Lucy is the CEO/Chief Compliance Officer for S.H.I. Management - Structured Healthcare Information Management, LLC. She is a Military spouse, whose husband is an Army Veteran that struggled for years trying to get his VA Disability Benefits. She helped her husband understand each diagnosis in his records and appeal his denial which resulted in a reversal of getting his VA benefits. She is a Licensed Occupational Therapy Healthcare Practitioner for the past 14 years. and holds professional licenses in the state of Texas and Florida. she also has a B.S. in Health Information Management with over 14 years of experience in Clinical Documentation Auditing and Reviewing, and Revenue Cycle Management in the following settings: Outpatient, Ambulatory Care, Skilled Rehabilitation Services including Physical Therapy, Occupational Therapy, Speech Therapy, Geriatric, Pediatric Home Health, and Pediatric Services. I have provided Clinical Services in a variety of healthcare settings including Acute Care, Long-Term Acute Care, Pediatric Long-Term Acute Care, Skilled Nursing Facilities, Geriatric and Pediatric Home Health. S.H.I.' Management is a medical billing, medical coding, and medical records company that also provides medical record summaries and analysis to Transitioning Service Members, Medically Discharged Veterans and Veterans who are struggling to get approved for a V.A.Disability Rating. We request your medical records and break them down into layman's terms for people who struggle to understand medical terminology. Our vision and mission are to use a triple-check system to ensure that we have accurate and precise information in medical records and that every veteran, business, and consumer understands the role and importance of a medical record. We can be found on all of the social media platforms: Twitter, Linkedin, Facebook, and Instagram @ shimanagement, on our website @ https://www.shimanagement.net https://spouse-ly.com/store/SHI-managementSupport the show
Over the last few years, federal regulators have provided detailed guidance on what they expect to see in E&C programs when it comes to misconduct inquiries or investigations. What do these recent reports, policies, and guidance mean for compliance professionals? In this episode of the Principled Podcast, LRN Director of Thought Leadership and Best Practices Susan Divers is joined by Jon Drimmer, a partner at the law firm Paul Hastings. Listen in as the two discuss the recent guidance from the US Department of Justice as well as DOJ policy impacting corporate compliance programs and ethical culture. To learn more, download the 2022 Ethics & Compliance Program Effectiveness Report. Guest: Jon Drimmer Jonathan C. Drimmer is a partner in the Investigations and White Collar Defense practice and is based in the Washington, D.C. office of Paul Hastings. He resolves complex cross-border problems with the benefit of having sat in every chair at the table: senior legal officer for a global 500 company, federal prosecutor, and seasoned advocate. He is a recognized international expert on anticorruption and business and human rights, and is a frequent speaker, author, and commentator on issues related to both topics. Before joining Paul Hastings, he was Deputy General Counsel and Chief Compliance Officer of Barrick Gold, one of the world's largest mining companies, with operations on five continents. The compliance program he built at Barrick has served as an industry standard, and elements of it have largely been duplicated by numerous other companies inside and outside of the extractive sector. Mr. Drimmer has directed hundreds of investigations around the world related to anti-corruption, human rights, AML and export controls, tax controversies, environmental incidents, public disclosures, fatalities and health and safety injuries, sexual harassment and discrimination, and other areas. He has represented companies and individuals in numerous government enforcement proceedings in the U.S. and overseas, in relation to FCPA and bribery claims, human rights issues, and a wide array of other matters. He has participated in dozens of major disputes in the U.S., Canada, and abroad, including transnational torts, anti-corruption claims, environmental cases, international arbitrations, tax disputes, construction claims, and land controversies. He previously served in the Justice Department as Deputy Director of the Criminal Division's Office of Special Investigations, where he led cross-border investigations, first-chaired numerous prosecutions, and argued federal appeals. He was a partner at an Am Law 100 law firm in Washington, D.C., a former Bristow Fellow in the Office of the U.S. Solicitor General, and a judicial clerk on the U.S. Court of Appeals for the Ninth Circuit. Mr. Drimmer served on the board of directors of the Voluntary Principles on Security and Human Rights Initiative from 2012-2014, and again from 2015-2017. He served on the board of TRACE International from 2012 until 2018, and currently sits on the board of the TRACE Foundation. He has also taught international law courses at Georgetown University Law Center for nearly 20 years. Host: Susan Divers Susan Divers is the director of thought leadership and best practices with LRN Corporation. She brings 30+ years' accomplishments and experience in the ethics and compliance arena to LRN clients and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and sharing substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. For a transcript of this podcast, please visit the episode page at LRN.com.
By Adam Turteltaub Auditing and monitoring is a required element for an effective compliance program, but it also carries with it a host of benefits. In this podcast, Jessenia Cornejo (LinkedIn), Chief Compliance Officer for Bridge Diagnostics and Brittani Summers, Compliance Manager for Sprinter Health, outline all you can get from a robust auditing and monitoring program and how to create one. Benefits of a strong auditing and monitoring program include: Measuring the effectiveness of your compliance program Identifying criminal or malicious conduct Highlighting risk areas Accountability Transparency Continuous improvement (which the government is looking for these days) Greater collaboration with other departments In addition to all these benefits, a strong program in this area can be enormous dividends when a regulator of the Department of Justice comes knocking at your door. When launching an auditing and monitoring initiative they recommend putting a work plan in place. It will enable you to manage the implementation to your goals and objectives. Be sure to include scheduling, they advise. It will help you stay on track. Then share the plan with leadership or the compliance committee. That will help ensure buy in, identify constraints and risks, and help you get any additional resources you may need. They also offer one simple, but important, piece of advice: don't try and do everything all at once. Don't wait until everything is in place before beginning. Instead, focus on the top risks as soon as you can. Likewise, don't try and audit everything all at once. It can be better to tackle one item at a time. Listen in and learn more about how to make your auditing and monitoring program a success.
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. One of the most critical aspects of the role of a Compliance Officer is establishing the reputation of the function as being one which is approachable and reliable. One of the colleagues Mary has admired the most in being successful in this respect, is Karina Vollmer. The two worked together at Tata Communications in Singapore and take a walk down memory lane to share some thoughts from the past that allow introverts like Mary to learn from extroverts like Karina. Karina is originally from Indonesia and takes the opportunity to share with the GWIC audience some of the unique cultural aspects of the country that may impact the role of global compliance officers in multi-national corporations. As a mother of two and a Chief Compliance Officer, Karina has a lot going on. Her discussion builds on an earlier podcast episode with Sue Scott (Great Women in Compliance episode #173) where she addresses the common issue of mum/mom guilt. The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to. If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it. If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful. You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.
Jonathan Freeman joined Centura Wealth Advisory in July 2018 as Chief Operating Officer and became Chief Compliance Officer in December 2019. Jonathan has a diverse background across a variety of industries that span technology, professional services, consulting practices, real estate, and healthcare. He has been a client of the firm for over 5 years and is passionate about building sustainable companies in high growth periods. His North Star is to be the guide and teacher for others to achieve their ultimate potential in life, and to serve his community by sharing how everyone's responsibility is to care for our natural environment so we can benefit from it for millennia. Jonathan received his MBA from UCLA Anderson School of Business and a Bachelors Degree in Environmental Studies from UCSB. He, his wife Joelle, and their three boys live in North San Diego County. Listen to this insightful RIA episode with Jonathan Freeman about growing operations and compliance with Centura Wealth. Here is what to expect on this week's show: - How it's important for financial planners to always have their customer's goals in mind. - Why you must have a strong team and know what hat you wear on a day-to-day basis. - How the biggest limitation to growth can be finding talented and experienced people. - Why you should work with people who are intellectually curious and ready to adapt, learn, and grow. - How you can get the best ROI by cutting dollars out of your tax bill. Connect with Jonathan: Links Mentioned: https://centurawealth.com/ Guest Contact Info: Twitter @CenturaWealth Instagram @centurawealth Facebook facebook.com/centurawealth LinkedIn linkedin.com/company/centura-wealth-advisory Learn more about your ad choices. Visit megaphone.fm/adchoices
The most expensive car ride someone may take in their life is an ambulance ride, which racks up to a whopping average of 1,200 dollars. Most individuals probably cannot or will not pay that bill outright, meaning it will serve as a form of debt to them.So, how is credit debt any different from more “voluntary” types of debt and how does it impact patient credit scores?On today's episode, Host Gabrielle Bejarano speaks with Michelle Dove, Chief Corporate Counsel and Chief Compliance Officer at IC System, to talk about recent and upcoming changes in credit reporting in the healthcare sector and how this will impact patients. Bejarano and Dove also discussed…1. How paid healthcare debt will no longer be credit-reported2. Medical account reporting time frame changes and the impact on patients and the industry3. The pending change in the debt threshold for credit reportingDove elaborated on how the current and upcoming changes will impact patients. “There are positives—the patient gets more time, but I think the negative is it takes away one method of communicating with the patient to help them understand their account,” she stated.Dove is Chief Compliance Officer and General Counsel at IC Systems and ensures documentation complies with federal, state, and local laws. She has previous experience as an attorney at Bassford Remele, Dorsey & Whitney LLP, and Rider Bennet, LLP. Dove has a B.A. in Political Science and Psychology from the University of Michigan and earned her J.D. from the University of Minnesota Law School.
Download the “65 Investment Terms You MUST Know to Reach Your Financial Goals” for FREE by going to https://TodaysMarketExplained.com/ Ilonka Nobles (https://www.noblesandrichards.com/) has been working in the securities sector as an executive since 1998. Ilonka has previously founded two other Brokers/Dealers as President and Chief Executive Officer during the first growth phase, then recruited permanent CEOs to take her place as she moved on to the next project. She is currently the President, Chief Executive Officer, and Chief Compliance Officer of Nobles & Richards. In this episode Brian and Ilonka discussed the following topics: ● Investment Opportunities in Oil & Gas ● Who Can Invest in Direct Participation Programs? ● 4 Long-Term Investments in 2023 ● Digital Technology Trends in The Oil & Gas Sector Follow us here to see short videos of all our best investing tips: TikTok: https://www.tiktok.com/@todaysmarketexplained Instagram: https://www.instagram.com/TodaysMarketExplained YouTube: https://www.youtube.com/channel/UCYjCaTkX698mc6yAFaFz4tg Facebook: https://www.facebook.com/TodaysMarketExplained Twitter: https://twitter.com/PodcastTME Website: https://todaysmarketexplained.com/ DISCLAIMER: This podcast is provided by FourStar Wealth Advisors for the general public and general information purposes only. This content is not considered to be an offer to buy or sell any securities or investments. Investing involves the risk of loss and an investor should be prepared to bear potential losses. Investment should only be made after thorough review with your investment advisor considering all factors including personal goals, needs and risk tolerance. FourStar is an SEC registered investment advisor that maintains a principal business in the state of Illinois. The firm may only transact business in states in which it has filed or qualifies for a corresponding exemption from such requirements. For information about FourStar's registration status and business operations please consult the firm's form ADV disclosure documents, the most recent versions of which are available on the SEC investment advisory public disclosure website at www.adviserinfo.sec.gov
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. One of the things about social media is that it is always changing and always a challenge for us to address in ethics and compliance. Today, Lisa is speaking with Kortney Nordrum, VP, Regulatory Counsel and Chief Compliance Officer at Deluxe. Kortney has been a thought leader in this area through many changes, or as Lisa thinks of it, "from Facebook to TikTok." In this wide-ranging discussion, Kortney provides insight on how to develop effective policies to address the use of social media, particularly if there are inappropriate statements. She talks about the importance of constantly adapting to changes, and how we can use social media in our field. She also shares her views about ephemeral communications like WhatsApp and WeChat, and how to address the concerns that they raise. These days, no conversation about social media and compliance would not be complete without a discussion of Twitter. Kortney gives her perspective what has happened since Elon Musk took over as well as Twitter's historic issues with hate speech and incendiary accounts and what we can learn from this as E&C professionals. The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to. If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it. If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful. You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.
The Trust Series | Episode 1 with Matt Kolesky Marc Nichols welcomes Arbor Digital Director and Arbor Capital President and Chief Compliance Officer, Matt Kolesky, back for an important discussion on trust. In an episode that kicks off a three-part series, Marc and Matt dig into a few rough weeks in the digital asset space and Matt brings his unique perspective on FTX, Mt Gox and others. The conversations centers around the difference between well-regulated digital asset players located within U.S. borders and the off-shore players who may be well-intentioned, but whose lack of oversight is concerning. Arbor Digital is a team of passionate professionals dedicated to responsibly constructing and managing digital asset portfolios by continually evaluating blockchain projects with potential. Our mission is to be the connection for Registered Investment Advisors and their clients to the world of digital assets and to educate them about the disruptive power of blockchain technology within financial services. to learn more and find out how you can #getoffzero visit https://arbordigital.io/ to book a demo or subscribe to our weekly Digital Asset Roundup. rate and review us: Apple Podcasts Google Podcasts Listen: Spotify Amazon Music Alexa
In the last decades, American businesses have faced growing challenges from within and without. For years, many “blue states” have adopted policies to encourage or even impose social and environmental requirements on companies. Those companies faced a choice: either adopt and manage multiple policies in different states, or adopt the most inclusive version in order to maintain internal consistency.At the same time, some American corporations began explicit efforts to exert influence on political, social, and cultural issues unrelated to their core business. Companies, particularly financial institutions, started issuing proclamations on non-business matters and changing their business to match, declaring that they would no longer deal with XYZ industry, product, or type of energy production. Faced with growing market threats to critical state industries and natural resources, “red states” began to respond, passing laws to counter corporate and state efforts they view as politicizing business. This new pushback is significant, but it complicates matters for in-house counsel trying to navigate the competing obligations from red and blue states. Join us for a panel of experts to discuss these issues and examine possible ways to move forward. Featuring:Mr. Chad Boudreaux, Executive Vice President and Chief Legal Officer, Huntington Ingalls IndustriesMs. Elisebeth Collins, Former General Counsel, WWE; Former Deputy General Counsel & Chief Compliance Officer, Caterpillar Inc.; Former Assistant Attorney General for Legal Policy, U.S. Department of JusticeMr. Harold Kim, Chief Legal Officer and Executive Vice President, U.S. Chamber of CommerceMs. Cheryl Stanton, Chief Legal and Government Affairs Officer, BrightStar CareModerator: Hon Theodore W. Ullyot, Partner, Torridon Group
In this episode, we are joined by Linda Corley, Chief Compliance Officer at Xtend Healthcare, to discuss Behavioral Health. Tune in to learn about current utilization trends and what is predicted to come and how providers can reduce claims denials in this space. Hear insights on whether behavioral claims / denials processing should be outsourced, and the regulatory and coverage changes around behavioral health to be aware of. This episode is sponsored by Xtend Healthcare.
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. This week we feature another life after Compliance story with Sue Scott. Sue, originally from South Africa and currently residing in the United Kingdom, is a Compliance veteran with 20 years of experience at HSBC. But this episode doesn't focus on financial services Compliance, instead we hear Sue's journey as she considered moving away from Compliance and trying something new. Mary asks her about her thought process and considerations in making such a big life decision and Sue shares what some of the biggest challenges are for clients at the moment (we're willing to bet the majority of the Great Women in Compliance audience will find something here relatable – mom/mum guilt anyone?) and Sue shares some coaching advice for how to address some of these issues. If you've been thinking about getting into coaching, moving into a new area or simply advance planning for your future, this episode will provide helpful considerations and inspiration for taking the big leap – or preparing to do so at least! For those of you who find that mom/mum guilt is something that resonates deeply, keep an eye out for our upcoming episode with Karina Vollmer where we dive into that challenge in further detail with advice from Karina, a Chief Compliance Officer working mum, or mom as she would say. The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to. If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it. If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful. You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.
Oil – prices nosedive after OPEC increases production. Short Week – gearing up for Black Friday and Cyber Monday Deals. The fallout from FTX keeps coming – Going to take years to unwind. and out gueest - David Akerman, Chief Compliance Officer for MobileCoin. He answers the question: Why should I care about cryptocurrencies? David Ackerman, Esq. is an attorney in the United States and global compliance executive with over 15 years experience fighting financial crime, fraud, and terrorism financing. Dave has stood at the forefront of policy making across five continents by providing legal, operational, and regulatory guidance to governments, regulatory organizations, law enforcement, financial intelligence units, global investment banks, sovereign wealth funds, and crypto exchanges. David is a member of the Alfred Lee Loomis Innovation Council at the Stimson Center, a recognized financial regulation expert, principal investigator, published author, and FINRA Arbitrator. Most recently, he serves as the Head of Compliance for MobileCoin Inc. Check this out and find out more at: http://www.interactivebrokers.com/ Follow @andrewhorowitz Looking for style diversification? More information on the TDI Managed Growth Strategy - https://thedisciplinedinvestor.com/blog/tdi-strategy/ eNVESTOLOGY Info - https://envestology.com/ Stocks mentioned in this episode: (BTCUSD), (AAPL), (MSFT)
Be an expert in your field. In this episode, Captain Integrity Bob Wade talks compliance program development and effectiveness with Steve Sugrue, Chief Compliance Officer of DocGo. Hear why you should hire people smarter than you, always be relentlessly in pursuit of best practices, seriously consider an approach towards ESG (Environmental, Social, and Governance), how big your compliance team should be, and how the delegation process should work. Learn more at CaptainIntegrity.com
Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. We have not done a training episode in a while so this week we invited Harper Wells, Chief Compliance Officer of Learning Pool, to share her insights as a Compliance expert working for a training company. Harper shares what it's like being a CCO within a service provider and then takes us on a journey of the latest and greatest elements of training in Ethics and Compliance programs. Harper and Mary address some considerations on the potentially controversial topic of testing out of Compliance training. We end this episode with some advice and encouragement for non lawyers like Harper, with their eye on the prize for a CCO role. The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings to listen in to. If you are enjoying this episode, please rate it on your preferred podcast player to help other likeminded Ethics and Compliance professionals find it. If you have a moment to leave a review at the same time, Mary and Lisa would be so grateful. You can also find the GWIC podcast on Corporate Compliance Insights where Lisa and Mary have a landing page with additional information about them and the story of the podcast. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.
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
Meta Talkz is Powered by IBH Media - If you are a tech company and you need media coverage go to ibhmedia.co Cyrus Tong is currently a Regional Chief Compliance Officer in PingPong, responsible for regulatory compliance, licensing, and AML Program of PingPong entities in APAC (Ex Japan & China). Cyrus has over 17 years of experience leading risk management, compliance, and regulatory teams in multi-national corporations. Prior to joining PingPong, Cyrus was the Chief Risk Officer, Chief Compliance Officer, and other Board and Senior Management members across Asia Pacific by various market leaders of the financial sector including Livi Bank, TNG FinTech Group, BoCHK Group, and Citi Group. Also, check out Metaverse Times for future and past guests.
This week we discuss the Gartner MQ for CIPS and all the happenings at Twitter. Plus, more thoughts on passwords and calendars. Watch the YouTube Live Recording of Episode 387 (https://www.youtube.com/watch?v=yvX2zhF26Kg) Runner-up Titles From Montessori to your Funeral The Shit Pile of Enterprise Software Software Expires Bring in all the Kubernetes you can find You're in Some Kind of Password Genie Hell. The salesperson at Gartner doesn't want this report to go away Going back to the Monolith SRElon doesn't do blameless postmortems Mastodon as a Service at re:Invent I am still betting on status quo outcome Keep the Twitter off the phone Bury me with my MP3 backup drives Rundown Gartner Magic Quadrant for Cloud Infrastructure and Platform Services (https://cloud.google.com/blog/products/infrastructure/google-a-leader-in-gartner-magic-quadrant-for-cloud-infrastructure-and-platform-services/) Musk's Twitter chaos opens door to challengers (https://www.axios.com/newsletters/axios-login-1a68726f-589a-432c-8ed5-aeb5ec089d64.html?chunk=1&utm_term=emshare#story1) Rivals see opening in Twitter's chaos (https://www.axios.com/newsletters/axios-login-d3f39e68-c8fd-468e-b6a3-f9148e7164d9.html?chunk=0&utm_term=emshare#story0) Here's Mastodon Sign Up Link (https://hachyderm.io/invite/58HjZptn) Mastodon as an Open Source experience (https://twitter.com/RealSexyCyborg/status/1589534173928501248) Trust Thermocline (https://twitter.com/garius/status/1588115310124539904) Twitter Blue Checks not exactly working out (https://twitter.com/joshuaphilll/status/1590696859869536256?s=46&t=24Ji5dek2N6OUQ-7nL5SiA) CISO, Chief Privacy Officer & Chief Compliance Officer resign at same time (https://www.theverge.com/2022/11/10/23451198/twitter-ftc-elon-musk-lawyer-changes-fine-warning) Inside the Twitter meltdown (https://www.platformer.news/p/inside-the-twitter-meltdown) Here's how a Twitter engineer says it will break in the coming weeks (https://www.technologyreview.com/2022/11/08/1062886/heres-how-a-twitter-engineer-says-it-will-break-in-the-coming-weeks/) Fake Eli Lilly Twitter account drop stock (https://twitter.com/RachelTobac/status/1591142813642940418) 'Killed It:' Elon Backtracks From 'Official' Twitter Badges Hours After Rollout (https://news.yahoo.com/killed-elon-backtracks-official-twitter-194000916.html) Elon Musk is putting Twitter at risk of billions in fines, warns company lawyer (https://www.theverge.com/2022/11/10/23451198/twitter-ftc-elon-musk-lawyer-changes-fine-warning) Inside the Twitter meltdown (https://www.platformer.news/p/inside-the-twitter-meltdown) Relevant to your Interests Amazon Becomes World's First Public Company to Lose $1 Trillion in Market Value (https://www.bloomberg.com/news/articles/2022-11-09/amazon-hits-unwelcome-milestone-with-1-trillion-in-value-lost) Gmail will no longer allow users to revert back to its old design (https://techcrunch.com/2022/11/08/gmail-no-longer-allow-users-revert-back-old-design/) Amazon is subjecting Alexa to a performance review (https://www.theverge.com/2022/11/10/23451534/amazon-alexa-cost-cutting-review-andy-jassy) Amazon aims to inject new life into Alexa with release of developer tools and features (https://techcrunch.com/2021/07/21/amazon-aims-to-inject-new-life-into-alexa-with-huge-release-of-developer-tools-and-features/) Tumblr will sell you two useless blue check marks for $8 (https://www.theverge.com/2022/11/10/23451901/tumblr-blue-internet-checkmark-sale-twitter-verification-troll) New in Docker Desktop 4.14: Greater Visibility Into Your Containers - Docker (https://www.docker.com/blog/docker-desktop-4-14-greater-visibility/) Does Kubernetes really give you multicloud portability? (https://medium.com/digital-mckinsey/does-kubernetes-really-give-you-multicloud-portability-476270a0acc7) Report: The Evolution of DevOps | A Contrary Research Deep Dive (https://research.contrary.com/reports/evolution-of-devops) Amazon Is Said to Plan to Lay Off Thousands of Employees (https://www.nytimes.com/2022/11/14/technology/amazon-layoffs.html) 5 of the Best Kubernetes Training Courses for Beginners in 2022 (https://everythinghorseuk.co.uk/5-of-the-best-kubernetes-training-courses-for-beginners-in-2022/) Zoom is coming for Microsoft's territory with email and calendar services (https://www.theverge.com/2022/11/8/23447050/zoom-zmail-zcal-office-suite-launches) Snowflake gets caught in the storm clouds (https://siliconangle.com/2022/11/10/snowflake-gets-caught-storm-clouds/) AWS is 'not done building' as cloud computing matures (https://www.protocol.com/enterprise/aws-adam-selipsky-cloud-reinvent) Video editor Descript raises $50M in round led by OpenAI Startup Fund (https://www.axios.com/pro/media-deals/2022/11/15/descript-openai-funding-video-editor) MotherDuck: Hello, World! Quack. Quack. (https://prod.motherduck.com/blog/hello-world/) Tech Layo (https://twitter.com/debarghya_das/status/1592214346289274880)ffs (https://twitter.com/debarghya_das/status/1592214346289274880) The nefarious new way companies are discriminating against remote workers (https://www.businessinsider.com/companies-bosses-discriminating-against-remote-workers-time-zone-prejudice-bias-2022-11?utm_source=Sailthru&utm_medium=email&utm_campaign=Insider%20Today%2C%20November%2016%2C%202022&utm_content=B&utm_term=INSIDER%20TODAY%20SEND%20LIST) Angry Taylor Swift fans rail about Ticketmaster glitches (https://www.washingtonpost.com/technology/2022/11/15/taylor-swift-ticketmaster/) Embattled Crypto Exchange FTX Files for Bankruptcy (https://www.nytimes.com/2022/11/11/business/ftx-bankruptcy.html) Who Will Cisco Buy? Sources Say a Big Deal is Near (https://www.futuriom.com/articles/news/who-will-cisco-buy-sources-say-a-big-deal-is-near/2022/11) Nonsense Colorado Votes to Decriminalize Shrooms and Other Psychedelics (https://www.vice.com/en/article/n7z5vm/colorado-votes-to-decriminalize-shrooms-and-other-psychedelics) Conferences THAT Conference Texas Speakers and Schedule (https://that.us/events/tx/2023/schedule/). Jan 15th-18th use code SDT for 5% off CloudNativeSecurityCon North America (https://events.linuxfoundation.org/cloudnativesecuritycon-north-america/), Seattle, Feb 1 – 2, 2023 Listener Feedback Overcast (https://overcast.fm) was recommend in the SDT Slack as a replacement for Apple Podcasts SDT news & hype Join us in Slack (http://www.softwaredefinedtalk.com/slack). Get a SDT Sticker! Send your postal address to firstname.lastname@example.org (mailto:email@example.com) and we will send you free laptop stickers! Follow us on Twitch (https://www.twitch.tv/sdtpodcast), Twitter (https://twitter.com/softwaredeftalk), Instagram (https://www.instagram.com/softwaredefinedtalk/), LinkedIn (https://www.linkedin.com/company/software-defined-talk/) and YouTube (https://www.youtube.com/channel/UCi3OJPV6h9tp-hbsGBLGsDQ/featured). Use the code SDT to get $20 off Coté's book, Digital WTF (https://leanpub.com/digitalwtf/c/sdt), so $5 total. Become a sponsor of Software Defined Talk (https://www.softwaredefinedtalk.com/ads)! Recommendations Brandon: The White Lotus (https://www.hbo.com/the-white-lotus) Season 2 Matt: TweetBot (https://tapbots.com/tweetbot/mac/) macOS Photo Credits Header (https://unsplash.com/photos/Cc4sToR2Oc0) CoverArt (https://twitter.com/dbernard456/status/1591102456590524416)
Dr. Victor Vercammen is the Vice President of Risk & Chief Compliance Officer at Giant Eagle Incorporated. He leads teams dedicated to food safety, healthcare compliance, and environmental health while also providing counsel and guidance across the company's various business disciplines. Dr. Vercammen joined Giant Eagle in 2018 as the Senior Director of Pharmacy Quality and Compliance. Prior to this, he served as the Vice President of Quality Assurance and Regulatory Affairs for GENCO and as a Director of Pharmacy Professional Services and Government Relations at SuperValu. Dr. Vercammen earned his Doctor of Pharmacy degree from the University of Illinois at Chicago and completed the GSK Executive Management Program for Pharmacy Leaders at the University of Pennsylvania in Philadelphia. He is a member of the Society of Corporate Compliance & Ethics (SCCE) and is a Registered Pharmacist in 4 states. Learn more about Victor at https://atchainternational.com/healthcare-and-higher-podcast-ep62-victor-vercammen/ For a complete list of guests and links to past episodes, visit https://atchainternational.com/healthcare-and-higher-podcast/ Connect with Iqbal on: - Linked at https://www.linkedin.com/in/iqbalatcha/ - Instagram at https://www.instagram.com/iqbalatcha1 - Twitter at https://twitter.com/IqbalAtcha1 Join us next week for another exciting episode of the "Healthcare and Higher" podcast! #HealthcareAndHigher #IqbalsInterviews Song Credits: "Life Is A Dream" by Michael Ramir C. "Stay With Me" by Michael Ramir C. --- This episode is sponsored by · Anchor: The easiest way to make a podcast. https://anchor.fm/app Support this podcast: https://anchor.fm/iqbal-atcha/support
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
Elizabeth Landies Conroy is a gun rights advocate and the Chief Compliance Officer at Ohio Ordnance Works, a family-owned Class III manufacturer of firearms. She joined me to talk about how woke ideology has infiltrated our public schools and how our right to bear arms is under attack. Learn more at https://oowinc.com
Welcome to The Nonlinear Library, where we use Text-to-Speech software to convert the best writing from the Rationalist and EA communities into audio. This is: How could we have avoided this?, published by Nathan Young on November 12, 2022 on The Effective Altruism Forum. It seems to me that the information that betting so heavily on FTX and SBF was an avoidable failure. So what could we have done ex-ante to avoid it? You have to suggest things we could have actually done with the information we had. Some examples of information we had: First, the best counterargument: Then again, if we think we are better at spotting x-risks then these people maybe this should make us update towards being worse at predicting things. Also I know there is a temptation to wait until the dust settles, but I don't think that's right. We are a community with useful information-gathering technology. We are capable of discussing here. Things we knew at the time We knew that about half of Alameda left at one time. I'm pretty sure many are EAs or know them and they would have had some sense of this. We knew that SBF's wealth was a very high proportion of effective altruism's total wealth. And we ought to have known that something that took him down would be catastrophic to us. This was Charles Dillon's take, but he tweets behind a locked account and gave me permission to tweet it. Peter Wildeford noted the possible reputational risk 6 months ago: We knew that corruption is possible and that large institutions need to work hard to avoid being coopted by bad actors. Many people found crypto distasteful or felt that crypto could have been a scam. FTX's Chief Compliance Officer, Daniel S. Friedberg, had behaved fraudulently In the past. This from august 2021. In 2013, an audio recording surfaced that made mincemeat of UB's original version of events. The recording of an early 2008 meeting with the principal cheater (Russ Hamilton) features Daniel S. Friedberg actively conspiring with the other principals in attendance to (a) publicly obfuscate the source of the cheating, (b) minimize the amount of restitution made to players, and (c) force shareholders to shoulder most of the bill. Thanks for listening. To help us out with The Nonlinear Library or to learn more, please visit nonlinear.org.
Download the 21 traits of authentic leadership e book Learn more about creating your own internal company podcast Earlier this year, an announcement by Mitsubishi North America (MMNA)caught the attention of the entire automotive industry. The company would be shifting to work from home — forever.At the time, MMNA''s CEO called it “a critical moment to embrace, change, motivate and retain our talented employee base.” The decision represented a major culture shift for Mitsubishi but also presented some big challenges for company leaders.So what exactly does “work from home forever” look like for Mitsubishi? A little different than you might think. Mitsubishi's Chief Legal Officer, Chief HR Officer, and Chief Compliance Officer Katherine Knight says she still sees people in the office every day, and seasonal parties and team meetings are usually still held in person. But the most important thing is that employees are offered to work the way that is most comfortable and efficient for them.“Everybody is at a different place in their life. And it's one of the reasons why this choice, for me personally, was very important, because I want us to be as inclusive as possible,” Katherine says.So how's it going six months into the experiment? “Nobody has suggested we need to mandate days in the office. Absolutely not.”Katherine joins Jan on this episode of the Automotive Leaders Podcast to talk about Mitsubishi's move to remote work and how this OEM made that difficult decision. Tune into the episode for more on Mitsubishi's “cultural revolution,” plus a peek into Katherine's upbringing as a record store geek!Themes discussed on this episode: What ‘labor relations' really meansWhy the shift to work from home was a positive opportunity for company leadersExpanding your talent net with remote workWhy you need to change your performance reviewsThe importance of vision, purpose, and risk-taking in the automotive industryFeatured Guest: Katherine KnightWhat she does: Katherine is the Chief Legal Officer, Chief HR Officer and Chief Compliance Officer at Mitsubishi Motors. As a C-suite executive at Mitsubishi North America, she led the charge in 2022 to allow U.S. employees to work from home forever.On leadership: “ I'm trying to lead the department in a particular type of vision and a particular way of working. And that encompasses a lot of other things. It encompasses authenticity. It encompasses transparency. I don't expect people to go along with the vision if I'm not being completely transparent with them about what the challenges we're going to have are and how we're going to have to change how we do things. And I also don't expect them to go along with the vision if they get something different from me today than they do tomorrow, or they did yesterday. They need consistency from me.”Episode HighlightsTimestamped inflection points from the show[2:08] Free to choose: Today's guest, Katherine Knight, discusses her traditional beginnings
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
This episode features Andrea Eklund, Chief Compliance Officer & SVP at UnityPoint Health. Here, she discusses her focus on telehealth as a compliance officer, how she is looking at investments & growth, different ways she is preparing for the future, and more.
This episode features Andrea Eklund, Chief Compliance Officer & SVP at UnityPoint Health. Here, she discusses her focus on telehealth as a compliance officer, how she is looking at investments & growth, different ways she is preparing for the future, and more.
On this episode of Power the Journey, various professionals in the sports wagering industry examine the industry's commitment to responsible gaming and discuss what the future of responsible gaming positions will be. Keith Whyte is Executive Director of the National Council on Problem Gambling (NCPG) in Washington, D.C. and has over twenty-five years of national experience in gambling issues. Recognized widely for his work to promote responsible gambling and prevent gambling addiction, he has given invited presentations at conferences and events in 43 US states and 26 countries. Cait DeBaun is vice president, strategic communications and responsibility at the American Gaming Association (AGA). She leads the AGA's responsibility efforts and integrated communications strategies to promote the social and economic value of the $261 billion gaming industry. Cait currently oversees the AGA's Have A Game Plan® PSA campaign, working with sports leagues and teams and sportsbook operators to educate consumers on responsible sports betting. Alana Sacerdote is the Senior Responsible Gaming Program Manager at Penn Interactive, operator of The Barstool Sportsbook and iCasino. Alana has over ten years of experience which includes both brick-and-mortar gaming, as well as online real money gaming. She leads Penn Interactive's responsible gaming efforts, which include proactive player and employee education and training, creation and implementation of responsible gaming internal procedures, player protection, and ongoing quality monitoring. Jamie Salsburg is the creator and host of the “After Gambling” Podcast, a blogger, brand strategist, and entrepreneur. As a former problem gambler, Jamie created the website and podcast "After Gambling" to help people who are struggling with compulsive gambling. He also provides peer support for recovering gamblers, as well as their friends and family. Jamie is a former collegiate athlete and remains a huge fan of sports. Jamie has not gambled since July 15th, 2010, and outside of work currently enjoys spending time with his wonderful family. This conversation is moderated by Chris Soriano, Vice President, Chief Compliance Officer at Penn National Gaming.
In a special edition of the Rainmaker Multiplier On-Demand podcast, Coffee Break with C2P, Matt Seitz and Ryan Warner host to discuss the New SEC Marketing Rule and how advisors can take advantage of it without incurring fines. Matt is the Executive VP of Marketing at C2P and CMO for JL Smith. Ryan is Chief Compliance Officer at C2P.
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
Welcome to Episode 1141 in which Steve Raye interviews Michael Votto, in this installment of Get US Market Ready With Italian Wine People, on the Italian Wine Podcast. About today's guest: Mike is an attorney and entrepreneur from New Haven County, Connecticut. He grew up in a large Italian-American family that was a big part of the motivation to launch of Votto Vines in 2009. He co-founded the business with four family members as a family passion project after visiting a winery in Tuscany that did not export to the US. Votto Vines has grown rapidly since its founding, having been featured in Forbes, Wine Enthusiast, Inc. Magazine and Entrepreneur Magazine. The diverse professional backgrounds of the founders has been instrumental in the development of its unique business model. Prior to transitioning to a full-time role at Votto Vines, Mike spent more than ten years practicing commercial real estate and corporate law at two American Lawyer Top 100 law firms, Goodwin Procter in Boston and Schulte Roth & Zabel in New York City, and later served as Vice President, General Counsel and Chief Compliance Officer of an asset management firm with greater than $25B in assets under management. Mike earned a bachelor's degree cum laude in European History at Union College where he was a member of the varsity basketball team. Mike also studied abroad in Florence, Italy during his undergraduate studies. He earned a law degree magna cum laude from Syracuse University, which he attended on a full scholarship as a graduate assistant for the Syracuse football program. Subsequent to law school graduation, Mike completed Wine Studies II coursework at the Boston University Elizabeth Bishop Wine Resource Center. Mike is currently enrolled at Columbia Business School in its Venture Capital and Private Equity Program. Mike has previously been featured in Forbes and named one of the top middle market CEOs in America by Axial. In 2019, Mike was a semi-finalist for the prestigious Ernst & Young Entrepreneur of the Year award. He currently resides in Connecticut with his wife and children. To learn more visit: Company Website: www.vottovines.com Personal Website: www.michaelvotto.com Facebook: https://www.facebook.com/vottovines Linkedin: https://www.linkedin.com/in/michael-votto-26218a12/ More about the host Steve Raye: Steve Raye of Bevology Inc originally joined our weekly lineup with narrations from his book “How to get US Market Ready” - but everyone just loved him so much, we brought him back with this series of interviews that informs and inspires! Each week he speaks to industry professionals; guests who have gained valuable experience in the Italian wine sector and have insightful tips and stories that can help anyone who wants to learn about getting US Market Ready! To learn more visit: Website: www.bevologyinc.com/ Let's keep in touch! Follow us on our social media channels: Instagram @italianwinepodcast Facebook @ItalianWinePodcast Twitter @itawinepodcast Tiktok @MammaJumboShrimp LinkedIn @ItalianWinePodcast If you feel like helping us, donate here www.italianwinepodcast.com/donate-to-show/ Until next time, Cin Cin!
In this episode we speak with Cody Hall about Leadership culture. Cody is a Founder, CEO, and Leadership expert. Cody has a diverse background in military, technology, and healthcare making him capable of leading organizations and teams effectively. Cody led customer service and Human Resource teams from early-stage startups to industry-leading tech giants, creating benchmark customer experiences and employee journeys for teams, large and small. After his time with larger organizations, he set off to impact innovative companies, starting and assisting multiple startups in developing world-class teams, customer experiences, and technology workflows. After years in technology, Cody was recruited to join the Titanium Healthcare Team as the Chief Compliance Officer. Cody led the company's cultural development, policy and refined the organization's human capital management abilities. Cody's time at Titanium inspired the creation of Octiva in 2020. Learning Points: 1. What hardships can come from being a leader? 2. Does our society support the cultivation of leaders and leadership? 3. Are the sacrifices of leadership worth the successes? SOCIAL MEDIA HANDLES https://www.linkedin.com/in/codhal/
Shannon Sumner, Principal and Chief Compliance Officer, PYA, and Ritu Cooper, Attorney, Hall Render Killian Heath & Lyman PC, discuss some of the top considerations they are currently seeing as they work with clients to develop compliance work plans. They also discuss some of the top risks they are currently seeing as they conduct risk assessments for clients. Sponsored by PYA.To learn more about AHLA and the educational resources available to the health law community, visit americanhealthlaw.org.
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
Chinwe Esimai is a multiple award-winning lawyer, trailblazing corporate executive, author, and speaker who helps women leaders discover and embrace their genius and live lives of impact and fulfillment. She is the author of Brilliance Beyond Borders: Remarkable Women Leaders Share the Power of Immigrace (Harper Horizon) and host of the Brilliance Beyond Borders podcast.She is managing director and Chief Compliance Officer for Legacy Franchises at Citigroup, Inc. Prior to that, she was Chief Anti-Bribery Officer at Citigroup. She's the first person to hold these titles in the bank's history. She is also an executive council member of the Ellevate Network, serves as a Cherie Blair Foundation mentor, and is a member of Apollo Theater's EmpowHer, a group of dynamic women supporting teens through a variety of initiatives. She obtained a Bachelor of Arts in political science, summa cum laude, from The City College of New York and a Juris Doctor from Harvard Law School. She lives in Sparta, New Jersey, with her husband and three children.First person to hold the title of Chief Anti-Bribery Officer at Citigroup.The Nigerian Lawyers Association named her Trailblazer of the Year.Chair of the Board of Harambee USA (2014-2020), a non-profit foundation dedicated to supporting education and sustainable development in Sub-Saharan Africa.Chinwe regularly speaks at conferences, including three times at the United Nations. She is passionate about and discusses:The Art of Navigating the Corporate Terrain: how to chart an innovative career.Leadership Lessons from Remarkable Immigrant Women Leaders: what all women leaders can learn from them.Talent as Leverage: how organizations can create and leverage high-performing talent, including diverse talent, to create winning cultures, market differentiation, and more effectively advance their missions. Global Anti-Corruption TrendsAfrican Economic Development UN 2030 Sustainable Development Goals Africa Agenda 2063Leveraging Fintech to Promote Public Sector IntegrityWebsite: www.chinweesimai.comFacebook: https://www.facebook.com/chinweesimaiofficial/Twitter: @ChinweEsimaiInstagram: @chinweesimaiLinkedIn: www.linkedin.com/in/chinwe-esimaiPodcast: www.chinweesimai.com/podcast
What you'll learn in this podcast episode Over the last few years, federal regulators have provided detailed guidance on what they expect to see in E&C programs when it comes to misconduct inquiries or investigations. What do these recent reports, policies, and guidance mean for compliance professionals? In this episode of the Principled Podcast, LRN Director of Thought Leadership and Best Practices Susan Divers is joined by Jon Drimmer, a partner at the law firm Paul Hastings. Listen in as the two discuss the recent guidance from the US Department of Justice as well as DOJ policy impacting corporate compliance programs and ethical culture. Featured guest: Jon Drimmer Jonathan C. Drimmer is a partner in the Investigations and White Collar Defense practice and is based in the Washington, D.C. office of Paul Hastings. He resolves complex cross-border problems with the benefit of having sat in every chair at the table: senior legal officer for a global 500 company, federal prosecutor, and seasoned advocate. He is a recognized international expert on anticorruption and business and human rights, and is a frequent speaker, author, and commentator on issues related to both topics. Before joining Paul Hastings, he was Deputy General Counsel and Chief Compliance Officer of Barrick Gold, one of the world's largest mining companies, with operations on five continents. The compliance program he built at Barrick has served as an industry standard, and elements of it have largely been duplicated by numerous other companies inside and outside of the extractive sector. Mr. Drimmer has directed hundreds of investigations around the world related to anti-corruption, human rights, AML and export controls, tax controversies, environmental incidents, public disclosures, fatalities and health and safety injuries, sexual harassment and discrimination, and other areas. He has represented companies and individuals in numerous government enforcement proceedings in the U.S. and overseas, in relation to FCPA and bribery claims, human rights issues, and a wide array of other matters. He has participated in dozens of major disputes in the U.S., Canada, and abroad, including transnational torts, anti-corruption claims, environmental cases, international arbitrations, tax disputes, construction claims, and land controversies. He previously served in the Justice Department as Deputy Director of the Criminal Division's Office of Special Investigations, where he led cross-border investigations, first-chaired numerous prosecutions, and argued federal appeals. He was a partner at an Am Law 100 law firm in Washington, D.C., a former Bristow Fellow in the Office of the U.S. Solicitor General, and a judicial clerk on the U.S. Court of Appeals for the Ninth Circuit. Mr. Drimmer served on the board of directors of the Voluntary Principles on Security and Human Rights Initiative from 2012-2014, and again from 2015-2017. He served on the board of TRACE International from 2012 until 2018, and currently sits on the board of the TRACE Foundation. He has also taught international law courses at Georgetown University Law Center for nearly 20 years. Featured Host: Susan Divers Susan Divers is the director of thought leadership and best practices with LRN Corporation. She brings 30+ years' accomplishments and experience in the ethics and compliance arena to LRN clients and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and sharing substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Principled Podcast Transcript Intro: Welcome to the Principled Podcast, brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace change makers. Susan Divers: Good afternoon. From time to time, but particularly in the last few years, federal regulators have provided detailed guidance on what they expect to see in ethics and compliance programs when companies present them as a defense to misconduct inquiries or investigations. What do the recent flurry of reports, policies and guidance mean for compliance professionals? How should they be applied to improve E and C programs? Hello, and welcome to another episode of LRN's Principled Podcast. I'm your host, Susan Divers, director of thought leadership and best practices at LRN. And today, I'm joined by Jon Drimmer, a partner at the international law firm of Paul Hastings. We're going to talk about the recent DOJ guidance and policy impacting corporate compliance programs and ethical culture, and hopefully help everyone understand what it is and how they should apply it to their programs. Jon is a real expert, as well as a friend in this space. He has the unusual distinction of serving in three of the principal seats that affect ethics and compliance, once as a federal prosecutor at DOJ, another time as a chief ethics and compliance officer and deputy general council for a large mining company, and now as an ethics and compliance advocate with a leading law firm. Jon, thanks so much for joining me at Principled Podcast. Jon Drimmer: Thanks, Susan. It's great to be with you. Susan Divers: Super. Well, let's jump right in. Last week, we saw a new policy come out of the Department of Justice that both Lisa Monaco and also Ken Polite have talked about with great emphasis. We've also seen the report come out of the sentencing commission about their 30 years of accomplishments. And we've also seen some major guidance in the last two years. Can you put it in perspective for us and talk about how it fits together, and how they interplay. And then we can jump in and start figuring out what they mean. Jon Drimmer: Yeah. No, happy to do it. So let me take each one in sequence. So what we saw come down from the deputy attorney general was a new policy memo. And in essence, what that means is policies are, they are the rules that apply to federal prosecutors and prosecuting entities around the country. They are the standards that are going to be applied. Guidance, which is something that we see come out in a number of different ways through formal guidance as well as through statements and speeches and other informal approaches, this is basically how those rules are interpreted, how prosecutors should be thinking about the application of those policies as they're applied to any given circumstance. And then finally, reports, and you mentioned the sentencing commission's 30 year look back, those are more general. And they do tend to come out for transparency purpose, they're often retrospective, like the sentencing commission report. But they generally talk about how these rules have been applied. So policies are the rules, the guidance effectively aids in their interpretation, and the reports generally are a bit of a look back as to how they have been applied to date. Susan Divers: That's really helpful. It really helps me put all of those in perspective. Talk a little bit more than about the policies and the guidance. Are they mandatory? Are they voluntary? Jon Drimmer: Well, for prosecutors, they're mandatory. So when you look at the policies, this is effectively how prosecutors are to approach any given situation. It is a directive to them in terms of how it is they should go about doing their jobs. And I'll tell you it's critical. It's critical for chief compliance officers to understand those types of initiatives, those types of emphases. It's critical to prosecutors as well, as they get that direction in terms of what they should be focusing on. So really, it's a very important part of the process and helping to shape how investigations are run and scoped from the government's end, and what can be expected on the company side as well for chief compliance officers. Susan Divers: But it's not technically a rule, if I'm correct. But it sounds like you strongly recommend that ethics and compliance professionals pay great attention to it. Jon Drimmer: Yeah, yeah. No, that's fair. It's not a regulation. It isn't something that goes through a formal regulatory process. It's not the equivalent of a law. It's a direction. It's a directive that's basically given. And so it doesn't have the force of law, but it is a very important set of instruments to understand the relevant DOJ policies, the justice manual. So yeah, that's a fair assessment. I do strongly recommend understanding it in detail, but it isn't technically a law or regulation. Susan Divers: And if I understand correctly, and I've been in this situation myself too as a chief ethics compliance officer, if there's a misconduct inquiry or investigation, and 95% of those are resolved without prosecution or probably more, basically, you'll be asked to come in and meet with the Department of Justice prosecutors, possibly the SEC too, and part of that is talking about your ethics and compliance program. Can you put that in context and explain why they want you to do that, and how you should do it? Jon Drimmer: Yeah, absolutely. So what they're really looking for is a discussion of A, what the compliance program was at the time of the incident in question, and where it is today at the time of charging. It's really both time periods are really quite important to them. And they want to understand how with a compliance program the issue or event might have occurred. But they also want to understand what changes have been made to improve its effectiveness since that time period. And often, given the way that investigations go and timelines, there may be a good bit of time between the original incident and the time a formal compliance program presentation is ultimately made. And in making that presentation, the guidance, the policies, these are incredibly important in shaping the factors that you're ultimately going to present on. But the real tip is not just presenting on the formal approach, the formal program, the policies, procedures. But how do you know they are working in practice? And that has been a huge emphasis from the government in the last couple of years, and one that ethics and compliance professionals should take heed of. It's not just a matter of rolling out the program, but with the rollout, including those steps to validate its effectiveness in mitigating the relevant risks it's designed to address. Susan Divers: I want to get into that in more depth in just a second. But before we leave sort of setting the scene for why this is so important. So if you go in and you meet with the Department of Justice and its prosecutors, and you do a good job, a credible job, of presenting your ethics and compliance program, and it's clear that it's a strong program, and you've got hopefully evidence of effectiveness, what's the consequence of that? Jon Drimmer: Well, at the end of the day, I mean, the most significant issue is monitors. And if you've been involved in an issue that violates a federal law, federal criminal law, and the question is: Are you sufficiently capable of addressing your compliance issues going forward without day to day regular oversight from a monitor? That is a critical inquiry, and so number one, an effective compliance program and design and implementation is really important for a monitor. It's also important in charging decisions. It can be important in terms of disgorgement and fines and penalties as well. It's taken into account in the federal sentencing guidelines. So in the end, an effective compliance program really is a critically important part of a resolution process for a DOJ investigation. Susan Divers: So that's basically why ethics and compliance programs, if I understand correctly, came into being. It's really to mitigate the impact of misconduct investigations, and hopefully allow the company to go forward with it's E and C program. We won't talk about monitors today. That can be another podcast. But that's something that you want to avoid, generally. Jon Drimmer: Yeah. You generally want to avoid that, yeah. I mean, look, there's another element we probably won't get into today as well, that you and I have talked about extensively, and that is how programs ultimately help shape the values and culture of a company, so aside entirely from proactively mitigating relevant risks, affirmatively driving a culture that does increase productivity, increase retention, increase morale, that's a critical component of a compliance, an ethics and compliance program as well. It does dovetail a bit with culture of compliance, which is something that is important to demonstrate when you're in front of the government. It's something the government is increasingly emphasizing. There's a positive aspect that isn't just preventing potential problems from happening that are associated with ethics and compliance programs, as you've written about quite persuasively. Susan Divers: Well, you too. And I'm glad you reminded everybody of that because that is a critical reason for having an effective ethics and compliance programs. So let's leave the sort of rewards and penalties side and start talking about: What are the prosecutors and the Department of Justice leadership really saying in this plethora of policies, guidance that's come out in the last couple of years? What are the key messages? Jon Drimmer: Yeah. I would say in reading through the recent speeches, the policies, coupled with the guidance, I think we can take away several messages. And two of them are, number one, there is this enormous focus on program effectiveness, and I can't say that enough. And as I read the memo from the deputy attorney general colloquially calling the Monaco memo, I see as a major sub theme, and as a former chief compliance officer, this absolute drive towards the effectiveness of programs. And just to take a step back for a minute, in some ways, this is how the sentencing commission's report actually becomes relevant in this discussion, and the 30 year look back report was issued roughly at the same time as the DAG memo. And if you look at the report, a few interesting statistics jump out. And these again, this is focusing on companies that actually went through a court sentencing, so it isn't settlements, which is typically how corporate resolutions are resolved. But 2021 was the first year that more than half of the companies sentenced under the guidelines had a compliance and ethics program. And the previous high was 2018, when it was about 28%. But in 30 years, since 1992, only 11 companies have had a reduction by a court because their compliance program was effective. That's .5% of all of the companies sentenced, and most of those are actually small companies. So most of the time, for those companies that are going through the process, they aren't getting credit for having an effective program. And with the Monaco Memo, if you actually look at a lot of what policies are ultimately looking to drive, it does center around effectiveness, driving performance, driving commitment through a focus on individuals. And so it talks about producing information in a timely way, focusing on individuals because that is what incentivizes effective performance. For chief compliance officers, it might mean if you're going to do an investigation, a thorough investigation, you do have to include that within your scope, the focus on individual culpability to a degree that you might not have before. The same is true with ephemeral messaging, which is a big emphasis in the recent memo. Ephemeral messaging has been part of their calculus for several years now. But here, they do want to focus on whether the company policies regarding ephemeral messaging are effective. Is the company capturing messaging that's occurring on company related devices? Are we allowing personal devices? If so, are they limited to certain apps that are capturing company business related discussions? Is there training? Is there auditing? Are there other steps on ephemeral messaging? So they really want to see not just: Are there policies? But are they effective? And those are just two examples. But if you do dig into what's behind a lot of these policy announcements in the memo, it really is looking to drive effective programs. Susan Divers: Well, I want to dig in a little bit. And just to clarify by ephemeral messaging, you mean that if we have senior execs using What's App to communicate, rather than company systems that are subject to discovery, then we might have a problem. Jon Drimmer: Yeah. It can be company, it can be teams messaging, it can be What's App on company issued devices or personal devices. It's any of the messaging systems that are used to communicate that ultimately may not ordinarily be retained by the company in the way that email is. Susan Divers: So that's an area that the policy makes clear, compliance officers ought to really take a hard look at and may need to make some changes, or at least provide some clarity. I want to get information effectiveness more in a minute too. But just to deal with the other very specific granular recommendation that I saw in the Monaco Memo, it was that you really have to have an incentive system that's aligned to ethics and compliance. And by that, it's both positive and negative. In other words, you have to reward ethical behavior as part of your system of incentives, whether it's bonuses, compensation, promotions. And you have to penalize misbehavior, whether it's bonuses, compensation, promotions, but also claw backs. Can you talk about that a little bit? Jon Drimmer: Yeah, yeah. It really was fairly prescriptive, as you say, in terms of, in ways that I think should make chief compliance officers happy. That's the stuff that we always advocate for with human resources and with executives. Hey, we want ethics. We want ethics and compliance included in hiring decisions and promotions and bonus frameworks and performance commitments. And that's really what helps integrate ethics and compliance into business operations and prioritize it along with operational considerations, so that should be welcome news for chief compliance officers. The claw back aspect, which is the stick, that's the carrot, this is the stick, it's interesting. They really emphasize it's not good enough just to have claw back provisions that are theoretically applicable, that are present in policies and are never applied. They want to see them applied in cases where there is appropriate individual culpability. And that may mean applied in different ways. They're clearer that there is no uniform approach to a claw back provision, but it isn't good enough just to have it as a policy. You need to talk about it. You need to train on it. And you need to actually implement it in appropriate situations, which is part of the focus on the individual responsibility and again, driving effectiveness. Susan Divers: That's a very good segue into effectiveness. I do want to emphasize what you said, which is this is something that ethics and compliance professionals need to pay attention to. And it should be a welcome development to have that kind of accountability and importance placed on ethics and compliance considerations. But it's: What do you do about it, as you said, if you've got claw back? I think the SEC says that about 50% of publicly traded companies have claw back, but you have to use it. Otherwise, you're probably worse off if you have it as a tool and then you don't use it if you've got senior level misconduct. Jon Drimmer: Yeah, I think that's right. But better to have it than not have it, and if you've got it, you've actually got to apply it, is kind of what they're signaling. But look, this is hard. I mean, it is really hard when you are doing investigations of your own people. As a chief compliance officer, this was the least favorite part of my job is doing investigations into people I work with, people I knew, people who in other aspects of my job, I had to trust. I had to trust them in terms of implementing or overseeing certain aspects of the program. And when you have to do an investigation into them, it feels lousy. It screams out for why independence is important. And those particular instances is just a matter of investigative integrity, but it's a lousy part of the job. And applying a claw back provision to senior executives who you have worked with, who you have traveled with, whatever it is, it's a lousy part of the job, but they are saying it is an important part and a part that has to be applied in practice. Susan Divers: Yeah. I agree with you. That is really the worst part of being a chief ethics and compliance officer, for sure. Let's dive deeper into effectiveness. As I've gotten to know you and worked with you on thought leadership, I've always been extremely impressed with you focus when you're a chief ethics and compliance officer on effectiveness. And I remember some of the things you did, even including short pulse surveys in your investigations to get feedback from employees, so that's just one example. But can you talk about what do we really mean by effectiveness in terms of ethics and compliance programs? What should we be measuring? What should we be looking at? And where should the focus be? Jon Drimmer: Yeah. I mean, really what effectiveness means is: Are the goals of any particular element of your program being achieved? Are you meeting the goals that you have set out for that particular element of the program? So for instance, your goal might be to roll out a new training, and to roll it out to 90% of everybody on a mapped basis. That isn't going to get into effectiveness. Effectiveness is: How well do they retain the critical aspects of the content that is being conveyed? And that can be done through surveys, that can be done through tests, et cetera. But when we're talking about effectiveness here, again, it isn't just about roll out, it isn't just about robustness and good faith commitment to implementing a program. But is it working in practice? How do you know it? How do you test it? How do you validate it? Often, that's done through KPIs and through metrics. I personally like surveys, sentiment survey, I've always liked surveys as a way of getting information. And beyond that, it brings employees into the program when they are talking to you, providing information about their own experiences. I think that's a very effective way to do it. I think 360s in terms of reviews that include ethics compliance is another important part, so you do again get perspectives of employees on individual performance, particularly for supervisors, from an ethics and compliance standpoint. I think you need to look at audit results. I think you need to look at investigations. I think you need to look at a number of different factors that all indicate on a lag indicating basis, what is working and what isn't working. But I think that should be a relentless focus, personally. And I think for every element of your program, you should be looking at multiple ways to try to assess. Is what I'm doing actually working to the degree that I want it to, and in the way that I want it to? And if not, you have to make an adjustment. That's what effectiveness is about. Susan Divers: That's a really good definition. I think one of the traps people can fall into easily is to focus on activities rather than impact. And I like your phrasing of it as a relentless focus on effectiveness. I mean, one of the things we're just doing is rolling out a short, I think it's 10 question ethical culture pulse survey that comes up at the end of a code of conduct course. And it asks questions about respect and trust and organizational justice, which as you know are key elements of an ethical culture. So always trying to get at perceptions and concerns and to the degree that you can measure how that's playing out, I think is really essential to effectiveness. I want to talk about in a minute how non US companies are affected by all this, and also the most common mistakes you've seen people make in your long and in depth, varied career. But before we get there, I was just looking at some of the DOJ material, and I see that Matt Galvin has joined the team. And now I think there's at least three or four former chief ethics and compliance officers. And Matt came for Anheuser, and he has a particular focus on data analytics. What are you seeing in terms of using data analytics for effectiveness? And what do you recommend in that area? Jon Drimmer: I think that's a great hire. I think it'll be great for Matt, and I think that's a great hire for the government, really bringing in somebody who ran a compliance program and who has had a very substantial focus on data analytics. And at AB InBev, the Brew Right program that he put together is one that's usually been held up as an industry leader. I mean, I do think data analytics is critically important. One of the challenges with data analytics that you have to always get around is making sure that your data is good, that things are being recorded and described in like manners that allows for apples to apples comparison. And you have to understand what to do with that information. And so it's not enough to run the analytics, but when you get the analytics back, you have to have a program in place, resources in place, to act on it. And so thinking through holistically what the data is, where it's coming from, how you're going to act on it, depending on what you get is all a really important part of the equation to think about ahead of time before you just start collecting and running. Look, it's critically important. It's been something that's been emphasized for years as a key way of identifying effectiveness, as well as potential risks that you might not otherwise see, and trends, and patterns. So it really is a very important part of a program with the caveat that you've got to make sure that your data is really good and that you know what you're going to do with it on the back end. But that's a great hire, and I'm sure it's really going to advance compliance thinking in the government around the use of data. Susan Divers: I think that's a good way to characterize the importance of data metrics and particularly stressing that it's not enough to have them and get the insights, you have to act on them. It's similar to risk analysis and risk assessment. It's great that you're running a yearly risk assessment, but are you factoring those results into your training or your policies? So that's part of that focus on effectiveness. Talk to me a little bit, Jon, if you would, about we've been talking about the Department of Justice. It does seem to me that what DOJ does in areas like this has a lot of impact on international companies. It's not limited to the US. And you're in a great position to discuss that a bit, if you would. Jon Drimmer: Yeah, sure. Of course. No, absolutely. Look, and to be clear, when the government emphasizes things like data and benchmarking and metrics and KPIs, I can't applaud them enough for bringing in someone like Matt, who has seen it on the ground, has put into place a great program to really help educate. And that's going to be true for US and non US companies. The government focuses on violations of the law, where there is jurisdiction, where there's something that will touch the US, or you have US companies or US issuers. But if you're a foreign company and you're doing business in the United States, or you're listed on a US exchange, the US laws very well may apply to you. The FCPA certainly very well may apply to you. And some of the biggest settlements, again just sticking with the FCPA, have been with non US companies in the last two years. And I don't want to limit this to the FCPA because the memo from Lisa Monaco, it's not limited to the FCPA, but it will extend to throughout the criminal division. And so whether it's antitrust, or healthcare fraud, or other areas that the criminal division might oversee, this is going to apply to companies regardless of whether they're US or non US, depending on the jurisdictional components, so it's a very important part for all companies doing business in the United States, not just US companies. Susan Divers: And I think sometimes people forget how broad that actually is. People sort of think, "Okay, there's US companies, there's French companies, there's Indian companies," but if you're doing business here, or you're using the banking system, then you are basically within the ambit of US jurisdiction if you commit bribery violations, or antitrust, or sanctions violations, or whatever they happen to be. So it really is a very broad net. And I think for that reason, I think the guidance has driven the evolution of ethics and compliance programs globally, not just in the US. Is that your sense too? Jon Drimmer: Yeah. Yeah. No question about it. I think if you look around the world, whether it's the UK, or France, or throughout Latin America, for those governments that have formally put out either guidances, or they've integrated into their laws what compliance programs ought to look like, I mean, it really looks a lot like what the Department of Justice and the SEC have put out, which of course is premised on a sentencing guidelines foundation. But really, it is driving global compliance processes and programs around the world, even for those companies that don't touch the US, even in their home jurisdictions. It's driving very similar approaches and ways of thinking about compliance. Susan Divers: Yes. And I think if anybody needs proof of that, they should read the Glencore CPA settlement, which I was just looking at, which is a huge fine for anti bribery for basically a non US company. But we're starting to run out of time. I could do this all day, as you know. But let's wrap up with: Given your unique perspective, having sat in all of the key positions, what are the most common mistakes you see people make in ethics and compliance programs? And if you can relate some of those to the guidance, that would be great. Jon Drimmer: Yeah, sure. Look, I mean, I think first and foremost, it isn't really understanding and looking to integrate into programs what drives an ethical culture. And we talked before about the absolute importance of organizational justice as one of the key drivers in thinking about how that should get integrated into your program. And another is managerial modeling. And truthfully, what people seem to often forget is that most employees look at their supervisors, and maybe their supervisors' supervisors as the company. They look at them as management. And so focusing on, quote, unquote, tone from the top, and the most senior leaders of a company, to the exclusion of direct supervisors, middle managers, I think is often a mistake. And so driving behaviors expected of managers is critically important. I think people also ignore the absolute singular importance of confidence in internal reporting mechanisms and hotlines, which is often a proxy for whether your culture of compliance is strong, and whether organizational justice exists, whether managerial modeling is occurring. But I think beyond that, we've talked about the focus on effectiveness. And I think too often, you do see compliance programs that really are driving towards activities and robustness and metrics and numbers that don't take into account. Is it really working in practice? And I do think that has to be, especially in light of the guidance, which talks about culture, it talks about effectiveness, it focuses on effectiveness, I think that's got to be a critical emphasis for any program. And I think a lot of programs aren't sufficiently mature in that particular aspect, which may be why this guidance or this policy is coming out now. Susan Divers: So it sounds like if you were advising let's say a startup, or a relatively small company that's program is just getting underway, you would advise them to focus very much on the value side on getting organizational justice right, on getting speak up culture going and creating that atmosphere of trust, and also on making sure that managers know what the ethical and compliance considerations that affect them are, and what that means in practice. Jon Drimmer: Yeah. Yeah, that's exactly right. And look, that relates directly to the guidance as we look at rewards, in terms of pay, of performance commitments, presumably of bonuses, of promotions. So setting those expectations for management, along with organizational justice and speak up, I think are really vital components. And so if you are just starting out, the sooner you look to embed that within the company, the more effective it's going to be hopefully as the company grows. Susan Divers: Wow, this has been such a terrific, insightful conversation. And I really feel like I've benefited a lot personally just from hearing the way you've wove together the policy, the guidance. And just for one point of clarification before we sign off, I've been looking at the guidance since I think 2013. I've seen an evolution, actually. It's gotten stronger and it's gotten smarter in focusing on the right things like culture. I don't see it really weakening or changing, even during the Trump administration, interestingly. Is that your perception as well? Is that your expectation for the future? Jon Drimmer: Yeah, yeah, absolutely. Look, they are clearly sharpening the guidance. They are sharpening their policies in a way that is actually quite healthy. And I completely applaud the degree of transparency that we've seen in terms of talking about how these are applied, in terms of talking about how these are to be interpreted. So I applaud the transparency and I completely agree. It is getting much sharper, particularly around those aspects that really impact compliance professionals, like culture, like incentivization, like trying to establish commitments, like integrating compliance into employment processes. So I think it is getting smarter. And again, I think the transparency is really helpful, and particularly for chief ethics and compliance officers. Susan Divers: Great. And I agree. I mean, it's actually making people's jobs easier if they take the key messages in the guidance and are able to use the guidance to drive change in their organizations. So Jon, thanks so much for joining me on this episode. Just to wrap up, I'm Susan Frank Divers, and I want to thank everyone for listening to Principled Podcast by LRN. Jon Drimmer: Thank you. Outro: We hope you enjoyed this episode. The Principled Podcast is brought to by LRN. At LRN, our mission is to inspire principled performance in global organizations by helping them foster winning ethical cultures rooted in sustainable values. Please visit us at lrn.com to learn more. And if you enjoyed this episode, subscribe to our podcast on Apple Podcasts, Stitcher, Google Podcasts, or wherever you listen. And don't forget to leave us a review.
The 8BA Podcast is a casual talk show where we discuss geeky pop culture and relay some of our favorite news of the past week. QUICKFIRE NEWS Activision Blizzard. Frances Townsend steps down from her role as Chief Compliance Officer to become an advisor to the board and to Bobby Kotick. Blizzard Albany QA was given the clear from the NLRB to vote for unionization. Google Stadia. Google's game streaming platform is fully shutting down on January 18th. Google is providing refunds to consumers who bought into the platform. Disney Dreamlight Valley. Halloween season update will feature Scar and other villains. Skyrim: Anniversary Edition. Now available on Nintendo Switch for $70 (or as a $20 upgrade if you already own Skyrim). Horizon: Zero Dawn. Sony is reported to be working on a remake of the 2017 title, which will include graphical enhancements, accessibility features, and quality-of-life improvements present in Forbidden West. Bayonetta 3. Hellena Taylor and Platinum Games are embroiled in a messy controversy over pay. DEEP DIVE One D&D playtest review (Origins and Expert classes) QUEST LOG Last Week: What's been happening since July This Week: Start one piece of art for the 8bA book LINKS Website: https://8-bitadventures.com Patreon: https://patreon.com/8bitAdventures Merch: https://shop.8-bitadventures.com Join the Discord: https://discord.gg/FAPKjjQ “1-UP” is by Professor Shyguy. You can find his work at https://professorshyguy.bandcamp.com
Michael Garry is the founder and CEO of Yardley Wealth Management and a certified financial planner. Michael earned a B.S. and an MBA in Finance from Saint Joseph's University and a law degree (J.D.) from the Widener University School of Law, where he concentrated in tax, securities, and estate planning. Michael began his career as an intern with the Pennsylvania Office of the Attorney General, and he was admitted to the Pennsylvania and New Jersey State Bars. Michael served as a practicing attorney for two Philadelphia law firms before becoming a financial advisor. Michael honed his financial management skills by working with Merrill Lynch and then becoming vice president and Chief Compliance Officer at Global Investment Management, overseeing a 25-year-old Registered Investment Advisory firm's operations and legal compliance. Listen to this insightful RIA episode with Michael Garry about transitioning from the practice of law to financial advising. Here is what to expect on this week's show: What inspired Mike to leave the practice of law and become a financial advisor Who an ideal client is for a financial advisor The realization that a lot of people make tax-related mistakes What clients need to know about the current market environment The biggest challenges financial advisors are facing right now Connect with Michael: Website: http://yardleywealth.net Twitter: @MichaelJGarry Instagram:@yardleywealth Facebook: https://www.facebook.com/YardleyWealthManagement/ LinkedIn:https://www.linkedin.com/in/michaelgarry/ Learn more about your ad choices. Visit megaphone.fm/adchoices
Cody Hall has a diverse background in military, technology, and healthcare that makes him capable of leading the organization effectively. Cody led customer service and Human Resource teams from early-stage startups to industry-leading tech giants, creating benchmark customer experiences and employee journeys for teams, large and small. After his time with larger organizations, he set off to impact fast-growing companies, starting and assisting multiple startups in developing world-class teams, customer experiences, and technology workflows. After years in technology, Cody was recruited to join the Titanium Healthcare Team as the Chief Compliance Officer. Cody led the company's cultural development, policy and refined the organization's human capital management abilities. Cody's time at Titanium inspired the creation of Octiva in 2020. STAY CONNECTED: LinkedIn: https://www.linkedin.com/in/codhal/ Octiva Website: http://www.octivahealthcare.com/ __________________ Thank you again for joining us today! If you know anybody that would benefit from this episode please share it with them and help spread the knowledge and motivation. Don't forget to show your support for the Rise Up For You Podcast by writing a review on iTunes. Your feedback helps the success of our show and pushes us to continuously be better! Check out www.riseupforyou.com for more podcast episodes, webinars, events, and more to help you get to the next level in your personal and professional life! You can also follow us on Facebook, Instagram, LinkedIn, and Youtube @riseupforyou Looking for more support? Grab your free coaching call with our team completely FREE! Bring your questions about Confidence, Leadership or Business and we will assign you the best coach to provide customizable support. SCHEDULE YOUR FREE CALL HERE riseupforyou.com/coaching
By Adam Turteltaub Good communication is a two-way street, with both sides sharing their perspectives. Yet, observes Laura Valdespino (LinkedIn), Chief Compliance Officer, Booking Holdings Financial Services USA, too often it is one way, with compliance doing the talking. In this podcast, and in her in-person and virtual session at the 2022 Compliance & Ethics Institute, Laura outlines practices for creating a good dialogue with the workforce. It starts, she explains, by committing to listening. Engage with them, she advises, and look to creating opportunities for interactions through Q&A sessions or coffee and donuts. Once you are there with the workforce be sure to listen with unbiased ears to what people say they want and need from compliance. Be sure to also customize your message to the audience. Salespeople, manufacturing, IT and all the other parts of your organization will have different needs and will be listening for different information. Take the time to understand what motivates them. It helps build trust. How you communicate is also important. Learn what the frequency of communication that works best for your workforce is. Be sure to avoid lecturing, legalese and focusing on what they can't do. Instead keep the communication focused on the right way to achieve business goals and what we all need to do. Listen in to learn more, and be sure to attend her session at the live or virtual 2022 Compliance & Ethics Institute.
This episode features Bart Wilms - General Counsel, Chief Compliance Officer & Head of Impact at the Evercare Group. Evercare Group is an industry leader in the healthcare space. The Group operates several hospitals, clinics, and diagnostic centers across Africa and South Asia. They recently published their annual impact report for the year 2021/22 and Bart will be taking us through the highlights of the report and specifically how they are innovating in the digital health and health tech space. We'll also talk about their newly launched Evercare Foundation which has a vision of becoming the largest healthcare foundation in the world. Yes, you read that right. This is one very impressive healthcare organization that is at the cutting edge of blending brick and mortar health care with digital health in low and middle income countries. Learn more by visiting https://evercaregroup.com/ MedxTek Africa is produced and hosted by Dr Sam Oti, and co-edited by Veronica Ojiambo. If you have any thoughts on this episode, or recommendations of African health innovators that you'd like us to host on the show, please reach out directly by email: firstname.lastname@example.org or find us on Twitter or LinkedIn. Please note that the MedxTek Africa Podcast is distinct from Dr. Oti's role as a Senior Program Specialist at Canada's International Development Research Centre. The information provided in this podcast is not medical advice, nor should it be construed or applied as a replacement for medical advice. The MedxTek Africa Podcast, its production team, guests and partners assume no liability for the application of the podcast's content.
Access to credit is the key to opportunity and upward mobility for millions of Americans, yet less than half of Americans have access to prime credit today. AI and machine learning are helping lenders identify creditworthy borrowers without increasing risk, but some have questions about how these new technologies apply to Fair Lending laws. Annie Delgado, Chief Compliance Officer at Upstart , has been actively engaged in working with regulators on fair lending practices and shares how Upstart works to prevent bias in its AI algorithms. Join us as Jeff and Annie discuss: Policy implications of use of new technologies (like AI) in lending How to interact with regulators in this new space of AI and lending Why fair lending is a policy issue we need to be concerned about
On this episode of DGTL Voices, Ed chats with Cheryl Wahl, Chief Employee Engagement Officer for The Metro Health System in Cleveland, OH to discuss ethics & compliance, employee experience, and the culture of employee engagement. Cheryl is an experienced Chief Compliance Officer and corporate attorney with significant healthcare experience, including the provider, pharmacy and insurance areas.
Customer experience can make or break a brand. As Judy Turchin, founder of JPT Partners LLC and former COO of Eqinox puts it, “if you are not in touch with your customer, you've lost your way on the journey.” Today on The Business Side of Fitness Podcast we chat about all things related to customer experience including: What separates an outstanding customer experience from an okay one How organizations can measure their success (hint: it's not just about revenue) How often businesses should recalibrate their customer journey The first thing she looks at when reviewing a marketing strategy Tips on building your own business Opportunities for the fitness/wellness world in 2023 and beyond Tune into the conversation here: https://www.vanessaseveriano.com/podcast ABOUT THE HOST Vanessa Severiano has more than two decades of experience creating, developing and growing healthy lifestyle brands. Learn more about mentorship with Vanessa here: https://www.vanessaseveriano.com ABOUT TODAY'S GUEST Judy Turchin is a dynamic, people-centric executive with expertise in omnichannel customer experience and engagement, global operations, sales and marketing. Judy has a 25+ year track record in direct to consumer health/wellness/fitness, financial services, real estate and law. Over the past 10+ years Judy has held various C-suite roles including Chief Operating Officer, Office of the CEO, Chief Administrative Officer, General Counsel and Chief Compliance Officer for various global businesses. Ms. Turchin is the Founder of JPT Partners LLC, a global advisory firm that partners with companies and leadership teams to tackle their most critical strategic issues including customer experience, brand/marketing, operational excellence, real estate growth and programmatic employee wellness. Learn about Judy here: https://www.linkedin.com/in/judyturchin **SPREAD THE WORD Please make sure to rate, review and subscribe to The Business Side of Fitness wherever you listen to podcasts. Your support means so much and helps more than you know!
In this episode of the Above Board podcast, Morrison Foerster partner and host Dave Lynn speaks with partners James Koukios, former DOJ prosecutor and Senior Deputy Chief of the Criminal Division's Fraud Section in Washington, D.C., and Stacey Sprenkel, a skilled investigations attorney with decades of experience conducting corporate internal investigations and global risk assessments, on the importance of an effective ethics and compliance program for corporations and how the board of directors plays a critical role in that area. The board's role in overseeing the ethics and compliance function at companies is discussed, with a particular focus on the reporting structure from a Chief Compliance Officer to the board, how the board can assure itself that it is getting the right information at the right time, and how the board can positively impact compliance function. The speakers also share their top compliance tips and takeaways for board members.
Today I'm ecstatic to welcome the first Chief Compliance Officer In The Suite, Jessica Sexton, from Independent Advisor Alliance (IAA). Based in Charlotte, NC, Independent Advisor Alliance provides comprehensive solutions to allow financial advisors to move into private practice. When founder and CEO Robert Russo started the firm in 2013, he did it with only seven advisors. At this release, the firm has grown to over 215 partners across 23 states. And Jessica is part of the team that continues to pave the way for growth. But before becoming Chief Compliance Officer in February 2014, Jessica went through a spectrum of experiencesShe began her career at LPL Financial in 2006, where she attributes much of her growth to amazing managers and a supportive team. And when the recession hit in 2009, she made a significant transition to serve as a Project Manager for Impact Technologies Group, Inc., thanks partly to keeping in touch and forming meaningful relationships. Jessica also holds Series 7, Series 24, and Series 66 licenses. One of the many gifts you'll discover about Jessica Sexton in this episode is her ability to understand and know her strengths, particularly in compliance, and her passion for back-office operations. In today's episode, Jessica humanizes, demystifies, and busts many negative connotations related to her role in compliance. She gives detailed answers on what exactly her work entails and shares with us a real overview of her day-to-day responsibilities. She also talks about the opportunities and challenges she and the compliance team face and the skills needed to execute In The Suite. (01:55): Who is Independent Advisor Alliance(04:30) What Does a CCO exactly do?(10:30) Jessica's journey to CCO(21:20) Skills Required to Become a CCO (25:57) The Role of Technology in Compliance (27:32) Document. Document. Document(32:54) Dealing with Red Flags (37:17) Jessica's YouTube series(39:22) Jessica's love for horse riding(44:44) Jessica was part of the Coronavirus research study(47:40) Best Way to Contact Jessica(49:15) Jessica's choice of charityResourcesJessica Sexton LinkedIn Jessica Sexton Bio Independent Advisor AllianceRobert Russo, CEO of Independent Advisor Alliance Independent Advisor Alliance on YouTubeThe Rotary Foundation Communities in Schools®
Today on "The Journey," President Frederick has a candid conversation with Robert Clark, Howard University's Chief Compliance Officer and Dr. Erica Alexander, Howard University's Deputy Chief Compliance Officer.
When we pray and trust God with your dreams, the path to achieving that dream is not always clear. We don't know when and how things will happen and sometimes challenges can let us lose hope. No matter how dire the situation, it is important that you don't get weary but to continue to water the seeds that God has placed within you because it is the valley experiences that prepares us to step into our God given purpose. In this episode, my guest Cricket Snyder shares with us her dedication to her career as a Compliance Officer and how she navigated this with faith in God while facing many uncertain and ambiguous situations. Cricket is an amazing woman of God, a wife, a mother and she is the Chief Compliance Officer for Jefferson County Commission in Alabama. Cricket shares with us her journey to becoming the Chief Compliance Officer for Jefferson County and shares with us how she has not only prayed for this role but also to have a seat at the table where she can make impactful decisions. Join me and listen to Cricket Snyder as she shares her dedication to her career and how she navigated situations of uncertainty with faith and obedience. Key Highlights: · (01:18 - 12:47) · Cricket prayed for her current role as Compliance Officer and also that God will give her not only a seat at the table but to make decisions at the table with boldness and integrity. · (12:49 – 27:00) Taking the leap to leave the utilities company she devoted 14 years of her life to and how she navigated that uncertainty. · (27:06 – 42:34) “God never said that we had to get things the conventional way. All that He asks is that we believe, ask for wisdom and be obedient.” · (43:40 – 50:21) Wrapping Up! · Cricket's final advice for those who are experiencing similar situations or any situation of uncertainty or ambiguity. Key quotes “Do I feel that my Worth was more than my Comfort”. Cricket “If you are truly trusting God and you're truly listening and asking him for wisdom, he is going to ensure that there is nothing that you lack as a result of your obedience to him”. Cricket “The holy spirit, helped me to reel those thoughts in, and this is with this, you are in yourself, not, but because I am living in you, you are more come on than anything that they have asked you to do. You can exceed. and you can Excel in any and every task that is set before you.” Cricket. “I've never told you through my word that you had to get things the conventional way. The only thing that I've ever asked you to do is believe me, ask for wisdom and be obedient”. Cricket “Even if you make a mistake, God can call your mistakes to prosper”. Cricket “Don't despise those moments that you deem as those valley experiences, because it was the valley that even put me in the right mindset to even apply for something”. Cricket “Nothing comes from an un watered seed and uncultivated ground”. Cricket Let's connect You can connect with our guest, Cricket on LinkedIn: Cricket Snyder. You can connect with our host Amber Latrece on Instagram. Head to https://amberlatrece.com/ambiguity-with-ambi, and join us on this journey as we discover how to navigate the uncertain on Ambiguity with Ambi! Be sure to subscribe on Apple and Spotify, so you never miss an episode! LEAVE A REVIEW! Your ratings and reviews help get the podcast in front of new listeners. Your feedback also lets me know how I can better serve you.
General counsel shouldn't be seen as an obstacle to the success of the company; and yet, they are often seen as the unnecessary evil when reminding the team about compliance. In this episode, we speak with Jonathan Polk, General Counsel and Chief Compliance Officer at Melio, to learn about his mission to find balance in legal while generating consensus around the things that help a company grow. Join us as we discuss: Balancing compliance with culture Building trust with the team and consumers Walking the tightrope of compliance triage