crafting an Effective Code of Conduct

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 11 – Moving Compliance Down into an Organization

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 the 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, Tom Fox discusses the importance of embedding a culture of compliance throughout all levels of an organization. Mike Volkov emphasizes that having senior management committed to compliance is not enough; the culture must permeate middle and lower management for a program to be effective. The 2024 ECCP underscores the necessity for ethical values to be embedded throughout the company’s hierarchy. This involves senior and middle management actively demonstrating their commitment to compliance, even in the face of competing business interests. Middle management plays a critical role, as they are the primary interface between most employees and upper management. The script highlights practical steps such as assembling compliance focus groups, training managers in effective listening, and ensuring organizational justice to operationalize a compliance program effectively. We also consider how to assess the real-world application of compliance measures within the company and the need for consistent and fair disciplinary actions across different regions and business units to reinforce a culture of compliance.

Key highlights:

  • Embedding Compliance Culture
  • Role of Middle Management
  • Tone at the Bottom

Resources:

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

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Creativity and Compliance

Creativity and Compliance – 10 Creative Tips for 2025

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection—they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the award-winning Compliance Podcast Network.

Ronnie’s company, Learnings and Entertainment, utilizes the entertainment devices people use to consume information in their everyday, non-work lives and applies it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies, and resources more accessible. In this episode of Creativity and Compliance, host Tom Fox and Ronnie Feldman review their top 10 lessons learned from creative compliance initiatives for 2025.

They discuss the importance of keeping communication short and simple, the value of frequent reminders over extensive training, and making compliance resources easily accessible. They also cover leveraging positivity and a mix of rewards and penalties to engage employees. They highlight the significance of psychological safety, the role of influencers in promoting compliance, and the necessity for variety in communication methods. Lastly, they emphasize the power of fun in making compliance messages memorable and effective. Join them for an insightful and entertaining recap aimed at making compliance both engaging and effective in the year to come.

Key highlights:

1: Keep It Short and Simple (KISS)

2: Forget Me Not

3: Where’s Waldo?

4: Positivity in Compliance

5: Carrots and Sticks

6: Safety First

7: Be an Influencer

8: Variety is the Spice of Life

9: You Can’t Be Serious

10: The Power of Fun

Resources:

Ronnie

  • Learnings & Entertainments (Website)
  • Compliance Confessions – inspired by “Mean Tweets” these 90-second commercials address misconceptions and excuses to promote speak up culture and the E&C team as positive and helpful.
  • E&C Training Jams – a soulful singer banters with ethics & compliance explaining policies, sharing examples and debunking excuses. 
  • Tales from the Hotline – Real speak up-themed stories about workplace behavior gone wrong.
  • Workplace Tonight Show! – E&C meets SNL Weekend Update explaining corporate risk topics and why employees should care.
  • 60-Second Communication & Awareness Shorts – A variety of short, customizable, music and multimedia, quick-hitter “commercials” promoting integrity, compliance, speaking up and the E&C team as helpful advisors and coaches.
  • Custom Live & Digital Programing – Custom creative programming that balances the seriousness of the subject matter with a more engaging delivery. After all, you can’t bore people into learning.

Tom

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For more information on the Ethico ROI Calculator and a free White Paper on the ROI of Compliance, click here.