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Principled Podcast

Season 10 Episode 7 – Why Good Governance Matters to Investors

What you’ll learn on this podcast episode

Although governance may not be a flashy topic in the world of upstart entrepreneurs, overlooking it can cause billions of dollars of loss for otherwise savvy investors. In this episode of the Principled Podcast, host Susan Divers discusses why good governance matters with Bruce Karpati, partner and global chief compliance officer at the private investment firm Kohlberg Kravis Roberts & Co. (KKR). Listen in as the two explore how governance plays a crucial role in the way KKR selects its portfolio companies and manages them.

Guest: Bruce Karpati

Bruce Karpati – Grayscale

Bruce Karpati joined KKR in 2014 and serves as the firm’s global chief compliance officer and counsel. Prior to joining KKR, he was the chief compliance officer of Prudential Investments, the mutual fund and distribution business of Prudential Financial. Mr. Karpati was previously the national chief of the SEC’s asset management unit which he co-founded. In this role, he supervised a staff of 75 attorneys, industry experts, and other professionals. Mr. Karpati joined the SEC as a staff attorney in 2000, was promoted to branch chief in 2002, assistant regional director in 2005, and co-chief of the SEC’s Asset Management unit in 2010. In 2007, he founded the SEC’s hedge fund working group, a cross-office initiative to combat securities fraud in the hedge fund industry. Mr. Karpati also serves as an adjunct professor at Fordham University Law School. He began his career in private practice at Dechert LLP. Mr. Karpati earned his JD cum laude from the University at Buffalo Law School, and his bachelor’s degree cum laude in International Relations from Tufts University. 

Host: Susan Divers

Headshot_Susan_Divers_S7E18_Principled_Podcast

Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years’ accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance.

Prior to joining LRN, Mrs. Divers served as AECOM’s Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM’s ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers’ thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company’s ethics and compliance program.

Mrs. Divers’ background includes more than thirty years’ experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.

Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008.

She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers’ most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.

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FCPA Compliance Report

FCPA Compliance Report – Jim Walton on LRN’s 2023 Code of Conduct Report

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes Jim Walton to discuss LRN’s always great annual Code of Conduct Report.

Jim Walton is a well-known compliance professional with a background in engineering and a passion for assessing and improving corporate codes of conduct effectiveness. His perspective on this topic is shaped by his extensive experience, including his current role as a Director on LRN’s Advisory Services team, where he leads their code of conduct practice. Jim believes a company’s code of conduct should reflect its character, culture, and values, serving as a foundation for its ethical culture. He emphasizes the importance of the code being a useful resource for employees, providing guidance on ethical decision-making and access to detailed information and resources. Jim also acknowledges that there is always room for improvement in corporate codes of conduct, even among some of the largest companies in the world. Join Tom Fox and Jim Walton on this FCPA Compliance Report podcast episode to dive deeply into Codes of Conduct.

Key Highlights:

  • Evaluating the Effectiveness of Company Codes of Conduct
  • Codes of Conduct Evaluation and Best Practices
  • Comprehensive and User-Friendly Code of Conduct
  • Eight Dimensions for an Effective Code of Conduct

Resources:

Jim Walton on LinkedIn

LRN

LRN 2023 Code of Conduct Report

Tom Fox

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Facebook

YouTube

Twitter

LinkedIn

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Principled Podcast

Season 10 Episode 3 – Transparency and Disclosure: Unpacking the “E” of ESG Reporting

What you’ll learn on this podcast episode

Environmental, social, and governance, or ESG, has been in the news a lot lately—particularly the “E” when it comes to new and evolving regulations. There’s been a greater push in the United States for transparency and disclosure of data regarding businesses’ environmental impact, driven largely by the Securities and Exchange Commission and the National Advertising Division of the Better Business Bureau. In fact, California is expected to soon be the first US state to require company reporting related to environmental impact. So, what does this all mean for companies that are working to become more sustainable? How do you even begin to report on emissions and environmental impact? In this episode of LRN’s Principled Podcast host Eric Morehead explores how transparency plays a crucial role in corporate sustainability with Andrea Peters, the senior counsel of Interface. 

Guest: Andrea Peters

Andrea Peters – Grayscale

Andrea Peters is senior counsel for Interface, Inc., a global commercial flooring company (NASDAQ: TILE).  In her role, she provides legal support for the company’s global operations, including Research & Development, Sales, Marketing, Procurement, Tax and Human Resources, and she also manages Interface’s global compliance program. Andrea has over 26 years of legal experience, over two-thirds of which comes from working in-house at companies such as Interface, CAN Capital, The Weather Channel, the General Electric Company and GAMBRO Healthcare.   

Andrea earned her J.D. from the Vanderbilt University School of Law and her Bachelor of Arts degree in Advertising from the Pennsylvania State University, where she was the student marshall (valedictorian) for the College of Communications. 

Andrea resides in Atlanta with her 10-year-old daughter.  She has gone sky diving twice, bungee jumping once, and ziplining once. She enjoys cooking, wine and travel. When she retires, Andrea plans to go back to college to audit all of the hard but interesting classes without worrying about writing papers or taking exams. 

Host: Eric Morehead

Headshot_Principled Podcast_Eric Morehead

Eric Morehead is a member of LRN’s Advisory Services team and has over 20 years of experience working with organizations seeking to address compliance issues and build effective compliance and ethics programs. Eric conducts program assessments and examines specific compliance risks, he drafts compliance policies and codes of conduct, works with organizations to build and improve their compliance processes and tools, and provides live training for Boards of Directors, executives, managers, and employees.

Eric ran his own consultancy for six years where he advised clients on compliance program enhancements and assisted in creating effective compliance solutions.

Eric was formally the Head of Advisory Services for NYSE Governance Services, a leading compliance training organization, where he was responsible for all aspects of NYSE Governance Services’ compliance consulting arm.

Prior to joining NYSE, Eric was an Assistant General Counsel of the United States Sentencing Commission in Washington, DC. Eric served as the chair of the policy team that amended the Organizational Sentencing Guidelines in 2010.

Eric also spent nearly a decade as a litigation attorney in Houston, Texas where he focused on white-collar and regulatory cases and represented clients at trial and before various agencies including SEC, OSHA and CFTC.

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Principled Podcast

Season 10 Episode 2 – The Importance of Humanizing Ethics and Compliance Programs

What you’ll learn on this podcast episode

Keeping the focus on the human element of ethics and compliance can help E&C programs move from “cop” to “coach.” But what does that look like in practice? In this episode of the Principled Podcast, host Susan Divers talks about the importance of humanizing ethics and compliance with Adam Balfour, the author of Ethics & Compliance for Humans. Listen in as the two discuss best practices that Adam has used over the course of his E&C career, managing regional and global ethics and compliance programs as well as leading areas of global risk management and privacy. 

Guest: Adam Balfour

Adam Balfour – Grayscale

Adam Balfour is on a mission to help make ethics and compliance more relatable and relevant for his fellow human beings. He likes to design ethics and compliance programs that employees can actually relate to, engage with and find useful. Originally from Scotland, Adam worked for a number of years as an attorney for two international law firms in New York before moving to Nashville, Tennessee to work for Bridgestone. He is an active member in the ethics and compliance community, a co-editor of the “Compliance and Ethics: Ideas & Answers” newsletter together with Joe Murphy, Jeff Kaplan, and Rebecca Walker, and CCEP certified. His first book, Ethics & Compliance for Humans, was published by CCI Press and is available now.    

Host: Susan Divers

Headshot_Susan_Divers_S7E18_Principled_Podcast

Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years’ accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance.

Prior to joining LRN, Mrs. Divers served as AECOM’s Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM’s ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers’ thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company’s ethics and compliance program.

Mrs. Divers’ background includes more than thirty years’ experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.

Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008.

She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers’ most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.

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Principled Podcast

Season 10 Episode 1 – How Does the US Department of Justice Evaluate Ethics and Compliance Programs?

What you’ll learn on this podcast episode

The US Department of Justice Criminal Division has been increasingly vocal about what makes organizations’ ethics and compliance programs effective. This input on program effectiveness takes the form of guidance to prosecutors about what questions to ask when companies negotiate to resolve DOJ investigations into corporate wrongdoing on favorable terms. What does this guidance on program effectiveness mean in practice for E&C professionals? In the season 10 premiere of LRN’s Principled Podcast, host Susan Divers speaks with John Michelich, who retired last November after 35 years as a federal prosecutor with the Department of Justice’s Criminal Division. Listen in as they explore how the DOJ evaluates E&C programs, as well as best practices for companies settling misconduct investigations. 

Guest: John Michelich

John Michelich – Grayscale

John Michelich is a retired career prosecutor, who has served at the state, federal, and international levels for 45 years. A native of Illinois, John received his undergraduate education at Illinois Wesleyan University and then attended Drake University Law School in Des Moines, Iowa. For 10 years, John served as Assistant State’s Attorney and First Assistant State’s Attorney in Springfield, Illinois, where he prosecuted all types of state criminal felony violations including armed robbery, aggravated sexual assault and capital murder.   

In 1988, John moved to Washington, DC where he began his 35-year career as a prosecutor with the US Department of Justice, Criminal Division. As a federal prosecutor, John has handled a wide variety of cases including child pornography and obscenity, narcotics distribution and all types of white-collar criminal cases. John served for 30 years as a prosecutor with the Fraud Section of the Criminal Division where he handled numerous cases including health care fraud, bank fraud, telemarketing fraud, commodities and securities fraud and violations of the Foreign Corrupt Practices Act. Because Washington DOJ lawyers are traveling prosecutors, John has handled grand jury proceedings or jury trials in more than two dozen federal districts nationwide from Guam and Hawaii to Puerto Rico, and California to New York. Over his long career, John has tried dozens of jury trials to verdict.  

In 1998, the Justice Department sent John on loan to the United Nations’ International Criminal Tribunal for the Former Yugoslavia, also known as the War Crimes Tribunal, in the Hague, Netherlands, where he handled investigations and Tribunal proceedings involving crimes against humanity and serious breaches of the Geneva Convention that occurred during the Yugoslavian civil war.   

For over 40 years, John has been an active instructor of Trial Advocacy and has appeared regularly on the faculty of the NITA Trial Practice course offered at Georgetown University Law Center. In addition, John has served as an Adjunct Professor at Georgetown, teaching Trial Practice courses to third-year law students. In his retirement, John is available as a legal consultant to trial lawyers to advise them in preparation for jury trials and to consult with corporate counsel concerning internal investigations and to advise them on how to approach the government when there are allegations of wrongdoing, especially foreign bribery. 

John is licensed to practice in the states of Illinois and Iowa, and several federal courts, and is a licensed Solicitor of the Senior Courts of England and Wales.   

Host: Susan Divers

Headshot_Susan_Divers_S7E18_Principled_Podcast

Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years’ accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance.

Prior to joining LRN, Mrs. Divers served as AECOM’s Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM’s ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers’ thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company’s ethics and compliance program.

Mrs. Divers’ background includes more than thirty years’ experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.

Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008.

She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers’ most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.

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Principled Podcast

Principled Podcast – S9 E20 – What You Measure is What Matters: Training Effectiveness at Dell

What you’ll learn on this podcast episode

Does learning actually occur as a result of ethics and compliance training, or are employees just paying lip service when they take courses? How can you tell the difference? Today, the E&C community is focused on program impact and effectiveness rather than checking boxes—in part because regulators have made it clear that E&C programs must show impact from their activities. On the season 9 finale of the Principled Podcast, Susan Divers discusses how compliance teams can ensure they’re getting the right insights to improve their programs with Kristi Kevern, the senior managing director at Dell Technologies. Listen in as Kristi shares how her team collects and analyzes data to manage better and enhance Dell’s E&C program, particularly in the training area.
​

Guest: Kristi Kevern

Kristi Kevern – Grayscale

Kristi Kevern is an innovative thought leader with 20+ years of experience in internal control design, implementation, management, and assurance. At Dell Technologies, Kristi drives enterprise-wide risk management and governance activities, conceptualizes and implements global programs aimed at mitigating FCPA, AML, SOX, ESG, and other key risks, turns findings into fixes with post-investigation remediation, and experiments with AI and ML for further prevention and insights using data. Prior to Dell, Kristi served as a founding member of the Coca-Cola Company’s Ethics Office, where she investigated allegations of fraud and served as an ethics advisor to the credit union. As a former Big 4 manager at PricewaterhouseCoopers LLP, Kristi led assurance and attestation engagements for Fortune 500+ clients. Kristi is a recipient of TRACE International’s Innovation Award, and she has led Dell Technologies to an Ethisphere World’s Most Ethical Company designation 10 times. She is the membership chair of the Conference Board’s Global Business Conduct Council and a frequent speaker at conferences and universities. Kristi graduated with honors from Auburn University and is a Certified Public Accountant residing in Austin, Texas.

Host: Susan Divers

Headshot_Susan_Divers_S7E18_Principled_Podcast

Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years’ accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance.

Prior to joining LRN, Mrs. Divers served as AECOM’s Assistant General for Global Ethics and Compliance and Chief Ethics and Compliance Officer. Under her leadership, AECOM’s ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers’ thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company’s ethics and compliance program.

Mrs. Divers’ background includes more than thirty years’ experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath, & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative.

Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington, D.C., and the National Law Center of George Washington University. In 2011, 2012, 2013, and 2014, Ethisphere Magazine listed her as one of the “Attorneys Who Matter” in the ethics and compliance area. She is a member of the Advisory Board of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005–2008.

She resides in Northern Virginia and is a frequent speaker, writer, and commentator on ethics and compliance topics. Mrs. Divers’ most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veterans and university students and enjoys outdoor activities.

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Principled Podcast

Principled Podcast – S9 E 19 – The Value of Cross-Functional Collaboration for Compliance Program Effectiveness

What you’ll learn on this podcast episode

As the regulatory environment continues to evolve and organizations adapt, it is becoming increasingly important for ethics and compliance professionals to break down department silos.  But how do you do that effectively when so many stakeholders are involved? How do you develop a stronger network of assurance partners inside your organization? On this episode of LRN’s Principled Podcast, host Dave Hansen talks about the impact of cross-functional collaboration on program effectiveness with Tony Tocco, the chief ethics and compliance officer and assistant corporate secretary of DT Midstream.

Guest: Tony Tocco

Tony Tocco – Grayscale

Anthony M. Tocco (Tony) is the chief ethics and compliance officer and assistant corporate secretary at DT Midstream. He is responsible for overseeing the development and implementation of effective programs and processes to promote an ethical culture and compliance with applicable laws and regulations. He also provides board governance and support responsibilities as the assistant corporate secretary.  

Tony joined DT Midstream as part of the business unit spin from DTE, where he began as the manager of Audit Services in 2001 as a result of the merger with MCN Energy Group.  In 2002, he was promoted to assistant general auditor and subsequently performed as interim general auditor for a period. During this time, Tony directed the developing and implementing of the independent centralized testing center for Sarbanes-Oxley Act compliance and supporting corporate governance policies and procedures. 

Prior to joining DTE Energy, Tony held leadership positions in the MCN Energy Internal Audit department and Michigan Consolidated Gas Company’s Corporate Security & Investigations department. Tony has approximately 30 years of compliance-related experience in the utility and energy industry. Tony also has four additional years of compliance experience working for the Department of Defense in reviewing and auditing defense contracts and also established the internal audit department for a major Michigan public university. 

Tony earned a Bachelor of Science degree in accounting from Detroit College of Business, an MBA from Wayne State University, and a Master of Science degree in security administration from the University of Detroit-Mercy. Tony is a Certified Compliance and Ethics Professional (CCEP), a Certified Internal Auditor (CIA), and a Certified Fraud Examiner (CFE).   

Tony is a member of the Ethics and Compliance Institute (ECI), the Society for Corporate Compliance and Ethics (SCCE), the Institute of Internal Auditors (IIA), the Association of Certified Fraud Examiners (ACFE), and the Society for Corporate Governance.   

Tony also has lectured for the Institute of Internal Auditors, the Society for Corporate Compliance and Ethics, the Compliance and Ethics Officer Association, Compliance Week, and the University of Detroit-Mercy. Tony is a former chairperson for the Ethics and Compliance Officer Association Utility Industry Group, which is comprised of approximately 70 utility companies. Tony serves on the CCEP Exam Writing Committee and is on the Board of Big Brothers Big Sisters of Metropolitan Detroit as development committee chair. 

Host: Dave Hansen

Principled_Podcast_Dave-Hansen_Host

Dave Hansen is the global advocacy marketing director at LRN, an organization focused on ethics and compliance solutions that help people around the world do the right thing. His team drives LRN’s customer obsession by building community, deepening customer engagement, and finding meaningful opportunities for collaboration. Dave is passionate about learning, having spent most of his career in higher education or training. He loves sharing customer stories and best practices in the name of continuous improvement. Dave is a proud dad, coffee enthusiast, drummer, and scuba diver. In his spare time, he enjoys cooking and reading!

   

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FCPA Compliance Report

FCPA Compliance Report – Measuring Ethical Culture & Compliance Training Impact

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In the latest episode of FCPA Compliance Report, Tom Fox speaks with Parijat Jauhari and Susan Divers, both with LRN, about their new tool, Catalyst Reveal, which helps compliance professionals deal with the new DOJ requirements around culture assessment, risk management, monitoring, and improvement. They explain how Catalyst Reveal goes beyond traditional methods of measuring the effectiveness of compliance training and that the platform includes completion data, culture data, and learner sentiment analysis to determine training effectiveness.

They also discuss the importance of benchmarking, which allows for easy comparison of clients within the same industry and revenue band. Plus, find out about their upcoming additions to their product and how they can provide solutions to challenges posed by the Department of Justice. Tune in now to discover how Catalyst Reveal can help compliance professionals fulfill their obligations under the 2023 Evaluation of Corporate Compliance Programs. 

Key Highlights

·      Measuring Ethical Culture

·      Enhancing Compliance Training Effectiveness

·      Challenges in measuring training impact

·      Data Analytics in Compliance Training

·      Benchmarking and Data-driven compliance training

Notable Quotes

“This is the most exciting development in this space in all the time that I’ve been working in ethics and compliance because it allows companies and chief ethics and compliance officers and their teams to move beyond what I would call dead data.”

“The culture pulse survey that we’ve included in this which is the ethical culture pulse survey. That’s its full title. It asks questions in real time about levels of engagement from the employee base and levels of respect levels of transparency, levels of organizational justice. And that that is a breakthrough.”

“What this tells you is it goes beyond we had a  warm seat. for this training to say, we had people take it, and a lot of people in this group really struggled with facilitation payments or with what is an actual conflict of interest. And this is an area that compliance officers really struggle with.”

“We are really using some new technology, machine learning to mine the data because it’s you’re accumulating it every day that employees are actually.”

Resources

Parijat Jauhari on LinkedIn

Susan Divers on LinkedIn

LRN

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

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Principled Podcast

Principled Podcast – S9 E18 – What Compliance Leaders Need to Know About Modern Slavery

What you’ll learn on this podcast episode

Modern slavery is on the rise, and criminal organizations are becoming more sophisticated about it. According to the International Labor Organization, more than 28 million people experienced forced labor in 2021. That’s equivalent to the entire population of Australia. What can be done about it? How can ethics and compliance professionals make a difference? In this episode of LRN’s Principled Podcast, LRN Global Head of Segments, Matt Plass, talks with Jacob Sims from the International Justice Mission in Cambodia, who has been working actively to address modern slavery in Southeast Asia. Listen in as the two discuss how Jake’s work as county director combines investigators, lawyers, social workers, and programmatic and operational staff in the fight against violent labor exploitation.

Guest: Jacob Sims

Jacob Sims – Grayscale

Jacob Sims has worked on human rights and development challenges facing Southeast Asia for over a decade—spanning issues from governance in the Philippines to internal displacement in Northern Myanmar to labor rights in Cambodia. He currently serves as country director of the International Justice Mission (IJM) Cambodia where he leads a team of investigators, lawyers, social workers, and programmatic and operational staff in the fight against violent labor exploitation. Concurrently with his role at IJM, he serves as a non-resident fellow at Duke University’s Kenan Institute, a leading research center working to understand and address real-world ethical challenges facing individuals, organizations, and societies worldwide. Sims’ team at IJM mounted one of the earliest programmatic responses to the human trafficking epidemic emerging within scamming compounds in Cambodia and has helped facilitate the rescue of over 100 individuals to date. In recent months, analysis from Sims on the emerging global phenomenon has featured in The Economist, The Guardian, LA Times, Al Jazeera, VICE World News, Sydney Morning Herald, ProPublica, and Channel News Asia, amongst many others.

Host: Matt Plass

Matt Plass – Grayscale

Matt Plass is the global head of segments at LRN. He was formerly chief executive officer with Interactive Services, where he led the executive team responsible for bringing Interactive Services’ award-winning integrity, ethics, and compliance learning solution to market. Matt has an extensive background in e-learning, blended learning, classroom education, and learning design for adult audiences and has engaged with numerous Fortune 500 organizations in the design of learning solutions for global audiences. He provides advanced learning expertise to partners and is a regular speaker at learning and development conferences. Matt led Interactive Services through its acquisition by LRN in 2020. He lives in Devon, England.

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Great Women in Compliance

Great Women in Compliance – Principled Podcast X GWIC – A Discussion with Meredith Hunt

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

Today’s Great Women in Compliance episode is a crossover one with LRN’s Principled Podcast. Meredith Hunt, Ethics and Compliance Specialist at LRN debuts her podcast hosting, #GWIC Co-host, Mary Shirley. Change is hard; we fight to hold on, yet we fight to let go, and deciding which direction to go in can have a huge impact on your journey and those around you. Meredith interviews Mary about some critical coaching questions to ask yourself when at a crossroads that are particularly helpful if you’re questioning whether you should stay or go from the status quo.

 They also discuss favorite ways to send the elevator back down to those around them and share tips for leveling up your Compliance program, including a spoiler idea from Mary’s soon-to-be-released book on innovative and trail blazing ways to level up your Compliance program, called Living Your Best Compliance Life. Look out for the e-book soon and the later hard copy launch, coinciding with the Society of Corporate Compliance and Ethics Compliance and Ethics Institute.

You can find the a written transcript of the episode and more information at the Principled Podcast here: https://blog.lrn.com/how-ethics-and-compliance-professionals-can-send-the-elevator-back-down

You can find the Great Women in Compliance Podcast on the Compliance Podcast Network where you can find several other resources and podcasts to keep you up to date in the Ethics and Compliance world. You can also find the GWIC podcast on Corporate Compliance Insights where you can learn more about the podcast, stream prior episodes and catch up on Mary’s monthly column “Living Your Best Compliance Life.”

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.

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.