Tag: Lisa Fine

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Great Women in Compliance

New Year’s Resolutions: A Conversation with the Compliance Community

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley and to the new GWIC year. Mary and Lisa are back, and looking forward to another season of interesting discussions with fabulous people where we can learn, talk and build our community.  We are always looking to continue these discussions, so please reach out to us, and don’t miss Mary’s monthly column on Corporate Compliance Insights called “Living Your Best Compliance Life.”

In this episode, Lisa and Mary kick off the year with a New Year’s Resolution themed-episode discussing what compliance officers should commit to, focus on and/or prioritize in 2023.   They discuss various substantive issues, such as the DOJ statements on ephemeral communications, what they understand and how much they are looking forward to the forthcoming guidance. Mary also discusses some of the recent cases and developments at the end of 2022, and Lisa includes her thoughts about the intersection of ESG and Compliance.  They also discuss the future of remote work in compliance, and how that is impacting the job market.

No Mary and Lisa discussion is not complete without some work/life comments and resolutions, so those will be shared as well.  As always, they include the hope that everyone is sending the elevator back down.

The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).

If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.  Don’t forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you’re done, or if you can’t bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat.

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

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Sports and Compliance

Damar Hamlin – Lessons in Leadership and Crisis Management

Welcome to the Sports and Compliance podcast. For the longest time, I have wanted to have a podcast on the intersection of Sports and the World of Compliance and Ethics, both for those stories as they play out on the Sports Page and for the lessons they provide to business executives and compliance professionals. In this podcast series, I am joined by one of the top compliance commentators, Stephen Martin, CCO at Skillsoft. Together, we will use our love of sports and competition to discuss current ethical issues in sports, look at compliance through a sports lens, and determine how the world of sports and its stories can guide the compliance professional.

In this episode, we are joined by Lisa Fine, co-host of the Great Women in Compliance podcast, Buffalo, NY native, and uber Buffalo Bills fan. We deep dive into the Damar Hamlin injury from the compliance and leadership perspectives. Our topics include:

  • Lisa’s reflections on the annus horribillus Buffalo had in 2022 and how the Bills are, in many ways they are the city’s glue.
  • How did we all feel watching it in live time?
  • What were the NFL’s policy and procedural failures in crisis response and management?
  • The leadership demonstrated by the coaches and players in the face of being told to return to play.
  • Why verifying information before reporting it is so critical?
  • The role of ESPN.
  • The role of the stadium EMS personnel.
  • This story has united the entire country in a way not seen for some time.
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Great Women in Compliance

SCCE Roundup with Lisa and Mary

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.

The 2022 Society of Corporate Compliance and Ethics, Compliance and Ethics Institute took place last week in Phoenix, Arizona.  There was a mix of both in person and virtual attendees with a person presence significantly bolstered compared with the 2021 crowd, the first in person ECI since the pandemic hit.  In 2023 it really felt like things were back and the Great Women in Compliance podcast hosts, Lisa Fine and Mary Shirley, debrief listeners with a roundup of highlights and musings from the conference, as well as handing out a few prized GWICies.

 Lisa and Mary both critically analyze some aspects of the conference and sessions, as well as take their usual lighthearted and informal approach to discussing what they thought went well, where there were areas of opportunity, surprises and how they each dealt with unforeseen challenges – from the beginning of the conference and throughout – including Lisa’s hangry misfortune and Mary nearly causing an international incident at a piano bar.

 Join us for this special joint episode and re-live the conference for those that attended and cure your FOMO for those who were unable to make it.

 The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).

If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.  Don’t forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you’re done, or if you can’t bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat.

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

GWIC x The Ethics Experts-Lisa’s Episode

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.

As Lisa and Mary prepare for the end of 2022 with their fall hiatus, they thought they would mix it up by posting their Ethics Experts episodes.  We’ve heard from Mary, and now it’s Lisa’s turn.  In 2021, Lisa finally met Nick Gallo in person at the SCCE conference, and they talk about how they became “conference BFFs.”  In the episode, they talk about the importance of ethical decision-making and how to empower employees to do that.  In particular, they also discuss how to grow and stretch yourself by doing things that scare you, and that’s where Lisa committed to her annual solo episode.

The release date is also the last day of the 2022 SCCE CEI, and Mary and Lisa will be back next week with their joint episode which will include some event highlights.

The Great Women in Compliance podcast is excited to look at topics like this one, and we are always open to suggestions for guests.

The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful.

You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Lisa Fine – Do Something That Scares You

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.

Eleanor Roosevelt (at least it is attributed to her) said “do something that scares you every day.”  There have been a lot of scary things over the past few years, but the idea of leaving your comfort zone is an important one.  Last November, Lisa told Nick Gallo on the Ethics Experts podcast, that she fears doing solo episodes, and made a vow to herself that she would do that once a year.  It’s August, and here is that episode.

Lisa talks about a few topics.  One thing that is top of mind is what makes a great E&C leader and manager, and she goes through the things that are important to her and what she has learned from her managers and organization leaders.  Not surprisingly, being loyal, listening, and empowering team members to try new ideas are just a few of the qualities of note.

Lisa had also said that she would follow along with Matt Kelly’s lead and try to speak with the Blenderbot AI tool about ethics and compliance.  The discussion started with why pizza dough was important and had some highlights including that lean manufacturing is a tool to help avoid corrupt behavior, a few references to presidential pardons, and ended with blenderbot saying it also works as an attorney for a large corporation as its alter ego.  The discussion highlights the issues of using AI and bots, and shows how it is “learning” from the crowd that uses/takes it over.

Lisa ends with some things on her mind in E&C as we come towards the end of 2022 , and hopes that you enjoy this episode, it makes you think, and that you will reach out with comments and thoughts.

The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review.

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

A Conversation with Adam Balfour


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

 The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance-related offerings to listen to. If you are enjoying this episode, please rate it on your preferred podcast player to help other like-minded Ethics and Compliance professionals find it. You can also find the GWIC podcast on Corporate Compliance Insights, where Lisa and Mary have a landing page with additional information about them and the story of the podcast. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it, and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

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Compliance Week Conference Podcast

Lisa Fine on Adapting Compliance Programs to the “New Normal” of the Hybrid/Remote Work Environment

In this episode of the Compliance Week 2022 Preview Podcasts series, Lisa will discuss some of my presentation at Compliance Week 2022 “On Adapting Compliance Programs to the “New Normal” of the Hybrid/Remote Work Environment”. Some of the issues she will discuss in this podcast and her presentation are:

·      Discuss how the way of doing business has changed, both internally and externally, for global organizations and hear how compliance professionals are adapting their programs to account for the changes

·      Benchmark best practices in employee training and outreach programs within a hybrid work environment

·      Assess risks and hear lessons learned in conducting virtual investigations

In this first full compliance conference in over 2 years, I hope you can join me at Compliance Week 2022. This year’s event will be May 16-18 at the JW Marriott in Washington DC. The line-up of this year’s event is simply 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 17th year, 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. and many others to:

  • Network with your peers, including C-suite executives, legal professionals, HR leaders and ethics and compliance visionaries.
  • Hear from 75+ 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 the two SEC Commissioners and gain insights into the agency’s areas of enforcement and walk away with guidance on how to remain compliant within emerging areas such as ESG disclosure, third-party risk management, cybersecurity, cryptocurrency and more.
  • Bring actionable takeaways back to your program from various session types including ESG, Human Trafficking, Board obligations and many others for you to listen, learn and share.
  • The goal of Compliance Week is to arm you with information, strategy and tactics to transform your organization and your 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 off the registration price. Enter discount code discount code TFLAW $200 OFF.

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Great Women in Compliance

Ellen Hunt – Organizational Justice


Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.
In today’s episode, Lisa speaks with one of the “OG GWICs,” and one of the first interviewees, Ellen Hunt.  Ellen joined Spark Compliance in 2021, and is always a supporter for women in compliance, and in compliance as a whole.  Today, we follow up on her 2021 podcast, where Lisa and Ellen discussed how the E&C profession is addressing retaliation, and the importance of anti-retaliation as part of speaking up.
The main discussion is about organizational justice, and particularly aspects of procedural justice, as this is one where compliance professionals can have a huge impact.  They discuss the concept of consistent discipline and fairness, and what that can mean.   They also discuss when Will Smith slapped Chris Rock at the Oscars telecast from an organizational justice standpoint, and how similar issues play out in corporations.
You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.
Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

Alison Hinds-Pearl on Why the Only Constant is Change

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.

Today is the day after International Women’s Day, and we are so pleased to welcome Alison Hinds-Pearl.  Alison is the Chief Compliance Officer and Assistant General Counsel at Revlon and previously had senior roles at MasterCard and Bayer.   Her career is remarkable in many ways, particularly as she has been in three very different industries, finance, pharma and now beauty and self-care products.

Alison talks about the differences and similarities in these different industries, particularly as finance and pharma are so heavily regulated.  Alison also started at Revlon during the pandemic and discusses her experience.

Lisa and Alison discuss the importance of diversity in our organizations, and Alison shares some insight from her experience, as a woman and as a woman of color, including an early experience at the Bronx District Attorney’s Office.  This is a great discussion not only for Women’s History Month, but to conclude the winter session of #GWIC.

Great Women in Compliance will be back on March 30 with a special bonus episode hosted by Tom Fox.  Lisa and Mary want to say thank you to the #GWIC community, especially during Women’s History Month.

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.

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Great Women in Compliance

A Non-Linear Compliance Life with Amy Landry

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley.

In today’s episode, Lisa talks to Amy Landry, who is one of the original GWICs, and a part of the podcast community since Day 1.  Amy is an External Oversight and Risk Analyst for Vaya Health, and has experience in ethics, compliance and privacy.  She is also someone who has a non-linear career.

Amy spent a lot of her career working with E&C vendors, and when her job was impacted during COVID, she decided that she wanted to move to the in-house side.  She shares how she made that decision, and what steps she took to grow her knowledge base.

Amy is also known for how she has built a great network, and she  has a great network and she talks about how she built and grew it by starting a blog when she was looking for her in-house role and about her experience looking for a job during the pandemic.

We also discuss the intersection of DEI and ethics and compliance, and Amy provides some of the insight she gained as part of the University of South Florida DEI certification program.

The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to.  If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it.  You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast.  Corporate Compliance Insights is a much appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We’ve Learned from Great Women in Compliance” (CCI Press, 2020).

You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast.

Join the Great Women in Compliance community on LinkedIn here.