Great Women in Compliance

We're back with another GWIC x EC crossover episode. Today, we have the quartet of Great Women in Compliance of Kristy Grant-Hart, Karen Moore, Lisa Fine, and Hemma Lomax. The GWIC quartet discusses various intriguing topics related to compliance. Lisa Fine kicks off the conversation by discussing the new ‘failure to prevent fraud' guidance in the UK, which places greater responsibility on companies to avoid engaging in fraud. The group delves into the implications of this law and its extraterritorial elements. Hemma Lomax shifts the conversation to changes in the False Claims Act in the US, highlighting its expanded use beyond fraudulent billing to areas like cybersecurity and diversity obligations. Karen Moore introduces the innovative ‘Karma' rewards system by Revolut Bank in the UK, which incentivizes compliance behaviors through team performance multipliers. Kristy Grant-Hart wraps up with a fascinating discussion on AI, touching on AI's potential as a whistleblower and whether AI could attain employment rights if it becomes sentient. They conclude by sharing their rants and raves, offering insights on topics ranging from the importance of local theaters to women's leadership in compliance. Join the Great Women in Compliance community on LinkedIn ⁠here⁠. 

In this episode, Lisa and Ellen get the opportunity to speak with Junna Ro and Melanie Sponholz to recap the Women in Compliance Summit and the discuss the evolving landscape for women in the field. Junna Ro, a seasoned legal and compliance executive and the Head of Strategic Initiatives at the University of California, and Melanie Sponholz, Chief Compliance Officer & Director of Responsible Investing ‑ Portfolio Operations, Waud Capital Partners shared insights from the summit.  Both Junna and Melanie emphasized the collective support and sense of community at the event, and talked about her session on mentorship and allyship, and effective strategies to build these relationships. Junna's session with Elizabeth Simon focused on Women on Boards and also provided insight and strategies. They also discuss the current state of the profession, both in terms of challenges and opportunities.

Hui Chen is a luminary in the world of Ethics and Compliance, and she is our guest on today's episode of Great Women in Compliance. Today, Hui is one of the co-founders of CDE Advisors, which stands for “Culture. Data. Ethics.” Most of us know Hui from her work at the Department of Justice (DOJ) and her contributions to the Evaluation of Corporate Compliance for the Fraud Section. However, my career path included being a prosecutor, in-house compliance work, and even being inspired to pursue a Master's degree in Divinity after the 9/11 attacks. Hui discusses the origins of the ECCP and her perspective on its current use. She also discusses the opportunity in the “FCPA pause” and how organizations can broaden their ethical considerations beyond foreign bribery to focus on relationships with all stakeholders. She discussed how the focus on regulatory guidance, particularly on bribery outside the United States, is just one of many areas to consider as a compliance professional.  She also offers practical advice based on her experiences working with global compliance functions and the lessons she has learned.

In this timely roundtable, Lisa and Hemma sit down with Mary Inman and Liz Soltan, two powerhouse advocates in the whistleblower legal space, to unpack the DOJ's newly revised Corporate Whistleblower Awards (CWA) Pilot Program and its implications for the compliance community.  We also explore what makes whistleblowing work, how to support internal and external reporters, and why this moment may mark a turning point for global whistleblower engagement. Highlights: Mary and Liz break down the newly added DOJ priority areas How the CWA Pilot Program could evolve into a DOJ equivalent of the SEC whistleblower program Why organizational justice and psychological safety must be embedded into internal reporting systems. How tips must result in asset forfeiture to trigger awards Why we need a speak-up culture, not just a hotline Resources  DOJ's May 2025 Criminal Division White-Collar Enforcement Plan Revised DOJ Corporate Whistleblower Awards Pilot Program: DOJ Announcement Speech by Matthew R. Galeotti at the SIFMA AML and Financial Crimes Conference Link to speech Whistleblowing Study by Stephen Stubbens and Kyle Welch Whistleblower Partners LLP: Mary Inman, Liz Soltan Biographies   Mary Inman Partner, Whistleblower Partners LLP Mary Inman is a seasoned attorney with over 30 years of experience representing whistleblowers under various U.S. programs, including the False Claims Act, SEC, CFTC, IRS, FinCEN, and NHTSA/DOT. After spending three years in London, she now focuses on international whistleblowers exposing misconduct with ties to the U.S.. She assists clients in bringing claims to foreign regulators such as the Ontario Securities Commission and the Canada Revenue Agency. Mary is renowned for her expertise in healthcare, tech, and financial services fraud. She has represented high-profile whistleblowers like Frances Haugen (Facebook) and Tyler Shultz (Theranos), and co-authored The Tech Workers' Handbook, a guide for tech industry whistleblowers. Her advocacy extends to testifying before global governmental bodies, including the European Commission and UK Parliament, championing the effectiveness of U.S. whistleblower programs. Mary holds a J.D. from the University of Pennsylvania Law School and has clerked for judges in both the U.S. District Court and the U.S. Court of Appeals. Outside of her legal work, she enjoys participating in her husband's YouTube channel and spending time in northern Maine. Liz Soltan Associate, Whistleblower Partners LLP Liz Soltan is an associate at Whistleblower Partners LLP, focusing on cases involving financial fraud, anti-money laundering, and sanctions evasion. Her notable work includes representing a foreign whistleblower in a FinCEN sanctions violation case concerning illegal sales to Russia. Liz also contributed to the landmark Medicare Advantage risk adjustment fraud case, United States ex rel. Poehling v. UnitedHealth Group, Inc. Before joining Whistleblower Partners, Liz served as a Skadden Fellow at Community Legal Services of Philadelphia, where she was part of a team that secured $712 million in emergency food stamp benefits for 650,000 households during the COVID-19 pandemic. She earned her J.D. cum laude from Harvard Law School, where she led the Wage and Hour Practice Group at the Harvard Legal Aid Bureau and successfully argued a workers' rights case before Massachusetts' highest court. Liz completed her undergraduate studies at Cornell University, graduating summa cum laude with a major in History and a minor in Spanish. Residing in Brooklyn, Liz maintains strong ties to her Philadelphia roots. She enjoys participating in a fiction-only book club, exploring historical sites, and spending time with her husband, son, and their two cats, Alex Trebek and Vanna White.

In this week's special episode of Great Women in Compliance, Hemma interviews Ellen Hunt, a seasoned compliance professional and recent recipient of the Compliance Week Lifetime Achievement in Compliance Award. Ellen shares her journey from law to compliance, emphasizing the importance of organizational justice, psychological safety, and ethical decision-making. Listeners will gain insights into Ellen's approach to fostering a values-driven culture, her experiences and advice on ensuring transparency, the role of conflict in cultivating psychological safety, and her commitment to nurturing the compliance community. Highlights include:  Ellen Hunt's Career Journey and Recent Lifetime Achievement Award Organizational Justice and Compliance The Evolution of Ethics and Compliance The Role of Psychological Safety Ellen's Legacy in Elevating a Compliance Community Biography: Ellen is a lawyer, ethics and compliance professional, audit executive, and chief privacy officer. Before joining Spark Compliance Consulting, A Diligent Brand, Ellen was the Vice President of Compliance Program Operations, Chief Privacy Officer for LifePoint Health, and Senior Vice President of Audit, Ethics, and Compliance Officer for AARP. Ellen was named “Mentor of the Year” by Compliance Week in 2021 and the 2019 Not-For-Profit Compliance Officer of the Year by Women In Compliance. She received the Trust Across America Top Thought Leaders Lifetime Achievement Award in 2019 and was named a Top Mind by Compliance Week in 2016. Most recently, in April 2025, she was awarded a Lifetime Award for Compliance by Compliance Week. Ellen is an adjunct professor with the Fordham University School of Law, Program for Corporate Ethics and Compliance, teaching the Introduction to Compliance, Capstone, and Crisis Management courses. Ellen serves on the Advisory Boards for the Notre Dame Deloitte Center for Ethical Leadership, Loyola University Chicago School of Law-Compliance Studies, Compliance Week, and the Quorum Initiative. She is the co-founder of The Seven Elements Book Club, a book club devoted to ethics and compliance authors, and winner of the 2022 award for “Best New Idea” by the Great Women in Compliance podcast.

In this episode of Great Women and Compliance, Lisa speaks with Dr. Bettina Palazzo, a leader in business ethics, the founder of Palazzo Ethics Advisory, and the International Compliance Association Influencer of the Year in 2024. Bettina shares the experiences that led to her entering the field of business ethics and the profession's evolution, particularly in Europe. Bettina shares how she defines an ethics influencer and how all of us can become one. She gives ideas and strategies for effectively communicating ethics and compliance using positive messaging and how this can lead to a more ethical workplace and happier employees. She also introduces the “ethics gym,” a training concept designed to help leaders navigate ethical dilemmas and reinforce their commitment to ethical practices. Two other fun facts: she met her husband, Guido Palazzo, at a business ethics conference and started the “F-Up Festival with Christian Hunt,” where E&C professionals can speak candidly about mistakes and lessons learned—the next one is on Thursday, May 15, at 11 a.m. ET!

In this episode of Great Women in Compliance, host Dr. Hemma Lomax sits down with strategist, author, and culture designer Amy J. Wilson to explore how compliance professionals can become catalysts for culture change, not just enforcers of rules. Together, they unpack what it really takes to evolve workplace culture from the inside out. Amy brings 20+ years of cross-sector experience—from serving as a White House Presidential Innovation Fellow to founding Culture Shift Studio and Healing for Work. She's the author of Empathy for Change: How to Build a More Understanding World, a book that reframes empathy as a practical tool for systems change and leadership. Listen in as Amy shares: How to shift from “Old Power” mandates to “New Power” movements The real reason why 70% of change initiatives fail (hint: it's not a policy problem) The four pillars of successful culture movements: Emotional Connection, Grassroots Energy, Influence Over Enforcement, and Authenticity How compliance and culture must work together to build ethical, resilient workplaces Her signature framework, the Thriving Together Method, and how it helps organizations move from Awareness to Accountability Whether you're a compliance officer, people leader, or culture champion, this conversation will challenge how you think about influence, leadership, and lasting change. Highlights from the Episode: A White House Fellow's view on what makes change stick Why compliance should be participatory, not just punitive How psychological safety fuels ethical behavior Reframing compliance as a shared responsibility across the organization Practical steps to start building a culture movement within your team Resources: Amy's website: amyjwilson.com Empathy for Change(book): com/empathyforchange Thriving Together Method: com/empathyactionlab Amy on LinkedIn: com/in/realamyjwilson Newsletter: Empathy in Action Harvard Business Review article: “Changing Company Culture Requires a Movement, Not a Mandate”by Bryan Walker and Sarah A. Soule About Amy J. Wilson Amy J. Wilson is a nationally recognized leader in organizational transformation, specializing in emotional intelligence, systems strategy, and culture design. Amy is the founder of Culture Shift Studio, a consulting practice that partners with purpose-driven leaders to co-create emotionally intelligent, participatory, and values-aligned organizational cultures. She also leads Healing for Work, a workplace well-being initiative that supports individuals and teams in recovering from burnout, building emotional resilience, and fostering cultures of mutual care. Together, these two offerings form a holistic ecosystem—helping organizations not only evolve their structures and strategies, but also heal the human experience at work. Amy previously served as a White House Presidential Innovation Fellow, where she co-authored the Innovation.gov Toolkit and led the Better Government Movement, engaging thousands of public servants in redesigning institutional culture. She is also the author of Empathy for Change: How to Build a More Understanding World, a guidebook for changemakers committed to leading with care, clarity, and courage.

In this episode of Great Women in Compliance, host Dr. Hemma Lomax sits down with strategist, author, and culture designer Amy J. Wilson to explore how compliance professionals can become catalysts for culture change, not just enforcers of rules. Together, they unpack what it really takes to evolve workplace culture from the inside out. Listen in as Amy shares: ·  How to shift from “Old Power” mandates to “New Power” movements ·  The real reason why 70% of change initiatives fail (hint: it's not a policy problem) ·  The four pillars of successful culture movements: Emotional Connection, Grassroots Energy, Influence Over Enforcement, and Authenticity ·  How compliance and culture must work together to build ethical, resilient workplaces ·  Her signature framework, the Thriving Together Method, and how it helps organizations move from Awareness to Accountability Whether you're a compliance officer, people leader, or culture champion, this conversation will challenge how you think about influence, leadership, and lasting change. Highlights from the Episode: ·  A White House Fellow's view on what makes change stick ·  Why compliance should be participatory, not just punitive ·  How psychological safety fuels ethical behavior ·  Reframing compliance as a shared responsibility across the organization ·  Practical steps to start building a culture movement within your team Resources: ·  Amy's website: www.amyjwilson.com ·  Empathy for Change (book): amjywilson.com/empathyforchange ·  Thriving Together Method: amjywilson.com/empathyactionlab ·  Amy on LinkedIn: linkedin.com/in/realamyjwilson ·  Newsletter: Empathy in Action ·  Harvard Business Review article: “Changing Company Culture Requires a Movement, Not a Mandate” by Bryan Walker and Sarah A. Soule Biography Amy J. Wilson is a nationally recognized leader in organizational transformation, specializing in emotional intelligence, systems strategy, and culture design. Amy is the founder of Culture Shift Studio, a consulting practice that partners with purpose-driven leaders to co-create emotionally intelligent, participatory, and values-aligned organizational cultures. She also leads Healing for Work, a workplace well-being initiative that supports individuals and teams in recovering from burnout, building emotional resilience, and fostering cultures of mutual care. Together, these two offerings form a holistic ecosystem—helping organizations not only evolve their structures and strategies, but also heal the human experience at work. Amy previously served as a White House Presidential Innovation Fellow, where she co-authored the Innovation.gov Toolkit and led the Better Government Movement, engaging thousands of public servants in redesigning institutional culture. She is also the author of Empathy for Change: How to Build a More Understanding World, a guidebook for changemakers committed to leading with care, clarity, and courage.

In this episode of Great Women in Compliance, we have a very special episode. Tom Fox joins Lisa Fine, Ellen Hunt and Hemma Lomax for our annual GWIC/FCPA Compliance Report cross-post podcast. We recorded this at Compliance Week 2025.   Our discussion centers around the current state of compliance, emphasizing the importance of community and collaboration. The panelists reflect on the vibe of Compliance Week 2025, highlighting keynotes and sessions that underscore the need for ethical decision-making, innovation, and professional growth amidst regulatory changes and uncertainties.  We took a deep dive into practical advice and creative ideas from the conference, such as compliance chronicles and internal podcasts, to foster a strong compliance culture. We discussed the global perspective on anti-corruption enforcement and the potential role of state attorneys general in the U.S. With a focus on community support and continuous improvement, this episode provides valuable insights and inspiration for compliance professionals.  Key Highlights ·      The Vibe at Compliance Week 2025 ·      Opportunities for Growth in Compliance ·      The Importance of Ethical Decision Making ·      Global Perspectives on Compliance ·      Practical Advice and Takeaways

In this episode, Hemma and Ellen visit Jennifer Gibson and Rebecca Petras, two of Psst.org's three co-founders, to discuss Creating Space to Speak Up and the organization's story.  Together, they discuss revolutionizing whistleblowing by collectivizing information and providing support for insiders in high-risk environments. They also share insights into building trust, the importance of clear reporting channels, and the crucial role of leadership in fostering a culture where people feel comfortable speaking up. This episode explores the challenges faced by whistleblowers, the importance of transparency and accountability within organizations, and the living legacy of Psst.org.  Highlights include: How Building Trust and Safe Spaces for Whistleblowers Challenges in Corporate Whistleblowing Culture The Role of Technology in Whistleblowing Challenges and Solutions in Whistleblowing A Call to Action for Compliance Professionals.  Resources: https://psst.org/  Biographies Jennifer Gibson Co-Founder and Legal Director, Psst.org Jennifer most recently ran the Whistleblower Protection Program at The Signals Network. She is a US lawyer with over fifteen years of experience investigating, litigating, and advocating for human rights. Previously, Jennifer worked for Reprieve, where she led the organization's work on extrajudicial killings carried out under the guise of national security. She worked closely with civilian victims of drone strikes in Pakistan, Yemen, Libya, and elsewhere, investigating their cases to secure accountability. Her work involved litigation before both domestic and international courts and public and political advocacy aimed at holding powerful governments and corporations accountable for their abuses. Jennifer has a JD from Stanford University and is barred from California. Rebecca Petras Co-founder and Principal Officer, Psst.org Rebecca has a long career in building start-up non-profits from the ground up. Before Psst, she was the Director of Operations of The Signals Network, handling strategy, development and communications. She previously served as director of the Geneva-based H2H Network, overseeing the network's inception, strategy, and sustainability and its fund for small humanitarian technical agencies. From 2010 to 2019, she served as deputy director of Translators without Borders (TWB), overseeing global operations of the international NGO, of which she was a founding board member. Before her humanitarian work, Rebecca was a journalist and a marketing executive. She holds an MS from the Columbia University Graduate School of Journalism and a BA in Philosophy and German from the University of Michigan.

In this episode of Great Women in Compliance, hosts Dr. Hemma Lomax and Lisa Fine bring together Patricia Marinho and Maria Luisa Signorini to discuss the future of financial crime prevention. The conversation delves into their extensive backgrounds in financial compliance, the role of technology and AI in anti-money laundering (AML) controls, and the challenges and advancements in the field. They also reflect on the importance of human oversight in AI-driven systems and share their visions for the future of AML technology. Highlights include: A tour of the guest's deep experience in financial regulation and risk management Key challenges in financial crime detection and prevention The role of innovation and emerging technology in compliance Trust and the expectation of regulators when it comes to AI in financial services Advice for compliance professionals leveraging community and mentorship Biographies Patricia Marinho is a highly accomplished Executive Global Head of Compliance, legal professional, and senior compliance strategist with over 25 years of experience in regulatory affairs, risk management, and corporate governance across the United States, Latin America, and global markets. She specializes in developing and leading high-impact compliance programs, aligning financial institutions with international regulatory frameworks, and advising executive leadership on governance and risk oversight. As Executive Global Head of Compliance at Hamilton Reserve Bank (HRB), Patricia is responsible for shaping and implementing the bank's global compliance strategy to support global growth and ensure adherence to international financial regulations. She is pivotal in positioning HRB for long-term regulatory success and global expansion, working closely with executive leadership to strengthen governance, mitigate risks, and enhance operational resilience. Maria Luisa Signorini is the Vice President of Global Financial Crimes for Bank of America in Brazil. She has over 30 years of experience as a Legal professional in Litigation, Banking, Asset Management, and Financial Services, having worked for leading players in Brazil's law firms, banking, and the financial services industry. She started her career as a civil litigator in major Law Firms in São Paulo – Brazil, and afterward transitioned to Compliance, Anti Money Laundering (AML)/Counter-Terrorism Financing (CTF), fraud, corruption, and bribery Areas. She has extensive knowledge of Brazil's legal, compliance, and regulatory matters through senior positions in major global financial institutions located in Brazil, such as HSBC, UBS, Western Union, and now Bank of America. Maria Luisa's extensive expertise includes supporting the business by defining strategic compliance and reputational risks, having a deep understanding of Brazil's regulatory environment, having experience working with local regulators, and having strong project coordination and management skills.

In this episode of Great Women in Compliance, Hemma hosts Jennifer Lee, a partner at Jenner & Block LLP and former Assistant Director at the SEC. The discussion covers Jennifer's work in SEC investigations, the importance of integrity in legal practice, and key challenges faced by compliance professionals, including evolving cybersecurity obligations and the future of FCPA enforcement.  Tune in today to hear Jennifer share her insights on maintaining ethical standards, managing client expectations during investigations, and the value of community and mentorship in the legal profession. Highlights include: - How to avoid the slippery slope to enforcement - Insights on values-based decision-making from Jennifer's reading list - What our clients need most from legal and compliance counsel - Perspectives from a former federal prosecutor at the SEC - What compliance officers should be thinking about today

There is a lot to unpack in this roundtable episode hosted by @Sarah Hadden and @Ellen Hunt. Listen in here (Link) as we flip the script on how to deliver bad news to explore how to educate our leaders to hear and act on bad news.  Our experts @Elaine Lin Hering and @Deb Hennelly, share and explore strategies on how to: ·      Build a trusting relationship before the crisis; ·      Incorporate role play as an anchor for the desired behavior when bad news needs action; ·      Understand that emotions are data that you need to leverage; ·      Address the “silence” that hinders ethical behavior; and ·      Create real psychological safety.   

In this episode of Great Women in Compliance, GWIC co-host Hemma Lomax sits down with compliance expert Kristy Grant-Hart, author of How to Be a Wildly Effective Compliance Officer. Kristy discusses the recent acquisition of her consulting group, Spark Compliance, by Diligent and shares her unique origin story that led her from a background in film and television to becoming a leading figure in the compliance world.  Tune in to learn about the four human motivators and the role of fear alongside ethical culture in compliance, the future skillsets required for compliance officers, and the integral role of community and networking in building a successful compliance career. Kristy also offers insights for Chief Compliance Officers seeking their next career steps and highlights the broader impact compliance professionals have on changing the business world. Highlights Include: The recent acquisition of Spark Compliance Consultancy by Diligent Kristy's journey from the film and entertainment industry to law and compliance The skills and attitudes that will future-proof your compliance career The key motivators to consider when influencing human behavior and culture The role of community, collaboration, and following your passion.  Biography Kristy Grant-Hart is the Vice President, Head of Advisory Services, Spark Compliance, a Diligent Brand. She's a renowned expert at transforming compliance departments into in-demand business assets. She is the author of several highly-acclaimed books, including the best-selling How to be a Wildly Effective Compliance Officer. She has advised Fortune 100 companies on international compliance and has created, implemented, and revamped compliance programs for major companies in Europe and the United States. Kristy was honored as a Trust Across America 2019 Top Thought Leader in Trust. A powerful and inspirational public speaker, Kristy provides keynote presentations to organizations and conferences globally. Kristy has written for and been featured in publications including the Wall Street Journal, Financial Times, Corporate Financier Magazine, Risk Universe Magazine, and on the cover of Compliance and Ethics Professional Magazine. She is a former adjunct professor at Delaware Law School, Widener University, teaching Global Compliance and Ethics.  Kristy was shortlisted for the Chief Compliance Officer of the Year award at the Women in Compliance Awards and was shortlisted again for the Compliance Innovator of the Year. Before launching Spark Compliance, a Diligent Brand, Kristy was the Chief Compliance Officer at United International Pictures, the joint distribution company for Paramount Pictures and Universal Pictures in 65+ countries. Kristy began her legal career at the international law firm of Gibson, Dunn & Crutcher, where she worked in the firm's Los Angeles and London offices. While at Gibson Dunn, her team was nominated for Best Regulatory Law Firm of the Year at Thomson Reuter's Compliance Awards. Kristy graduated summa cum laude from Loyola Law School in California. She holds certification as a Corporate Compliance and Ethics Professional – International (CCEP-I) and is a member of the California Bar.

In this episode of the Great Women in Compliance podcast, Lisa speaks with Angie Gorman, a Managing Director at FTI Consulting. Angie is an expert in communications and change management, and she discusses her work in communications and how this evolved into her work in ethics and compliance. Angie highlights some key elements for building an effective communications strategy for building a culture of compliance. These include integrating compliance into the organization's larger culture, connecting it to the company's purpose, values, and business strategy, and consistently communicating a positive and supportive message at all levels of an organization. Angie shares insights from the recently released FTI Ethico Compliance Leadership Redefined Survey. She discusses some of the report's key findings, which explore today's challenges and opportunities for chief compliance officers. It is a very timely report about the state of our profession.

In today's episode, Lisa speaks with a Great Gentleman in Compliance, Andrew McBride, the CEO and founder of Integrity Bridge. Andrew shares his journey in the compliance field from private practice, to becoming Chief Compliance Officer at Albemarle, to starting Integrity Bridge. At Albemarle, Andrew built a new ethics and compliance program against the backdrop of an FCPA investigation.  The work of Andrew and his team and their cooperation with the US Department of Justice, led to a decrease of 45% penalty reduction.  The program was also awarded Compliance Week's “Program of the Year” award. He highlights the importance of having a multifunctional approach to building compliance programs, working closely with various departments such as sales, procurement, and finance.  He also emphasizes how ethics and compliance teams are best positioned to succeed if they have different backgrounds and skill sets.   Andrew shares his experience in building Integrity Bridge, a consultancy focused on helping companies design and implement holistic compliance programs to proactively use technology and address risks which are constantly evolving.

Hear from M&A veterans @Allison Riter of nVent and @Barbara Petitti of Alstom on the importance of having a Compliance Playbook to ensure the success of compliance program integration. From having a seat at the due diligence table to conducting a risk assessment to deciding the best model for #ComplianceProgram integration, this roundtable will discuss these topics and much more. Listen in here to learn practical tips, red flags, insights, and how to deal with culture clashes from those who have been on the M&A journey.

In this week's episode, Hemma sits down with Patricia Godoy Oliveira to explore her remarkable journey in compliance—spanning leadership roles at Google and Uber to her current position as LatAm Compliance Officer at Gallagher. Join us as Patricia shares how she keeps people at the heart of her compliance strategies, leveraging behavioral science and Trust and Inspire leadership to empower business partners. With practical insights, book recommendations, and a deep passion for ethics and compliance, Patricia offers a refreshing perspective on leading with purpose in this engaging and thought-provoking conversation.  Highlights include:  Navigating personal and professional transitions and reflecting on purpose How to build trust with your regional business teams in a global company Practical tips on incorporating behavioral science into your compliance program Fabulous reading recommendations for thought leadership and continuous learning in compliance Biography "Patricia is the LatAm Compliance Officer for Gallagher. Her career encompasses senior leadership roles at prominent American and Brazilian companies, including her tenure as Regional Chief Compliance Officer at Google and Director of Ethics & Compliance at Uber. Patricia's impactful contributions have garnered repeated recognition, including being named one of the "Most Admired Professionals" in Compliance in Brazil on multiple occasions. A graduate of Instituto Presbiteriano Mackenzie (Law School, Brazil) with a Masters degree (LL.M.) from the University of Chicago (US) and an MBA from Fundação Getúlio Vargas (CEAG, Brazil), Patricia complements her academic achievements with specialized courses in Insurance, Reinsurance and Law. Her profound understanding of both mature and evolving regulatory environments is a testament to her 15 years of experience in the Insurance and Reinsurance industry and 5 years in the dynamic Tech sector. Patricia's pragmatic approach to legal and compliance is grounded in economic and behavioral principles. She empowers organizations to achieve their goals by translating complex challenges into sound business strategies. Her leadership has been instrumental in implementing innovative programs and training initiatives that foster ethical conduct and drive sustainable growth. A respected voice in the field, Patricia actively shapes industry standards through her roles as a lecturer, professor, and at the Compliance Committee of AMCHAM, Brazil Chapter. Her unwavering commitment to ethical business practices is evident in her extensive involvement in various professional organizations, including the Ethics Tribunal of the Bar Association in Sao Paulo and the Global Compact of the United Nations. Patricia's journey exemplifies a dedication to building a more just and responsible business world." Resources Patricia on LinkedIN: https://www.linkedin.com/in/patricia-godoy-oliveira/ Subscribe to her newsletter Etica do Dia a Dia here: https://www.linkedin.com/newsletters/%C3%A9tica-do-dia-a-dia-7265210572445548545/ Patricia's Book Recommendations during the show: Carlos Muitos, Gabriel Cabral et al Trust & Inspire, Stephen Covey Thinking Fast and Slow, Daniel Kahnemann Humankind, Rutger Bregman The Righteous Mind, Jonathan Haidt Why They Do It, Eugene Soltes The Heart of Business: Leadership Principles for the Next Era of Capitalism, Hubert Joly

Welcome to the Great Women in Compliance podcast on the Compliance Podcast Network, sponsored by Corporate Compliance Insights. In today's episode, we have a special episode, which is cross-posted with Everything Compliance. In this episode, host Kristy Grant-Hart joins Everything Compliance panelists Karen Moore and Karen Woody to team up with the Great Women in Compliance regulars Hemma Lomax and Lisa Fine to dissect current issues in the compliance landscape. They look into the implications of the U.S. Constitution's 10th Amendment on state rights amidst federal executive action, affecting data privacy and ESG regulations. The panel also explores the shifting terrain of DEI programs under recent executive orders, shedding light on both opportunities and challenges for compliance officers in advocating for ethical practices and maintaining organizational morale during these turbulent times, consider the role of the SEC going forward and the current chaos coming out of Washington. The episode concludes with their signature rants and raves, highlighting both frustrations and positive notes from the compliance field. Karen Woody on change to require SEC Commission approval to launch investigations. Karen Moore on the importance of the 10th Lisa Fine on morale, destruction and confusion. Hemma Lomax on change management and employee engagement. Rants and Raves You can join in the LinkedIn podcast community Join the Great Women in Compliance podcast community here.

We know Great Women in Compliance are usually superheroes, but this woman takes it to another level. Karolina Aleksandrova is the founder of ProMoney, a consultancy based in Ukraine. Before delving into her career path and how she is building an E&C community in Eastern Europe, she gives us a peek into her day-to-day life. She talks about the people's resilience and how they continue to live their day-to-day lives, whether taking children to school, working, or hearing warnings of bombings. Lisa and Karolina spoke about how she got into compliance and building the Eastern European community with her conferences. She talks about the region's unique needs and how the Eastern European community has united at the events and in their networks. They also discuss how #GWICs can support the E&C community, especially women, who can support our peers in Eastern Europe. We are grateful for Karolina's insights. This was her first podcast, and she did it in English. Just wow! We hope you are enjoying the Great Women in Compliance podcast. If you do, please provide a rating or review and feedback regarding what you would like us to do next.

It's a new year and a new administration. Listen to two experts talk about what their crystal balls reveal about the profession's future and how #Ethics and #Compliance professionals should prepare for what may lie ahead.

In this week's episode, Hemma visits Catherine Razzano, a veteran legal and compliance expert and Head of Global Legal Compliance at social media giant TikTok. Learn about Catherine's transition from private practice to in-house compliance work as she shares her journey from a prestigious clerkship and partnership track in Big Law with an FCPA and white-collar practice to leading in-house compliance teams at General Dynamics, Panasonic, and TikTok. Hemma asked Catherine about the challenges and benefits of working under a monitorship, with Catherine emphasizing the importance of relationship building and trust. Catherine also shared her experiences leading teams under scrutiny and pressure, including during the pandemic and at TikTok. Catherine discusses the source of her firm commitment to mentoring and sponsoring the next generation of ethics and compliance leaders. Tune in to hear inspiring insights on the importance of intentionality and finding your passion when navigating transitions as we enter the second quarter of the century in 2025. Highlights include: Managing compliance teams under scrutiny and pressure Culture-building in global organizations Navigating different industries as a compliance professional Following your passion for career growth and transitions The importance of mentoring and sponsorship Biography: Catherine Razzano is the Head of Legal Compliance at TikTok, the social media giant where she leads a global team of compliance professionals. She joined TikTok from Panasonic Avionics Corp., where she was hired in 2018 to help the company strengthen its compliance systems while under independent oversight following an investigation into violations of U.S. antibribery law. Before Panasonic, Catherine was an Associate General Counsel and Director of International Law & Compliance at General Dynamics after leaving her white-collar criminal practice at prestigious law firms, Cadwalader Wickersham and Taft and Clifford Chance, LLP, and serving as Judicial Law Clerk to the Honorable John M. Facciola in the United States District Court for the District of Columbia Thanks, as always, to our sponsor, Corporate Compliance Insights, and our wonderful #GWIC community. You can join the Great Women in Compliance community on LinkedIn here.

In our 2025 kickoff episode, Lisa speaks with Lisa Beth Lentini Walker, Deputy General Counsel, Corporate Legal, and Assistant Secretary at Marqeta, the CEO and Founder of Lumen Worldwide Endeavors. Lisa Beth is also a mentor, advocate, and friend to many in the compliance community. While many people consider a CECO role their ultimate career goal, others look to a more GC-focused role. In the past few years, Lisa Beth's career has evolved in that way while she remains involved in compliance. In this episode, she talks about her role, how serendipity and planning helped her get to where she is, and how it is important to be intentional while staying open to new opportunities. In discussing 2025, Lisa Beth notes that her theme of the year is “consistency” and how this is important not only in work but also in being present with family, friends, and community. In terms of the ethics and compliance landscape, they discuss how this will likely be a year of change in regulations in the US and globally and the importance of being agile. Lisa Beth was recently certified by Women in AI Governance as a Founding Quantum Member. She discusses the importance of learning about AI for E&C professionals and says this is a good time to start a wide learning journey in AI as the field expands. In the earlier GWIC iteration, Ellen Hunt joined Lisa every year to discuss the state of the function before she officially joined “Team GWIC,” we hope Lisa Beth will reflect with us next year, too.

Happy Holidays from the Great Women in Compliance podcast. For the last episode of 2024, we wanted to share insights and some holiday cheer. We all share some of our thoughts about the trends and developments in 2024, and of course, there is a focus on AI. Sarah brings some news about CCI and their next phase, and Ellen reiterates her ongoing commitment to organizational justice. We also shared some thoughts about 2025, and Lisa raised the challenges that global organizations will face with the various – and sometimes contradictory – regulations and laws from different countries. The group shares some of our favorite GWIC moments of the year. We also answered some pressing questions for the holiday season, including when to start playing holiday music and decorating; spoiler alert, there needed to be more consistency. We share some of our favorite family holiday traditions, which include everything from listening to the Beach Boys Christmas album and updating a holiday Spotify playlist (Lisa), bringing British traditions for the family (Hemma), opening presents on Christmas Eve, and a chill day (Ellen and Sarah). There were many laughs, and we offer a huge thank you to all of you, the #GWIC community. We are so grateful for you all. See you in 2025. Thanks, as always, to our sponsor, Corporate Compliance Insights, and our wonderful #GWIC community. You can join the Great Women in Compliance community on LinkedIn here.

In this episode, Sarah Hadden visits with Jacquelyn Pruet -- a former regulator with a broad background in corporate communications strategy and behavioral change management. They discuss Pruet's recent top-performing article for CCI (A Former Regulator's Advice on Implementing New DOJ Guidance) then explore Pruet's tenure as a communication and training specialist for the Texas Department of Public Safety and, later, as a communication and policy specialist for the Texas Commission on Law Enforcement.  We delve into: Red flags (and red flares) that signal to the DOJ that a program is lacking Why your program's KPI's are the "bare minimum" How Pruet's Google Reviews experiment proves that influence is the key to effective communication strategy Jacquelyn Pruet is a change management specialist, legal expert and communications strategist known for her ability to drive measurable behavioral change through the creation of award-winning, educational and impactful content. With extensive experience across banking, law enforcement and contract manufacturing, she has specialized in executive leadership communication, mergers and acquisition transition assimilation and legal compliance. Jacquelyn excels in navigating complex environments to achieve strategic outcomes and facilitate effective organizational change. She formerly was chief regulatory policy writer for the Texas Commission on Law Enforcement. Thanks as always to our sponsor Corporate Compliance Insights and our wonderful #GWIC community. Join the Great Women in Compliance community on LinkedIn here.

In this week's episode, Hemma visits with Neta Meidav to discuss bridging the trust gap with innovative technology and the power of women entrepreneurs in the ethics and compliance space. Neta is a visionary entrepreneur and CEO co-founder of Vault Platform. Vault Platform is an impact-driven company that is disrupting the outdated models of workplace misconduct reporting and resolution. Highlights include:  Bridging the trust gap by focusing on the employee experience Building impact and values into the DNA of a product How to proactively prevent and detect misconduct using AI and disruptive technologies The role of women founders and entrepreneurs in ethics and compliance The release of #ethicschat by Vault - revolutionizing compliance knowledge management  Biography Neta is Vault Platform's Founder & CEO. She founded Vault with a mission of modernizing ethics & compliance and create more equitable, safe and ethical workplaces worldwide. Neta was recently named one of Inc. Magazine's Female Founders 200.  Prior to founding Vault, Neta worked for more than a decade in the UK Government as a climate change negotiator and participated in the Paris Climate Agreement. Alongside leading Vault, Neta is on a mission to promote female founders in tech and spends time coaching and helping her fellow female founders who are earlier on their journey. Resources www.vaultplatform.com Press Release on the launch of #ethicschat by Vault  Thanks as always to our sponsor Corporate Compliance Insights and our wonderful #GWIC community. Join the Great Women in Compliance community on LinkedIn here.

Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights.   Have you thought about being an Expat and what it's like to return after being abroad?  This #GWIC episode explores what you need to know on both legs of the journey and the rich personal and professional growth that comes from being immersed in another culture and country.   Our expat guests, @Joy Hayes who has just moved to Geneva, Switzerland, and @Gitanjlai Sakhuja, who has worked in seven different countries and is now back in the U.S., share their journey, tips, and practical advice.  Their insights range from when you decide to work in another country to when you return home - and some of the great experiences (and challenges) in-between.  @Ellen Hunt leads this roundtable discussion with our guests who share their personal experiences and professional insights on becoming an expat and repat including balancing expectations, the importance of language proficiency, and the challenges of tax and visa regulations. They also delve into the emotional aspects of adjusting to life abroad and the reentry process, offering practical tips and anecdotes along the way.  Thanks as always to our sponsor Corporate Compliance Insights and our wonderful #GWIC community.  Join the Great Women in Compliance community on LinkedIn here.

Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights.   In today's episode, Lisa speaks with Karen Bertha, who has built world-class programs throughout her career, most recently at V2X.   She has significant acquisition and post-acquisition due diligence expertise, including at V2X.  After that acquisition, she was at a crossroads and needed time to take stock and pause. Karen reflects on her work with due diligence, including how and when compliance should be involved in due diligence.  They also discuss strategies for post-integration, even if compliance is brought at some point later.  Karen has worked in highly regulated industries, such as government contracting, and those not in highly regulated industries. She shares her experiences and lessons learned. Karen left V2X after the acquisition when she needed time for herself and other parts of her life.  She talks about how the “power of the pause” has been helpful to her.  She talks about reflecting on her work in the Ethics & Compliance profession, increasing her learning, specifically in compliance-adjacent fields like Human Resources and audit, with time to focus.  She also shares what she has enjoyed during this time, which we at #GWIC hope can inspire those thinking about your next steps or between roles. Join the Great Women in Compliance community on LinkedIn here.

Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights.  GWIC goes in a different direction today with a cross-post with Everything Compliance. Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. A few months ago Everything Compliance had a Special Edition episode with some of the Great Women in Compliance, hosted by Kristy Grant-Hart. The episode was so popular (and the host and guests had so much fun) everyone involved decided to make it a quarterly event and cross-post it on GWIC. In today's episode, is a cross posts of Everything Compliance (Q4-GWIC edition) and is hosted by Kristy Grant-Hart, and the guest panelists include Karen Moore, Lisa Fine and Hemma Lomax.  Host Kristy Grant-Hart takes a deep dive into meeting recording and note-taking services, and why you need to disable these default settings. She shouts out to her hometown LA Dodgers for winning the World Series and she rants about one of her favorite stores, Williams-Sonoma playing holiday music before Halloween. Karen Moore looks at Modern Slavery. She rave about United Airlines and their unending stream of communications. Lisa Fine takes a deep dive into the RTX settlements. In her Raves and Rants segment, she has a rant and a rave. First after noting she cannot play Christmas music more than two weeks before Thanksgiving, she rants about vendors pushing compliance officers to use budget in Q4 and she raves about her hometown Buffalo Bills. Hemma Lomax goes into a deep exploration of the recent termination of multiple EY personnel for taking multiple trainings at the same time. She rants about employees coming to compliance to write policies for AI development and the need to take a principles based approach. Join the Great Women in Compliance community on LinkedIn here.

Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights. Over the past few months, the Department of Justice put forth the Whistleblower Pilot Program, and the update to the Evaluation of Corporate Compliance Programs. It was the perfect time to focus on how these impact whistleblower laws. Jane Norberg, who is a partner at Arnold & Porter and the former Chief of the Office of the Whistleblower and Mary Inman, who is a founding partner of Whistleblower Partners. Mary is also an advocate for the power of whistleblowers and is known for representing Facebook Files whistleblower Frances Haugen and Theranos whistleblower Tyler Shultz. They provide insight into what makes a credible and legitimate whistleblower, how the SEC reviews tips from whistleblowers and what we as compliance professionals can do to build effective programs. All focused on the review of all concerns that are raised, regardless of the source. They provide some thoughts about how to handle different situations before, during, and after an investigation, providing practical advice. The group discusses the new DOJ Whistleblower Pilot program and where it follows the past programs like the SEC program and where it is filling new gaps. One part of the program includes the 120-day requirement for reporting an issue, and they focused on what that would mean for organizations. Mary and Jane share their views on the requirements and the best practices and reference how most compliance professionals are using the DOJ Evaluation of Corporate Compliance to develop their programs, which means that an issue is investigated. In practical terms, following the ECCP requirement to investigate, and the pilot program has a “race to report,” is a challenge, and this is discussed in depth. Mary and Jane both provided “one thing you should know” to conclude the discussion. Both points are significant ones for anyone who is dealing with any point of the whistleblower or building a strong speak up/anti-retaliation culture. Join the Great Women in Compliance community on LinkedIn here.

In this week's episode, Hemma visits with Stephanie Weldy to discuss the science behind behavior design, with practical models and methods to unpack and design for influencing desired behaviors. Stephanie is an expert at the intersection of behavior design and employee wellness and chief of staff for Dr. BJ Fogg, renowned author of Tiny Habits, creator of Fogg Behavior Design, and a Stanford University behavior scientist. Tune it to learn how to design behaviors for impact at work and home and how to think about influencing behaviors in the context of your compliance function and beyond. Highlights include:  ·       How to help people do what they already want to do and help them feel successful ·       The Fogg Behavior Model - Designing the coincidence of motivation, ability, and prompts to encourage enduring behaviors (B=MAP) ·       A system for drafting corporate compliance programs that have the impact of influencing human behaviors  ·       Unpacking and analyzing existing habits or behaviors and designing modifications  ·       Why New Year's resolutions or policy aspirations might fail, and how to leverage the ‘Motivation Wave' Biography Stephanie Weldy, M.Ed., is an expert at the intersection of Behavior Design and employee well-being. She works with BJ Fogg, PhD, Stanford Behavior Scientist and NYT bestselling author of Tiny Habits, to teach industry innovators how to use Behavior Design in the products and services they are building to help people be healthier and happier. Stephanie previously led comprehensive wellness programs in higher education, non-profit, and government settings. Stephanie practices what she teaches daily as a working mom to two tiny humans (ages 3 and 5). She has a master's degree in Education in Community Health and is a certified Wellcoach and Tiny Habits® coach. Resources ·       bjfogg.com ·       behaviormodel.org ·       Online Course: bjfogg.com/learn ·       LinkedIn: https://www.linkedin.com/in/stephanieweldy/  Join the Great Women in Compliance community on LinkedIn here.

In this episode of the Great Women in Compliance podcast, Lisa speaks with Maria Lancri, Maria is a partner at Squair, based in Paris, and has experience both in law firms and in-house, spending 12 years at Hachette Livre – Hachette Books to English speakers like me.   She is a member of the Steering Committee at Sorbonne D.U. Compliance & Ethique des Affairs. She is also a leading speaker about the EU and French compliance laws, doing so in various languages (and provides some tips on how she has been successful). Maria provides information about the French anti-bribery and anti-corruption laws, including their history and current application. She provides timely information about the Sapin II framework in France as well as the current EU Landscape.   While the US laws often lead the global discussion about anti-corruption and anti-bribery, the EU has led in data privacy, ESG and now in AI, and some of the key issues over the next year that are relevant to global organization. Maria and Lisa discuss the cultural challenges that E&C professionals may encounter in a global practice, and how to support ethical decision-making when you have a multi-cultural employee base.  Join the Great Women in Compliance community on LinkedIn here.

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. Join the Great Women in Compliance community on LinkedIn here.

In this episode of Great Women in Compliance, Hemma visits with Vanessa Hans, the Head of Private Sector at the Basel Institute on Governance in Switzerland, to discuss the Institute's work. Tune in to learn more about the power of collective action in global anti-corruption work, the critical role of the private sector, and the importance of multilateral cooperation. Highlights include Vanessa's global travels as a competitive endurance cyclist The role of the Basel Institute of Governance in Global anti-corruption efforts Ways in which the private sector can get involved in global collective action initiatives  Biography:  Vanessa Hans is the Head of the Private Sector division of the Basel Institute on Governance.   She is an experienced international trade and development professional, skilled in anti-corruption compliance, corporate social responsibility, multi-stakeholder management and project management. Vanessa is also a competitive endurance athlete. She holds a Master of Science in Corporate Social Responsibility from the Nottingham University Business School and a Bachelor of Business Administration in International Business from HEC Montreal.  Resources: B20 Collective Action Hub NBIM indicators 1.    Engaging the private sector in Collective Action against corruption: a good example of Basel Institute of Governance's (BIG) engagement with governments. 2.    Local certification through Collective Action: an innovative approach to anti-corruption compliance and due diligence: highlights the SME angle of our work. 3.    Measuring effectiveness of anti-corruption programmes: Indicators for company reporting: developed for Norges Bank Investment Management by BIG 4.    Guidance document for professional accountants which we co-develop with the International Federation of Accountants 5.    Case study on the humanitarian side and disaster response Our research on Collective Action in the ASEAN region Join the Great Women in Compliance community on LinkedIn here.

This episode is a rare opportunity for #teamgwic to catch up in person at one of the key Ethics & Compliance events, the SCCE Compliance & Ethics Institute (CEI). CEI was in Grapevine, Texas, and, as usual, was a great experience. In this episode, Lisa, Hemma, Ellen and Sarah discussed their highlights from the event. The first keynote was from Principal Deputy Assistant Attorney General Nicole M. Argentieri, who announced revisions to the Evaluation of Corporate Compliance Programs, and the group touches on this and the significance of the changes and having them announced at SCCE. There will be much more to come on this topic. Each of the women discusses their favorite panels and some of the key takeaways they had, including discussions of DEI, controls, and how to work with Boards, as a few examples. They also sent their well-wishes to Nick Gallo, who was missed but, more importantly, is on the road to recovery. One of the best parts of the conference is the opportunity to network and share best practices, and the whole group thought this year's exhibit hall, and the format of the conference with longer breaks, allowed people to make great connections and have some in-depth discussions that don't always happen when you are moving so quickly to not make a panel or event. And the second morning keynote from Matt Friedman discussing his work in fighting human trafficking and modern slavery was moving and inspirational, a reminder of the importance of what we do every day with our due diligence and knowing our customers. All in all, it was a great week of connections, learning and providing so much optimism for the contributions that ethics and compliance professionals make, and to connect (or reconnect) with the amazing people in our community. If you were not able to attend, the team hopes this gives you a sense of the event. #GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards. This is a people's choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting closes October 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164 Resources: Join the Great Women in Compliance community on LinkedIn here.

The recent Boeing plea agreement has led to many discussions about the role of victims in negotiated settlements, and today we have one of the top academic experts on the SEC and financial securities regulation, Karen Woody. Karen is an associate professor at Washington & Lee School of Law. Karen and Lisa discuss why the Boeing case is a good example of who the victims are because the victims suffered a tragedy. However, many other white-collar cases (we hope) are not as clear - especially in the FCPA bribery context, and what avenues of relief that others have, particularly in the international context.  Lisa and Karen also follow on the prior episode's discussion of internal controls, particularly in light of the Solarwinds case. They talk about whether internal controls are the appropriate way for the SEC to pursue certain claims, such as cybersecurity or in a bribery case, and whether they should be limited to accounting provisions and whether other controls would be more appropriate, and if they don't exist, should they? Karen also shares her journey into academia and gives some practical tips for those who are interested in teaching and how to be resilient when one hits roadblocks.#GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards.  This is a people's choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164 Resources Join the Great Women in Compliance community on LinkedIn here.

We emphasize the importance of "understanding the business," in Ethics & Compliance, which is absolutely critical to our success. One of the topics we discuss less frequently is how to work with other control functions, one of which is internal controls.  Lisa is speaking about this topic at the SCCE CEI with Matt Kelly from Radical Compliance. In advance of the conference, Lisa and Ellen Hunt co-hosted a roundtable discussion with Matt Kelly from Radical Compliance, and Sarah Lawrence, Sr. Director of Internal Controls at Pearson.  In this episode, they discuss the history and purpose of internal controls and SOX, how they evolved and how they work today. In particular, they focus on what is financial materiality vs what E&C sees as areas for controls. The whole group agreed that open lines of communication and coordination are fundamental to both of these control functions working together, and Sarah and Lisa discuss how they have built a collaborative relationship so that both the finance and compliance sides understand each other's objectives and keep an open line to the benefit of both functions. #GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards.  This is a people's choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164 Resources Join the Great Women in Compliance community on LinkedIn here.

In this episode of Great Women in Compliance, Hemma and Sarah visit with Roxanne Petraeus and Susan Frank Divers to talk about intentionally building a “Listen Up” culture. Tune in to hear the powerful origin stories of two great women in compliance who have been moved to drive significant impact in this space, from enterprising business solutions, to innovative learning and development strategies, to thoughtful approaches to measuring culture and employee sentiment as a measure of success.  Highlights include the ways in which listening builds trust, how to measure impact, not activity, how to achieve integrated risk management, how to design your employee training with employee experience and employee sentiment in mind, and despite our aspirational claims to be building a strong speak up culture, how our employees will always be the actual arbiter of our success.  You can learn more about Roxanne and Susan's work at www.ethena.com.  Biographies ‍Roxanne Petraeus is the CEO and Co-Founder of Ethena, a compliance training platform startup with intuitive and powerful admin tools that make required training easy, engaging, and effective.  Roxanne previously consulted for McKinsey, and before that, she was an officer in the US Army. She found that no matter the setting, whether consulting or in the military, there remained an opportunity to make compliance training better. She started Ethena in 2019 with Co-Founder Anne Solmssen.  Ethena enjoys incredibly positive word of mouth within the HR community, and is trusted by thousands of companies like Figma, Notion, Noom, Pinterest, and Carta to provide actionable training. And the employees love it: Ethena has a 93% positive rating, and over 2M positive reviews. Roxanne is a natural leader, and her eagerness to question and reinvent old paradigms is at the heart of Ethena's ascendance. Susan Frank Divers serves as an advisor to Ethena, Inc., an all-in-one compliance training platform that helps companies create more ethical and inclusive work cultures. Prior to joining Ethena, she was the director of thought leadership and best practices for LRN Corporation for seven years. She has 30+ years' accomplishments and experience in the ethics and compliance arena. This expertise includes building state-of-the-art compliance and training programs, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and sharing substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Ms. 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 Ms. Divers' thought leadership in the ethics field. In 2011, Ms. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. #GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards.  This is a people's choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164 Resources Join the Great Women in Compliance community on LinkedIn here.

In this Great Women in Compliance episode, Hemma visits Andrea Goulet, host of the Empathy in Tech podcast and one of the industry's foremost experts on software team communication and collaboration. Andrea has developed a practical framework for teaching empathy as a technical skill for machines and humans through that work. Highlights include a research-backed exploration into empathy as a technical skill, not just a psychic ability. Andrea reminds us that the most important first step for empathy is a pause and reappraisal, and she invites us to mirror the process by which we communicate through software: Collect, Connect, Communicate. In this way, she explains that every domain has a technical and human element. Given that empathy drives decision-making, Andrea shows how empathy, as a technical skill, is inextricably linked to ethical decision-making. About Andrea: Andrea Goulet is one of the software industry's foremost experts on software team communication and collaboration. She has delivered keynotes and training worldwide and empowered over 75,000 people to create better software by approaching empathy as a technical skill. Andrea served as the Co-Founder and CEO of Corgibytes, a software consultancy specializing in modernizing mission-critical software systems for over a decade. Her approach of using empathy to maintain healthy software systems and corporate culture has had an industry-wide impact. In 2017, LinkedIn named her one of the Top 10 People in Software Under 35, and her work has been featured in prominent industry publications. Andrea is currently working on her first book, Empathy-Driven Software Development, through Pearson Publishing. She is the founder of the online community and podcast Empathy in Tech. #GWIC is proud to announce that it has been nominated for the Women in Podcast Awards.  This is a people's choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164 Resources: Join the Great Women in Compliance community on LinkedIn here.

In this Great Women in Compliance episode, Hemma visits Andrea Goulet, host of the Empathy in Tech podcast and one of the industry's foremost experts on software team communication and collaboration. Andrea has developed a practical framework for teaching empathy as a technical skill for machines and humans through that work. Highlights include a research-backed exploration into empathy as a technical skill, not just a psychic ability. Andrea reminds us that the most important first step for empathy is a pause and reappraisal, and she invites us to mirror the process by which we communicate through software: Collect, Connect, Communicate. In this way, she explains that every domain has a technical and human element. Given that empathy drives decision-making, Andrea shows how empathy, as a technical skill, is inextricably linked to ethical decision-making. About Andrea: Andrea Goulet is one of the software industry's foremost experts on software team communication and collaboration. She has delivered keynotes and training worldwide and empowered over 75,000 people to create better software by approaching empathy as a technical skill. Andrea served as the Co-Founder and CEO of Corgibytes, a software consultancy specializing in modernizing mission-critical software systems for over a decade. Her approach of using empathy to maintain healthy software systems and corporate culture has had an industry-wide impact. In 2017, LinkedIn named her one of the Top 10 People in Software Under 35, and her work has been featured in prominent industry publications. Andrea is currently working on her first book, Empathy-Driven Software Development, through Pearson Publishing. She is the founder of the online community and podcast Empathy in Tech. #GWIC is proud to announce that it has been nominated for the Women in Podcast Awards.  This is a people's choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164 Resources: Join the Great Women in Compliance community on LinkedIn here.

In this Great Women in Compliance episode, Hemma interviews Shruti Shah, a Senior Policy Advisor for Anti-Corruption in the Office of the Coordinator on Global Anti-Corruption at the U.S. Department of State. Shruti and Hemma explore how the US government builds partnerships with the private sector and civil society globally to implement the US Strategy on Countering Corruption.  Highlights include personal stories about the unstoppable power of informed and passionate individuals, the acknowledgment that corporate executives working in compliance are part of a global community, and the recognition that persistence pays off. Learn more about the benefits of a public-private partnership and collaboration, including some key initiatives run by the Department of State, USAID, and several multilateral organizations, and discover how you can learn more or get involved. Shruti is a beacon of inspiration who reminds us all to take pride in the part we can play in a movement toward eradicating global corruption. Key Resources mentioned in the episode:  Compliance without borders: https://www.oecd.org/en/about/projects/compliance-without-borders.html Blue Dot Network: https://www.state.gov/blue-dot-network/ USAID's Grand Challenges: https://www.usaid.gov/anti-corruption/countering-transnational-corruption-grand-challenge USAID's EDGE Fund: https://www.usaid.gov/work-usaid/private-sector-engagement/edge-fund About Shruti: Shruti is a Senior Policy Advisor for Anti-Corruption in the Office of the Coordinator on Global Anti-Corruption at the U.S. Department of State. In this role, she plays a key part in implementing the U.S. Strategy on Countering Corruption, helping to integrate anti-corruption measures into U.S. foreign policy and global engagement. She also coordinates initiatives to build partnerships with the private sector and civil society, enhancing collaborative efforts to combat corruption on a global scale. As a representative of the State Department, Ms. Shah frequently speaks at international conferences focused on anti-corruption, ethics, and integrity, promoting U.S. Government objectives and fostering global collaboration #GWIC is proud to announce that it has been nominated for the #WomenInPodcastAwards.  This is a people's choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164 Resources Join the Great Women in Compliance community on LinkedIn here.

In today's episode, Lisa Fine speaks with Jane Norberg, a partner at Arnold & Porter. Jane is also the former Chief of the Office of the Whistleblower at the SEC, and she is one of the people who built that office into what it is today, both as Chief and before that, Deputy Chief. She is one of the leading voices on the whistleblower process, and an advisor to organizations in building best practices for organizations to address concerns. In March, Deputy Attorney General Lisa Monaco announced a pilot program to compensate whistleblowers who report “significant corporate or financial misconduct” of which the DOJ was not aware. Jane talks about the SEC program and how it has succeeded. She also explains the similarities and differences between the not-yet-enacted DOJ program and the SEC program. Jane provides her perspective and insight as to why she thinks there is a delay from the DOJ as the initial 90 days have passed and how funding, staffing and other factors may contribute. Jane and Lisa also discuss the SEC reporting process, how tips come in globally from over 100 countries, and the importance of the Whistleblower program to deter and stop wrongdoing. This goes along with the statistics that indicate that 80% of whistleblowers raise concerns internally, most frequently to the person's manager, not to the Ethics and Compliance teams or the helplines. To that end, Jane provides practical advice to make sure that E&C teams are providing the right training for managers to identify issues and raise them appropriately. Supporting ethical decision-making is critical for every organization, but providing training to those who may have concerns is a key component of that. While practitioners think about this for company culture, Jane provides insight on the larger picture of how our internal work is related to the larger scope of whistleblower reporting. Topics Include: Jane's integral role as Chief of the SEC Office of the Whistleblower The DOJ pilot whistleblower program and the SEC program and the distinctions Global Impact of the SEC Whistleblower Program Practical advice for E&C professionals building and managing hotlines Resources: Join the Great Women in Compliance community on LinkedIn here.

While marketing professionals typically operate “behind the curtain,” Amy Hanan is taking center stage these days. As a chief marketing officer for LRN, she's recently been a keynote speaker at a headline session for a major compliance event and is traveling the globe leading roundtables that connect top compliance & ethics professionals with the latest research trends. Hanan's career path has included the Associated Press (when the internet was in its infancy), along with B2B and legal marketing positions when marketing automation technology was brand new. Honing her professional skills – and her people skills – along the way, Hanan has blazed a trail in a niche where her passion for compliance and ethics serves her well. Listen in as she talks about the things she's learned along the way.  Highlights: ·      How raising your hand can change the trajectory of your career ·      The value of “relentless curiosity” in both life and work  ·      Curating a leadership style ·      Learning from mistakes – and the power of exercise, tea & fuzzy socks Resources Join the Great Women in Compliance community on LinkedIn here.

In this episode of Great Women in Compliance, Hemma visits with Erica Salmon Byrne, Chief Strategy Officer and Executive Chair of Ethisphere. Having long admired Ethisphere for its commitment to advancing business integrity in a meaningful way, Hemma invites Erica to share how her organization backs that up with research, data from industry benchmarking and culture assessments, and the creation of a strong compliance community. Erica shares her ethics and compliance origin story and critical insights on building a legacy of ethical value and business integrity. Highlights include the compliance value creation story and how not to be merely a cost center, how to stay outcome-driven rather than activity-based, what we can learn from decades of data on measuring culture, the crucial role of managers in ethics and compliance, the meaning of an employee-centered approach and treating employees as tangible assets, and the power of community in compliance. Erica is the Chief Strategy Officer and Executive Chair for Ethisphere, the global leader in defining and advancing the standards of ethical business practices that fuel corporate character, marketplace trust, and business success. In this role, Ms. Salmon Byrne oversees product strategy and M&A initiatives for the company while advancing Ethisphere's founding ethos—that businesses that focus on the long term, commit to doing business with integrity, and invest in their stakeholder communities will outperform their peers. Erica is also the Chair of the Business Ethics Leadership Alliance (BELA), where she works with the BELA community to advance dialogue, collaboration, and best practices around ethics and governance. Over her tenure at Ethisphere, Erica has held several roles, including overseeing Ethisphere's products and solutions, including data-driven program assessments; The Sphere, which offers benchmarking against peers and best practices, along with expertise and related regulatory guidance; ethical culture assessments; and the World's Most Ethical Companies. To learn more about Ethisphere's work, visit www.ethisphere.com A prolific public speaker, Erica is known throughout the ethics and compliance industry as a leader, educator, and advocate for ESG, values-based leadership, and business integrity. In 2022, she was recognized as a Modern Governance 100 Leader by governance firm Diligent. Erica has been featured in the Wall Street Journal, The Washington Post, Fast Company, Forbes, SXSW, and various ethics and compliance publications and podcasts. You can join the LinkedIn podcast community. Join the Great Women in Compliance podcast community here. Resource: 2024 Ethical Culture Report: Closing the Speak Up Gap

Welcome to the Great Women in Compliance podcast on the Compliance Podcast Network, sponsored by Corporate Compliance Insights.  One of the themes amongst Ethics and Compliance professionals is about how we “fell into compliance.”  Once that happens, how do we learn the skills we need.  In this episode, Lisa and Sarah Hadden are talking about advanced compliance studies.  Their guests are Barbara-Ann Boehler, Senior Director, Compliance & Ethics at Fordham Law and Cindy Marsh, who is a Senior Manager, Global Trade and Compliance at Victaulic, and received her Masters in Studies of Law in Corporate Ethics and Compliance in 2022 from Fordham. Barbara talks about her experience leading the program, as well as being a faculty member, and how they put together and structure this program.  Cindy enrolled at Fordham to grow her expertise from trade sanctions work into compliance, and talks about her ongoing relationship with peers and how these are built.   The group also talks about all of the other resources for compliance learning if an advanced degree program is not the right path, and how the ethics and compliance community has so many avenues for learning and networking. Cindy is also an experienced improv performer, and she also leads a program to bring improv to corporate settings.  Lisa has just started to do improv, so that was an unexpected and shared part of the episode. Topics include: ·       Different types of continuing education programs to learn ethics and compliance ·       The benefits of getting an advanced compliance degree and the types of programs ·       The community and network that can be built through compliance education programs ·       The impact of continuing compliance education You can join in the LinkedIn podcast community Join the Great Women in Compliance podcast community here.

Welcome to the Great Women in Compliance podcast on the Compliance Podcast Network, sponsored by Corporate Compliance Insights.  In today's episode, we have a special episode, which is cross-posted with Everything Compliance, which we call Ladies Night: Exploring Compliance in All-Female Podcast Takeover. In this special Ladies Night edition of the Everything Compliance Podcast, guest host Christy Grant Hart is joined by notable women in compliance as guest panelists,  Karen Woody, Karen Moore, Lisa Fine, and Hema Lomax for an in-depth discussion. Topics covered include the complexities of Caremark duties and its recent interpretations, Boeing's ongoing compliance issues, the implications of the Mike Lynch acquittal on due diligence, and ways to enhance the effectiveness of compliance training. The episode wraps up with each guest sharing their rants or raves, offering insights and reflections on the state of compliance today. Highlights Include ·      Karen Woody on Caremark Duties Explained ·      Karen Moore on Boeing's Compliance Issues ·      Lisa Fine on  the Mike Lynch acquittal and HP's Acquisition of Autonomy ·      Hemma Lomax on Effective Compliance Training ·      Rants and Raves You can join in the LinkedIn podcast community Join the Great Women in Compliance podcast community here.

In this episode of the Great Women in Compliance podcast, Hemma and Ellen host a roundtable with Hope Anderson, a partner in White & Case's Data, Privacy & Cybersecurity Practice, and Jean Liu, Assistant General Counsel, Privacy, Safety, and Regulatory Affairs who joined Microsoft in 2023 as part of the Nuance Communications, Inc. acquisition.    Together, Hope and Jean have a wealth of experience advising on privacy, AI, and data governance compliance issues and they are well positioned to leverage this experience in the wake of a rapidly evolving regulatory landscape. Hemma and Ellen didn't waste a minute mining these two experts for practical tips and recommendations for those of us looking to get smart quick and grapple with what seems like a behemoth task of keeping up with developments in the technology and the legislation, while at the same time, making sure we don't get left behind in learning to leverage AI in our own functions. Join us for an engaging ride through the ups and downs of privacy and AI compliance, and be inspired as we were by the great opportunities to develop new and exciting use cases while mitigating risk and the chance to unlock the power of responsible and ethical AI for our businesses.  Key Highlights Getting up to speed with rapidly evolving regulatory landscape The role of AI principles vs policies and procedures Human Rights, Bias, and AI Keeping the “Human in the Loop” Thoughts on a US Federal AI or Privacy Law Leveraging AI for Ethics and Compliance Key resources and recommendations Resources Join the Great Women in Compliance community on LinkedIn here.

Welcome to the Great Women in Compliance podcast on the Compliance Podcast Network, sponsored by Corporate Compliance Insights.  In today's episode, Lisa speaks with Beth Colling, who is Senior Vice President, Chief Compliance Officer at CDM Smith.    Beth has joined organizations after they had to address a significant regulatory change or investigation, and she worked to operationalize a compliance program and then maintain it.  Lisa and Beth specifically talk about how, as issues inevitably arise, compliance officers will get the resources they need to make and implement changes, but over time, memories fade and the attention and resources may diminish.  Beth provides her insight on this. Beth has a unique way to evaluate her work and her program, by “firing herself” on a Friday, and re-hiring herself on Monday with the intent of looking at the program with new eyes.  After the past several years, with the pandemic and hybrid work, this review became even more relevant.  This leads to a talk about “common sense” not just within a compliance program, but in terms of personal responsibility and also how employees rationalize bad behavior. One of Beth (and Lisa's) childhood heroes was “Wonder Woman” and Beth may actually be Wonder Woman.  Outside her work, she coaches young adults to enjoy running, and by the end of 2024 she will have completed 5 of the 6 “World Marathon Majors.”   You can join in the LinkedIn podcast community Join the Great Women in Compliance podcast community here.

Welcome to the Great Women in Compliance podcast on the Compliance Podcast Network, sponsored by Corporate Compliance Insights. In today's episode, Lisa and Ellen Hunt are speaking with Melanie Sponholz and Margarita Deleranko, Senior Director of Compliance, Ivy Rehab Network about mentor/mentee relationships.  In this episode, the group discusses various aspects of mentoring, from how to choose a mentor to how to build the relationship. They also discuss how this is a 2-way street and how both mentors and mentees learn from one another. Mel and Margarita have an established mentoring relationship, and they talk about their experiences with one another and what they see as successes and pitfalls. They discuss the importance of having an authentic connection between the two individuals. A mentor can provide critical support and guidance through one's career and this episode can help those looking for mentors, and how you can maximize this relationship, whether you are the mentor or mentee.   Topics include: How being curious is a critical skill for a mentor The importance of being open and vulnerable How to reach out and make an initial connection with a potential mentor Mentor/mentee relationships take many different forms Practical tips for mentors and mentees You can join in the LinkedIn podcast community Join the Great Women in Compliance podcast community here.