The Compliance Life

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Stephen Martin, CCO at Skillsoft, on his path to the CCO Chair.  In this concluding episode, he moves into the CCO Chair at Skillsoft. He talks about his current role and the challenges of bringing a compliance program to a compliance product and services organization. He reflects on some key lessons he learned throughout his career leading up to the CCO role. He concludes by looking down the road at where the CCO and the compliance profession will be in 2030.    Resources Stephen Martin LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Stephen Martin, CCO at Skillsoft on his path to the CCO Chair.  From the corporate world, Martin moves to the compliance consulting world, first at Baker & McKenzie and later moving to StoneTurn. Martin literally traveled the globe (multiple times) both investigating allegations of bribery and corruption and building out best practices compliance programs. He also began teaching a compliance course at the University of Denver and reflects on lessons from that experience. He concludes by talking about the need for a personal brand and how he created one.  Resources Stephen Martin LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Stephen Martin, CCO at Skillsoft on his path to the CCO Chair.  From the federal government Martin went on work at three of the most troubled companies in the first decade of the new century; WorldCom, Quest and Adelphia. Martin has some wild stories about his work to under cover corporate fraud at WorldCom, working to remediate a corrupt organization while at Quest and negotiating to same Adelphia with the DOJ.  Resources Stephen Martin LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Stephen Martin, CCO at Skillsoft on his path to the CCO Chair.  Stephen received his undergrad degree from Creighton University, his law degree from the University of Denver and a LLM from Georgetown. He began his career at the state of Missouri's Attorney General audiences where he handled both trial and appellate work. He moved from there to the Department of Justice under the Clinton administration. Working at both state and federal levels gave him great practical hands-on experience in the courtroom and Court of Appeals.  Resources Stephen Martin LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Bridget Abraham, CCO at Remitly, who had a decidedly non-traditional path to the CCO Chair.  In this concluding episode, Bridget reflected on her non-traditional path to the CCO chair. She also discussed the compliance challenges of moving money around the globe and doing so with less friction. She recalled some of the key mentors who had helped her career path and concluded with thoughts on how and why a corporate compliance programs needs to use data to tell its story.   Resources Bridget Abraham LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Bridget Abraham, CCO at Remitly, who had a decidedly non-traditional path to the CCO Chair.  From Western Union, Bridget moved to the CCO Chair at Remitly, a remittance payment company. She discussed the mission driven approach of Remitly to do the right thing. She talked about some of her early challenges and how she was able to leverage her economics background into a full compliance program.  Some of the challenges she faced included scaling up the compliance program and moving into new markets.  Resources Bridget Abraham LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Bridget Abraham, CCO at Remitly, who had a decidedly non-traditional path to the CCO Chair. Episode 2- The Fed From the Federal Reserve, Bridget then moved into the consulting world, starting a Bearing Point and then Deloitte. From there she moved into the realm of compliance starting in the financial world at Citibank working in Compliance Analytics and Assessments. The banking world was in the transition from a manual approach to compliance into more of a tech solution option. She then moved to Western Union, first as Vice President of Global Compliance Programs then moving to Deputy Chief Compliance Officer, where her role was much broader than her prior focus on data and data analytics.  Resources Bridget Abraham LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Bridget Abraham, CCO at Remitly, who had a decidedly non-traditional path to the CCO Chair. Bridget was the first member of her family to go to college. She got a degree in Economics from Colorado State University and then obtained a Master Degree, also in Economics. Her Master's degree focused agricultural economics, which was really about sustainability, the environment that had the impact that it had in small rural America, and research focusing on the economics of small business and the importance of agriculture in those communities. After a brief stop in NYC, Bridget went to work at the Federal Reserve Bank where she presented her research at various forums. She began her career with the Federal Reserve Bank working on economic research, later moving into more of a banking supervision role. She dealt with compliance with the Patriot Act and the Bank Secrecy Act. Resources Bridget Abraham LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Maria D'Avanzo. We discuss Maria's journey from a real estate and small business lawyer to compliance, then CCO chair, and now as the Chief Evangelist Officer at Traliant.  In this concluding episode, Maria discussed how she used the tools and skills she learned to move to a Traliant, where she is well positioned to help compliance professionals gain insights into their programs and help them better appreciated how Traliant can support their efforts. She is working with  with Traliant's executive team as we not only develop new products but also enhance our existing offerings by listening tours with customers,  customer advisory councils and expounding on training's role in speak-up culture. Resources Maria D'Avanzo LinkedIn Profile Traliant.com Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Maria D'Avanzo, and discuss Maria's journey from a real estate and probate lawyer to compliance, then CCO chair, and now as the Chief Evangelist Officer at Traliant. After 2.5 years at AIG, Maria moved to Cushman & Wakefield, where she became the Chief Ethics and Compliance Officer and Chief Data Privacy Officer. In this role, she led an innovative and commercially focused global compliance and privacy team to support the ethical decision-making and risk management needs of Cushman & Wakefield, a global leader in commercial real estate services with 53,000+ employees worldwide, where she learned that compliance is one of the hardest jobs (if not the hardest) in any company. To be effective, employees need to know who you are, trust and have faith in you, and see your "human side." One of Cushman & Wakefield's CEOs taught me that the best way to accomplish this is to go to where the employees are and listen to them over a cup of coffee. Resources Maria D'Avanzo LinkedIn Profile Traliant.com Learn more about your ad choices. Visit megaphone.fm/adchoices

 The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Maria D'Avanzo. We discuss Maria's journey from a real estate and probate lawyer to compliance, then CCO chair, and now as the Chief Evangelist Officer at Traliant.   The 2008 financial crisis caused a downturn in real estate work, so Maria sold her law practice. This precipitated her move into the compliance field. Maria began her first compliance role at a real estate-focused private equity shop. She registered investment adviser and broker-dealer entities and obtained series 7, 63, and 24 licenses. After four years, Maria moved to Deputy Chief Compliance Officer at AIG Asset Management, where she led a team of compliance professionals handling regulatory compliance matters on behalf of registered investment advisers and broker-dealer entities in North America. Resources Maria D'Avanzo LinkedIn Profile Traliant.com Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Maria D'Avanzo. We discuss Maria's journey from a real estate and probate lawyer to compliance,  then CCO chair, and now as the Chief Evangelist Officer at Traliant.  Maria attended the College of the Holy Cross and St. John's University School of Law. Her early professional career included working at a boutique litigation shop in White Plains, NY, defending mass tort litigations involving repetitive stress injury claims. She then moved to a small insurance defense firm also, White Plains. From there, she and her husband founded a small law practice focusing on real estate and small business transactions.  Resources Maria D'Avanzo LinkedIn Profile Traliant.com Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I am joined by Scott Garland, Managing Director at AMI. Scott came to AMI from the DOJ, where he held the role of Professional Responsibility Officer. As he described, it was akin to a CCO role for the US Attorney's Office for Massachusetts. Some of the key lessons Garland learned in the role of Professional Responsibility Officer, which apply to the skill set needed to be a CCO, include; (1) Always do the right thing, but it is not always obvious what that is; (2) the issue you are presented might not be the real issue, or the sole real issue, (3) being calm and nonjudgmental helps people open up, (4) try and balance analysis with action, pragmatism with principles, using tenets of risk management, (5) craft advice that is simple, clear, and unambiguous. (6)Do not just say what not to do; also say what to do and when to come back for more help, (7)  admit mistakes as soon as possible, and (8) good people make mistakes. Most people will forgive a mistake if done unintentionally; you are forthright about it and try to fix it. Garland recently joined Affiliated Monitors, Inc. as Managing Director – Sanctions, Cyber, Fraud, and Ethics Compliance & Monitoring. One of the reasons he did so was to help companies strengthen their compliance operations in these areas in a couple of areas. The first is before the government comes knocking by proactively assessing a company's compliance operations and ethical culture and recommending improvements. The second is after the government knocks, acting as an independent monitor of the company's compliance with a plea agreement, settlement agreement, consent decree, court or administrative order; emphasize not playing gotcha or playing the blame game, but rather with helping the company improve through lasting change. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I am joined by Scott Garland, Managing Director at AMI. Scott came to AMI from the DOJ, where he held the role of Professional Responsibility Officer. As he described, it was akin to a CCO role for the US Attorney's Office for Massachusetts. It was at the US Attorney's Office for the District of Massachusetts where Garland moved into the Professional Responsibility Officer role. In this role, he was the Office's primary expert on legal ethics, but his remit extended to constitutional issues and DOJ regulations. Some typical issues he dealt with included conflicts of interest, allegations/findings of lawyer misconduct, dealing with represented parties, handling confidential or privileged information, and liaising with oversight agencies. Resources Scott Garland's Profile on AMI Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I am joined by Scott Garland, Managing Director at AMI. Scott came to AMI from the DOJ, where he held the role of Professional Responsibility Officer. As he described, it was akin to a CCO role for the US Attorney's Office for Massachusetts. With a knack for understanding technology, relating it to legal issues, and translating it for lawyers, judges, and juries, Garland went to the DOJ, working at Main Justice in Computer Crime & Intellectual Property Section in DC. His work there included criminal investigations and trials, policy analysis, and drafting manuals. From that position, he moved to Boston to the US Attorney's Office for the District of Massachusetts. He began in the Cybercrime Unit, then National Security Unit, eventually becoming NSU's Deputy Chief, then Acting Chief of the Unit. Along the way, he picked up a variety of advisory responsibilities: identity theft coordinator, committee on dealing with cooperating witnesses, and grand jury supervisor. Resources Scott Garland's Profile on AMI Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I am joined by Scott Garland, Managing Director at AMI. Scott came to AMI from the DOJ, where he held the role of Professional Responsibility Officer. As he described, it was akin to a CCO role for the US Attorney's Office for Massachusetts. Garland's Bachelor's Degree was more analytical than most CCO types as he entered MIT to major in software engineering and graduated with a B.Sc. in Economics. After college, he worked as a statistical research associate at a consulting company. He decided he wanted to bridge analysis to policy, so he went to the University of Michigan Law School for his law school degree. He then held a federal judicial clerkship and worked at two mid-sized law firms, practicing white-collar criminal defense and some litigation, including constitutional law. Resources Scott Garland's Profile on AMI Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc. In this concluding episode, Burke looks down the road for compliance in the following areas. Data privacy and trade compliance take center stage. How the new ownership model provided by Private Equity provides challenges and opportunities. The long, slow march to ethics and tone.  How do we inspire through influence through the teaching of compliance? Resources Joe Burke LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc. Burke continues his roles at Dell, doing global audits and Investigations. He also worked his  legal role to drive change in compliance. In 2017, he left Dell to move to the spin-off of Quest Software Inc. and a new role as Chief ethics and Compliance Officer. In this role he literally created a new compliance regime and worked with the Private Equity owners to bring about change at Quest in the area of compliance.  Resources Joe Burke LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc. From Kentucky Fried Chicken in Louisville, Joe moved to Round Rock TX to work at Dell Inc. He began in Federal Government Sales where he developed a compliance program for GSA and TAA work for  Dell Federal. He moved into compliance with the “big switch” from commercial legal to Chief Compliance Counsel. In this role, he was instrumental in building a new FCPA program using the Federal Sentencing Guidelines as a guideline.  Resources Joe Burke LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Joe Burke, most recently the Chief Ethics & Compliance Officer and Employment Counsel, Quest Software Inc. Episode 1- College & Early Career Joe discusses his early life and going to college at UVA with a degree in history and French and then law school at Fordham. He began his legal career at Donovan, Leisure in NYC. From there, he transition to PepsiCo, Inc. working in the Kentucky Fried Chicken sub in Louisville KY and learned about the franchising world. He has some interesting observations on culture in the franchisor/franchisee relationship. He discusses how all of these institutions impacted his career going forward.   Resources Joe Burke LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to successfully navigate the compliance waters in any company? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I take things in a different direction as I host my first non-CCO compliance professional, Joya Williams, and detail her journey in compliance. In this concluding episode, Joya discusses why she is so passionate about Compliance and the opportunities now open for someone to get into the compliance field that were not as prevalent when she began. She provides advice for someone who wants to get into compliance but does not have an advanced degree. (Hint: the key is networking) She concludes with her tenure as President of the Greater Houston Business and Ethics Roundtable, her role as President, and compliance down the road. Resources  Joya William LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I take things in a different direction as I host my first non-CCO compliance professional, Joya Williams and detail her journey in compliance. Joya discusses her move to Shell to her now current role at Chevron Phillips Chemical Company as a Compliance Specialist, then onto Shell Oil Company and her current position at Applied Materials.  She discusses her own professional growth and details some of the key relationships she had at each organization and how those relationships continue to bear fruit in her compliance work up through today. She also details some of the key lessons learned at each stop. She discusses getting her MA Resources  Joya William LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I take things in a different direction as I host my first non-CCO compliance professional, Joya Williams and detail her journey in compliance.  Episode 2- Moving Up the Ranks Joya moved from Baker Hughes to Weatherford and then Transocean where she held different compliance roles which brought depth and scope to her compliance resume. She details some of the key relationships she had at each organization and how those relationships continue to bear fruit in her compliance work up through today. She also details some of the key lessons learned at each stop. She discusses getter her BA and being an Adjunct Professor at San Jacinto College in Pasadena TX.  Resources  Joya William LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, I take things in a different direction as I host my first non-CCO compliance professional, Joya Williams and detail her journey in compliance. In Episode 1, we take a look at Joya's career leading to compliance. Joya started her work life as a legal secretary, working in the Houston legal community for many years. She moved into the corporate world, taking a corporate paralegal position inhouse with the Baker Hughes compliance function. At Baker Hughes, entered Center for Advanced Legal Studies paralegal program and attended classes at night to obtain her Associates Degree in Paralegal Studies.  Afterwards, she obtained her paralegal certification. She found her passion and it was compliance. Resources Joya William LinkedIn Profile Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Mark Beyer, the Ethics and Compliance Officer at Pedernales Electric Cooperative.  In this concluding episode, Beyer discusses his move to Pedernales Electric Cooperative, the largest electric distribution cooperative in the US. He moved to the role in no small part because of his love for the Texas Hill Country (much like the host Tom Fox-see The Hill Country Podcast).  In addition to moving into the CCO chair, Beyer found the risks in such a non-profit electric cooperative very different than a publicly traded for profit enterprise. Beyer has also continued to expand his Compliance Toolkit while sitting in the CCO chair.  Tool No. 11 was the lesson that the CCO could not, should not and did not do everything in the compliance arena. The ‘who' of doing it is quite important. The company's customers are a rural base in the Hill Country of Texas and relationships are very important.  Tool No. 12 was expanding his compliance remit to include privacy. Simply because you are a US centric business, does not mean privacy rights do not exist. While they may not rise to the level of GDPR, they exist even in Texas. Resources Mark Beyer LinkedIn Profile Pedernales Electric Cooperative Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Mark Beyer, the Ethics and Compliance Officer at Pedernales Electric Cooperative. Beyer's next move took him to LivaNova, a medical device manufacturer, a publicly traded UK company. At LivaNova, Beyer became the head of Ethics and Compliance for North America where he oversaw all aspects of compliance for North America. He also made several additions to his Compliance Toolkit while at LivaNova. Tool No. 7 was Beyer broadening out his approach to compliance and ethics at a company to a much more holistic approach.  Tool No. 8 was the exposure that Beyer had with the LivaNova C-Suite. Through these interactions he learned to work senior management in a reporting role but also to help educate the C-Suite on their role in a compliance program. Tool No. 9 was working with corporate legal. In these interactions, Beyer learned the importance of a separate legal and compliance function. Tool No. 10 was creativity. Here Beyer was mentored by another compliance legendary CCO, High Bigwood. Bigwood was one of the first CCOs to focus on the behavioral sciences for compliance and in compliance programs. He also expanded his views on the marketing of compliance internally. Resources Mark Beyer LinkedIn Profile Pedernales Electric Cooperative Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Mark Beyer, the Ethics and Compliance Officer at Pedernales Electric Cooperative.  From Lockheed Martin, Beyer moved into the energy space to the oilfield services company Baker Hughes. There he worked under Trade Compliance Director Ellen Smith (check out Ellen's story from December 2021 on The Compliance Life). He also improved his Compliance Toolkit at Baker Hughes.  Tool No. 5 was learning about compliance program building. A compliance program is far beyond rules, documents and organization. It is business process designed to operationalize compliance. He also learned how to message compliance into the front lines of business.  Tool. No. 6 allowed Beyer to expand the scope of his compliance knowledge, through learning about anti-corruption compliance. Here Beyer worked under At Baker he worked under CCO legend Jay Martin, who was known for his best practices compliance programs. Resources Mark Beyer LinkedIn Profile Pedernales Electric Cooperative Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Mark Beyer, the Ethics and Compliance Officer at Pedernales Electric Cooperative.  Mark graduated from Texas State University with a degree in business economics. He began work in international operations at Lockheed Martin where he work in aerospace and government contracts. At Lockheed he began to learn a series of lessons and develop skills for what he calls his ‘Compliance Toolbox'. He learned several of these skills at Lockheed.   Tool No. 1 was collaboration, which he learned from his mentor at Lockheed, Steve Engle. Through this process, Beyer learned that titles and degrees matter less than good ideas and willingness to join in problem solving.  Tool No. 2 was learned through becoming certified in Lean Six Sigma and it helped Beyer learn process management and overseeing such project.  Tool No. 3 was the role of compliance and why having a seat at the table is so critical.  Tool No. 4 was the international experience he learned at Lockheed by traveling for his work and learning about other cultures.  Resources Mark Beyer LinkedIn Profile Pedernales Electric Cooperative Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Susan Divers, currently Director of Thought Leadership at LRN.  Episode 4- To Compliance Thought Leader In this concluding episode, Susan discusses her failed retirement from AECOM and how LRN found her. She took from AECOM an interest in what works in an effective compliance and ethics program. She discussed the values that LRN espouses for compliance and ethics programs and how that dovetails with her experiences as a CECO. She discussed company's which put their values into action during the pandemic. We concluded with Susan looking down the road at the role of the CCO and corporate compliance function and the intersection of compliance and ESG.  Resources  Susan Divers LinkedIn Profile LRN Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Susan Divers, currently Director of Thought Leadership at LRN.  In 2009, Susan moved into the CECO chair at AECOM. She became the Senior Corporate Vice President, Chief Ethics and Compliance Officer & Associate General at AECOM. In this role she built out a compliance program across the globe for an international infrastructure construction company and built out her compliance team. She learned that to engage employees in compliance and ethics you often needed to explain the ‘why' of compliance. She talked about the values of senior leadership and how that helped infuse compliance throughout the organization. She was particularly proud of the company receiving a World's Most Ethical designation early in her tenure and then for five consecutive years.  Resources  Susan Divers LinkedIn Profile LRN Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Susan Divers, currently Director of Thought Leadership at LRN.  In 1994,  Susan moved in-house becoming the first Deputy GC for international at SAIC.  In this role she set up compliance programs for ABC, trade controls and investigations as SAIC did not have a dedicated CECO at that time. She traveled extensively internationally and had experience with the Overseas Private Investment Company after the SAIC joint venture was nationalized by Chavez in Venezuela. After a brief stop at Lockheed Martin, Susan moved to the Chief Ethics and Compliance (CECO) role at AECOM.  Resources  Susan Divers LinkedIn Profile LRN Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to navigate any company's compliance waters successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Susan Divers, currently Director of Thought Leadership at LRN.  Susan graduated from George Washington University at night while working at the State Department during the day. Her legal career began Office of the Legal Advisor at the State Department and continued in London with two large law firms. I moved back to Washington, entered private practice, working first with Bob Strauss at Akin Gump and then moving over to Sonnenshien's DC office, where she became a partner. Resources  Susan Divers LinkedIn Profile LRN Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Audrey Harris, who handled FCPA cases prior the explosion of FCPA enforcement actions in the early 2000's, sat in the CCO Chair, led compliance program work back in private practice and now is Managing Director for Global Anti-corruption, Compliance, Ethics & Non-Financial Risk at Affiliated Monitors Inc.  In this concluding episode, Audrey reflects on a key lesson which led her to join AMI. It is that an external monitor can be  a Value-Add proposition for all-sides, Company Business, Company Compliance, External Counsel, Enforcement/Regulators and other Stakeholders. It is not a second investigation, nor should it be seen as a “gotcha”. Rather a monitor can present  a path that can protect stakeholder and grow business, especially in this time of heightened awareness to social license and reputational risk. Audrey concludes that she loves the concept of turning a challenge into an opportunity and working at AMI on a monitorship team provides that opportunity.  Resources  Audrey Harris on LinkedIn Audrey Harris on Affiliated Monitors, Inc. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Audrey Harris, who handled FCPA cases prior the explosion of FCPA enforcement actions in the early 2000's, sat in the CCO Chair, led compliance program work back in private practice and now is Managing Director for Global Anti-corruption, Compliance, Ethics & Non-Financial Risk at Affiliated Monitors Inc.  In 2018, Audrey moved back into private practice, utilizing many of the skill sets she learned in the CCO chair. She understood that the business folks in any company needed answers not legal Memos so she worked to create compliance programs tailored to how business works. She helped to identify emerging risks company's did not see and helped not simply solve compliance issues but also solve business problems with the same or similar solutions.  Resources  Audrey Harris on LinkedIn Audrey Harris on Affiliated Monitors, Inc. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Audrey Harris, who handled FCPA cases prior the explosion of FCPA enforcement actions in the early 2000's, sat in the CCO Chair, led compliance program work back in private practice and now is Managing Director for Global Anti-corruption, Compliance, Ethics & Non-Financial Risk at Affiliated Monitors Inc.  Even though Audrey had seen numerous CCOs ‘die painful professional deaths' in 2015,  Audrey moved into the CCO Chairs at BHP. She gave the Top 10 CCO lessons she learned in that role. When asked what her top accomplishment was, she answered that it was seeing the professional growth in her team and how this compliance team grew and led a compliance reset for the company. She also learned to make the commercial case for compliance.  Resources  Audrey Harris on LinkedIn Audrey Harris on Affiliated Monitors, Inc. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Audrey Harris, who handled FCPA cases before the explosion of FCPA enforcement actions in the early 2000s, sat in the CCO Chair, led compliance program work back in private practice, and now as Managing Director for Global Anti-corruption, Compliance, Ethics & Non-Financial Risk at Affiliated Monitors Inc. Audrey graduated from Central Florida with a BA, got a MA at the University of Miami, and her law degree from Georgetown. A question about whether she wanted to go to South Beach when she was a summer clerk at Kirkland & Ellis led to FCPA work and eventual partnership at Kirkland. When she began, it was a different time in FCPA enforcement, pre-2004, and the explosion in FCPA growth. In this role, she loved problem-solving and seeing patterns, and asking why (and why and why). Resources  Audrey Harris on LinkedIn Audrey Harris on Affiliated Monitors, Inc. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Ellen Smith, who has sat in the chair of a Director of Trade Compliance.  In this concluding episode, Ellen reflects on leaving her trade compliance chair at Baker Hughes during the pandemic and setting up her own consulting company, Amalie Trade Compliance Consulting. She discusses building up her own business and how she was able to reconnect with many people she developed relationships with at all the stages of her career. She emphasized why building your network is so critical and how to use if you move into consulting. She talks about the challenges and rewards of a consulting practice.  Rather than a favorite adopted saying to conclude this series, Ellen talks about the presence of Jay Martin and how his presence added to the ethical culture at Baker Hughes.  Resources  Ellen Smith LinkedIn Profile Amalie Trade Compliance Consulting Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Ellen Smith, who has sat in the chair of a Director of Trade Compliance.   In late 2013, Ellen met Jay Martin, CCO at Baker Hughes who convinced her to move to Baker Hughes to help rationalize and rebuild/rebrand the Trade Compliance Department. While at Baker, Ellen had the opportunity to rebuild the trade program 3 or 4 times. The first, when she joined Baker. A second time, when Baker was considering a possible merger with Halliburton. A third time after a merger with GE Oil & Gas as we were a GE company. The fourth and final time came after post separation from GE. The biggest change in this job was that Jay Martin had established a culture of compliance throughout the organization. Favorite adopted sayings ‘what you see is what you get' 'Arm-in-arm' Resources  Ellen Smith LinkedIn Profile Amalie Trade Compliance Consulting Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Ellen Smith, who has sat in the chair of a Director of Trade Compliance.  In 2002,  took her my first in-house job at Jockey International – the underwear company. It was a private company, family business, with a small legal department but with tremendous brand recognition and international footprint. Participated in a U.S. Focused Assessment, an early member of CTPAT validation, and a very intense customs valuation investigation and appeal by the CBSA, the Canada Customs authorities. In early 2010, she moved to Texas and joined Billy Jacobsen and Natalia Shehadeh at Weatherford, which was going through an investigation for export violations and bribery allegations. Favorite adopted sayings From Jockey– 'life is like underwear, change is good' From Mark Jaeger "perhaps" Resources  Ellen Smith LinkedIn Profile Amalie Trade Compliance Consulting Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Ellen Smith, who has sat in the chair of a Director of Trade Compliance.  Ellen graduated from Dickinson College in central Pennsylvania in 1989 with a double major in Political Science and International Policy & Management Studies, spending her junior year abroad in Bologna, Italy.  Her first job was  at a family-owned freight forwarding company. After a couple of years, she started night law school in NYC, eventually graduating from John Marshall Law School. Ellen started her family and then moved into the law firm world, starting at a plaintiff's med mal firm where she learned how to strategically work through a case in a team. Eventually, Ellen switched practice focus back to her trade roots and went to a boutique International Trade firm in Chicago, where she got her feet wet in the International Trade legal space working on many different customs and export issues. Favorite Adopted Saying Patrick Salvi-"In all due respect..." Resources  Ellen Smith LinkedIn Profile Amalie Trade Compliance Consulting Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Valerie Charles, partner at StoneTurn. We discuss Valerie's journey to the CCO chair, then to a ComTech start up, to her current role at StoneTurn and look down the road at where ComTech and compliance will be in 2025 and beyond. In this concluding episode, Valerie looks down the road at the compliance function. She believes there will be increased use of ComTech by compliance functions. Moreover, CCOs and compliance professionals will need learn how to use data and become more comfortable in leveraging data for insights to help prevent, detect and remediate corporate conduct. The corporate compliance function will become even more important in the corporate setting as it will bring together various corporate functions such as legal, HR and IT into collaborative actions. Resources Valerie Charles LinkedIn Profile Valerie Charles at StoneTurn Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Valerie Charles, partner at StoneTurn. We discuss Valerie's journey to the CCO chair, then to a ComTech start up, to her current role at StoneTurn and look down the road at where ComTech and compliance will be in 2025 and beyond.  From Gan Integrity, Valerie moved to StoneTurn where she saw an opportunity to leverage all the skill sets she had developed in her professional career or as she said “use all the tools in my toolbox”. In her work she is able to combine using data to provide insights into the continuous improvement of corporate compliance programs, such as using HR data together with traditional compliance data to prevent compliance violations before they arise. Resources Valerie Charles LinkedIn Profile Valerie Charles at StoneTurn Learn more about your ad choices. Visit megaphone.fm/adchoices