Categories
Adventures in Compliance

The Case-Book of Sherlock Holmes – Compliance Leadership Lessons in ‘The Adventure of the Sussex Vampire’

In this new season of Adventures in Compliance, host Tom Fox delves into the Sherlock Holmes collection The Case-Book of Sherlock Holmes by Arthur Conan Doyle. It is the final set of twelve Sherlock Holmes short stories by Arthur Conan Doyle, first published in the Strand Magazine between October 1921 and April 1927. This episode considers the short story, The Adventure of the Sussex Vampire. In this story, Sherlock Holmes investigates a case involving a master jewel thief and Holmes’s investigative techniques. This story provides several valuable leadership lessons for the 21st-century compliance professional.

Tom examines Conan Doyle’s short story through the lens of business ethics and corporate compliance. The tale, which initially suggests a supernatural element, is revealed to be a case of jealousy and attempted murder using poison darts. Fox draws several compliance lessons from Holmes’ approach: avoiding hasty conclusions, valuing investigation integrity, adopting holistic views, and maintaining clarity in communication. This episode is packed with insights for compliance professionals navigating complex ethical landscapes.

Highlights include:

  • The Sussex Vampire Story Unfolds
  • Business Leadership Lessons from the Sussex Vampire
  • Enhancing Compliance Leadership.

Resources:

The New Annotated Sherlock Holmes

Sherlock Holmes FAQ by Dave Thompson

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12 O’Clock High-a podcast on business leadership

12 O’Clock High, A Podcast on Business Leadership – Sabine Kvenberg on Enhancing Leadership Through Effective Listening

12 O’Clock High, an award-winning podcast on business leadership, brings together stories from history, the arts, sports and movies, research, and current events to consider leadership lessons. In this episode, Tom is joined by Sabine Kvenberg to discuss the skill of listening in leadership.

Sabine Kvenberg, a celebrated speaker and expert in corporate communication, brings a unique perspective shaped by her diverse background in performing arts and her career transition from a claim adjuster. Her expertise underscores the significance of effective communication, particularly for women in tech who may struggle with confidence in voicing their ideas. Kvenberg advocates for strategies such as setting clear objectives, rehearsing key points, and integrating storytelling to engage and connect with audiences, enhancing leadership and team dynamics. By focusing on body language, vocal variety, and the intricacies of word choice, she helps individuals improve their self-communication and overall interaction skills, fostering a more positive and collaborative corporate environment.

Key highlights:

  • Enhancing Corporate Communication Through Storytelling and Rehearsing
  • Enhancing Communication Skills through Training and Coaching
  • Fostering Collaboration Through Active Listening

Resources:

Sabine Kvenberg on LinkedIn

Sabine Kvenberg Website

Tom Fox

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12 O’Clock High-a podcast on business leadership

12 O’Clock High, a podcast on business leadership – Leadership Lessons from A Man for All Seasons

12 O’Clock High, a podcast on business leadership, brings together stories from history, the arts and movies, research, and current events to consider leadership lessons. In this episode, we believe the movie Man for All Seasons.

  • Movie Storyline
  • Favorites Scenes
  • Memorable Quotes

“Let Your Conscience Be Your Guide”

More never condemned the King. “The king’s good servant, but God’s first.”

Wrongdoing Makes You Lose Your Conscience-Cromwell and Richard Rich

  • Leadership Lessons

Practicing integrity is not simple and straightforward for the modern business leader, and social media only exacerbates this.

A modern leader is “poured into the world’s mold of compromise and deceit.” You need an ethical grounding.

Practicing integrity demands that we, as leaders, constantly assess our relationships. Business and Personal

  •  Standard of Trust Leadership

Competence, Proactive, and Accountability.

Creating an environment that allows strong moral roots to grow and be sustained.

Resources:

Ten Timely Lessons from A Man For All Seasons

Leadership Lessons from St. Thomas More

A Leader for All Seasons

Virtuous Leadership-Thomas More

Categories
Compliance Into the Weeds

Compliance into the Weeds: Leadership Lessons from The Washington Post’s Non-Endorsement

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds!

In this episode, Tom Fox and Matt Kelly take a deep dive into the recent events at the Washington Post, where the newspaper decided not to endorse a presidential candidate for the first time in years.

This decision, directed by owner Jeff Bezos, has led to significant backlash, including 200,000 lost subscribers and concerns about the paper’s principles. Matt and Tom discuss the implications of this move on leadership, company values, and stakeholder trust, providing insights into the governance structure of newspapers and the potential fallout of abandoning established principles. We also turn to company values and if you are going to violate them, there should be sufficient justification. Finally, what a second Trump Administration might mean for corporate compliance.

Key Highlights:

  • Washington Post’s Controversial Decision
  • Newspaper Governance Explained
  • Washington Post’s Mission and Principles
  • Leadership Failures and Consequences
  • Potential Future Implications

Resources:

Matt in Radical Compliance

Tom 

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12 O’Clock High-a podcast on business leadership

12 O’Clock High, a podcast on business leadership – Finding Your Voice – How Caroline Biesalski Transformed Your Life and Profession

In this engaging episode, Tom Fox interviews Caroline Biesalski, an accountant turned podcast host and coach, who shares her inspiring journey from the accounting world to podcasting. Biesalski discusses her chapter in ‘Circle of the One Volume One’ and her successful ‘Inspired Choice Podcast,’ where she has conducted over 400 interviews in nine months. She delves into the critical role of intuition and influential works such as Napoleon Hill’s ‘Think and Grow Rich’ in shaping her path.

Biesalski highlights strategies for unlocking success and authentic voices in corporate settings, emphasizing structured dedication, goal-focused thinking, and the importance of speaking from the heart. Additionally, she touches on the significance of making inspired choices and being proactive in changing one’s professional and personal circumstances. Caroline invites listeners to participate in her free daily book study on Be Connected and shares her aspirations for future in-person events and charitable projects focused on education and community.

Key Highlights:

  • Journey from Accounting to Podcasting
  • The Turning Point: From Burnout to Breakthrough
  • The Influence of Napoleon Hill’s ‘Think and Grow Rich’
  • Building Trust and Rapport
  • Discovering Passion in the Corporate World

Resources:

Caroline Biesalski on LinkedIn

Inspired Choice podcast

Tom Fox

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Great Women in Compliance

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

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

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

Highlights Include:

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

Biography:

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

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Sunday Book Review

Sunday Book Review: September 15, 2024 Robert Caro Books on LBJ Edition

In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious. It could be books about business, compliance, history, leadership, current events, or anything else that might interest me.

In today’s edition of the Sunday Book Review, we look at the four books by Robert Caro on Lyndon Baines Johnson.

  1. The Path to Power 
  2. The Means of Ascent
  3. Master of the Senate
  4. The Passage of Power 

Resources:

Categories
Blog

Looking Back on 9/11: John Lee Dumas – I Knew I Was Going to War

Ed. Note: In 2021, I did remembrance of 9/11 with a podcast series and accompanying blog post series featuring the personal stories of persons in the compliance field with their thoughts about what the date of 9/11 meant to them, how it changed our profession and their thoughts looking back some 20 years later. The series featured the following:

I concluded this series by visiting with John Lee Dumas, host of the uber-popular podcast Entrepreneur on Fire. On 9/11, Dumas was a senior at Providence College. John had one of the most powerful stories I have ever heard about 9/11.

==============================================================Dumas was also an Officer Candidate in ROTC on 9/11. He said, “I remember waking up in the morning, and one of my roommates said, “Hey, turn the TV on.” We turned on the TV, and we just saw the tower smoking. Shortly after that, the collapse will be live on the television screen. One of my roommates who was also in ROTC, we looked at each other, and we both knew without saying anything that our next four years of active-duty army experience went from being in the peacetime army to looking like we were going to war of some kind. We knew that when that tower collapsed, we would play a very active role as officers in the US Army. Within a couple of hours, we had a real-world briefing at our ROTC headquarters on campus, where the commander of our ROTC battalion gave us a real-world breakdown. It confirmed what we were thinking when we saw that the tower collapsed. We just became officers in the US Army during a time of war.”

We turned to leadership lessons Dumas learned from his time in the Army. He commanded a tank platoon, which was four M1 Abrams tanks and 16 men. Yet, as the tank commander, Dumas was one of the least knowledgeable persons in his platoon about how a tank worked, the best operations, how to drive a tank, how to load the Sable rounds, how to fire the weapon, and even how to navigate. He said, “I was the platoon leader at 22 years old and one of the least experienced and knowledgeable people in my platoon. That’s how the military works. And I learned right at the beginning that I needed to stand upon the shoulders of giants. I needed to go to my platoon sergeant, who seemed like an old man at 37 years old at the time. But it was me, like a little baby.”

Dumas went to Sergeant Walker with humility and humbleness and asked him, “What do I need to know? How can you be respectful in front of the men? How can you respectfully be my mentor?” He appreciated that “I was not trying to pretend I knew what I didn’t know and going to him for advice. That was a big lesson. And I’m standing upon the shoulders of giants and learning from those who have been there, done that with experience.”

Another key leadership lesson for Dumas was that “a good decision now is better than a great decision later.” He said he has seen many people in the entrepreneurship and business world paralyzed, trying to make a great decision. “They are trying to be like General Patton, trying to make the one decision to win the war.” The problem is that if you “try to wait around and wait while the bullets are flying to make a great decision, you and probably other people are going to die because time is everything. Action is everything. Just coming up with a good decision and implementing it right now will be the fraction that separates life and death for many people; I learned that firsthand, and that will always stay with me. I took that lesson from the military and applied it to entrepreneurship. I’m not going to sit around and try to make a great decision on this aspect of my podcast, on that aspect of my business, on this aspect of this; I’m just going to make a good decision and take action. And if I need to adjust later, I will.”

We talked about losing men in combat. Dumas said he learned, at ages 22 and 23, the finality of death. He said, “Somebody you had breakfast with that morning, they were talking about their hopes, dreams, aspirations, what they were going to do when they got back that evening, what they’re going to do when they get back home from combat. And then, all of a sudden, it’s over. None of that is going to happen. None of their hopes, none of their dreams will ever be realized. There’s just such a finality to it. It made me pledge to myself never to forget number one, of course, the sacrifice that these soldiers make, but never forget just the finality of death and how we can all have the best of intentions.”

He learned that if you “don’t take action on them, death can wipe those best intentions away, and you can be left essentially having never done or accomplished anything that you set out to do in this life so quickly. This put a ticking time bomb mentality in my mind, and if I don’t feel like this is the right path for me, I won’t waste any more time fussing around having the sunk cost fallacy.” This led him to his current profession, which he loves.

I concluded by asking Dumas about his reflections on 9/11 and on going to war in Iraq some 20 years later. He said, “My reflections on 9/11 were just travesty, terror, confusion, panic, nobody knowing what was coming next. The major message that I do want to pass across to people today was evident to me living in Iraq for 13 months and living in a world where there was no police. There was no law. There was no cohesion. There were no repercussions. This is a great country and the home of the free because of the brave. And I hope that’s just something that we will always remember.

I hope you will take a moment on this most solemn day to reflect on 23 years after 9/11.

Categories
Trekking Through Compliance

Trekking Through Compliance – Episode 79 – Compliance Leadership Lesson from Turnabout Intruder

In this episode of Trekking Through Compliance, we consider the episode Turnabout Intruder, which aired on June 3, 1969, with a Star Date of 5298.5.

After receiving a distress call from a science party on Camus II exploring the ruins of a dead civilization, the Enterprise rushes to assist. All party members appear dead except the leader, Dr. Janice Lester, and the medical officer, Dr. Arthur Coleman. According to Dr. Coleman, Lester is suffering from some unknown sort of radiation poisoning.

However, when the rest of the Enterprise landing party goes to aid a dying science party member and leaves Kirk and Lester alone, she activates an alien device she has discovered and exchanges bodies with Kirk. Lester complains to Kirk about the pain of being a woman because of jealousy and a persecution complex. Lester-as-Kirk orders everyone to be beamed about and takes over the role of Kirk.

Lester-as-Kirk removes Bones as a chief medical officer and installs Dr. Coleman, a former starship doctor who has been found incompetent by the Starfleet Surgeon General, in his place. Dr. Coleman attempts to prevent Kirk (in Dr. Lester’s body) from interacting with the crew by sedating her, but she escapes to the sick bay to talk to Bones and Spock. However, McCoy has also ordered a physical examination for Lester-as-Kirk. He proceeds to knock Kirk-as-Lester out and orders her to be put in isolation and incommunicado.

Spock suspects something amiss and speaks to (the honest) Kirk in solitary confinement. Spock does a Vulcan mind probe at Kirk’s request and discovers the truth. Lester-as-Kirk and security personnel stop Spock when he tries to flee with the sincere Kirk. This leads to a court-martial trial for Spock. Spock puts Kirk (in Lester’s body) on the stand and testifies that Kirk’s mind is in her body.

In the meantime, Sulu and Chekov refuse to obey Lester-as-Kirk’s orders, and Kirk and Lester experience a temporary reversion of minds. To prevent a reversion, Coleman informs Lester-as-Kirk that Lester must be killed. However, Coleman is too late to carry out the task, and Kirk’s and Lester’s minds revert to their appropriate bodies.

Commentary

The episode involves Dr. Janice Lester trading bodies with Captain Kirk to seize control of the Enterprise, leading to ethical and leadership dilemmas. Key compliance and leadership lessons discussed include the importance of empathy, accountability, ethical decision-making, building trust, and the dangers of unchecked power. The episode notes continuity issues within the Star Trek universe and provides insights into leadership from a compliance perspective.

Key Highlights

  • Story Synopsis: Turnabout Intruder
  • Fun Facts and Continuity Issues
  • Compliance Leadership Lessons from Turnabout Intruder
  • Final Reflections and Upcoming Series

Resources

Excruciatingly Detailed Plot Summary by Eric W. Weisstein

MissionLogPodcast.com

Memory Alpha

 

Categories
Sunday Book Review

Sunday Book Review: August 18, 2024 New Books on Leadership Edition

In the Sunday Book Review, Tom Fox considers books that would interest the compliance professional, the business executive, or anyone who might be curious.

It could be books about business, compliance, history, leadership, current events or anything else that might interest me.

In today’s edition of the Sunday Book Review, we look at four new books on leadership for the compliance professional.

  • Elevate Your Excellence: The Power of Doing Ordinary Things Extraordinarily Well by Dave Anderson
  • Thinking At The Speed Of Bias: How To Shift Our Unconscious Filters by Sara Taylor
  • Becoming a Leader Worth Following: A Practical Guide for Leading Self, Teams, and Organizations by Mike Easley
  • How To Have a Good Day: Harness the Power of Behavioral Science to Transform Your Working Life by Caroline Web

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