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11 episodes with chief ethics
12 episodes with chief ethics
10 episodes with chief ethics
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11 episodes with chief ethics
4 episodes with chief ethics
2 episodes with chief ethics
3 episodes with chief ethics
What if your culture isn't defined by your values, but by the behavior you're willing to tolerate? Steve Harris has spent decades helping organizations create environments where employees feel safe speaking up, leaders model the right behaviors, and ethics become part of everyday decision-making. As Chief Ethics and Compliance Officer at Lincoln Financial, Steve shares practical examples of how organizations can build trust, strengthen accountability, and help managers create psychological safety within their teams. You'll hear how Lincoln reframed speaking up from a compliance obligation to a business imperative, why frontline managers have such a powerful influence on culture, and how one difficult experience early in Steve's career shaped his view of the difference between what is legal and what is ethical. His stories offer valuable lessons for any leader who wants values to guide behavior when decisions become difficult. In his role as Senior Vice President and Chief Ethics & Compliance Officer at Lincoln Financial, Steve leads the company's enterprise compliance and sustainability programs and helps shape a culture of ethical decision-making across more than 11,000 employees. Under Steve's leadership, Lincoln Financial has been recognized five times as one of Ethisphere's World's Most Ethical Companies. Before joining Lincoln, Steve spent more than a decade at The Hartford, another long-time Ethisphere honoree, and he's built a reputation for helping organizations integrate ethics into business strategy, leadership, and culture. He's also a frequent speaker on ethics and compliance and serves on several industry and academic advisory boards. You'll discover:Why speaking up drives business success How managers create psychological safety What trust looks like in practice Why listening builds stronger cultures The difference between law and ethicsConnect with Steve Harris on Social MediaLinkedIn Website Lincoln Financial Check out all the episodesLeave a review on Apple PodcastsConnect with Meredith on LinkedIn
What makes employees feel safe enough to speak up when something feels wrong? Eva Lehman shares how ethical cultures are built through leadership behaviors, trust, consistency, and systems that reinforce integrity every day. As Vice President and Chief Ethics and Compliance Officer at Marvell Technology, Eva offers a behind-the-scenes look at how their culture shapes employee behavior far beyond policies and compliance training. You'll hear how Marvell's leadership team reinforces ethical decision-making across a global organization, why middle managers are critical to sustaining trust, and how employees are empowered to raise concerns without fear. Eva also shares personal reflections about the difficult moments leaders face when values are tested, and why courage, empathy, and support from leadership matter so much in those situations. You'll discover: Why employees hesitate to speak upHow leaders reinforce ethical culture dailyWhat builds trust across global organizationsWhy managers are the ones shaping workplace microculturesHow Marvell approaches responsible AI governance Connect with Eva Lehman on Social MediaLinkedIn Website Eva's employer, Marvell Technology Check out all the episodesLeave a review on Apple PodcastsConnect with Meredith on LinkedIn
Holly Shick is Chief Ethics and Compliance Officer at the United States Olympic & Paralympic Committee (USOPC). She is also Vice Chair of the Board of the U.S. Olympic & Paralympic Museum and a member of the Board of Governors of the Partnership for Clean Competition. In this episode, Holly explains why the USOPC created her role in 2020, how the ethics and compliance environment at the USOPC has evolved over the past six years, and the role that she and her team play in major competitions like the recent 2026 Winter Olympic and Paralympic Games.
In this episode of Lennox ON AIR, Joe and Dave sit down with Betty Ungerman—Vice President, Deputy General Counsel, and Chief Ethics and Compliance Officer at LII Corporate—to explore how dealers create lasting impact beyond HVAC. Betty shares why giving back matters and how programs like Feel the Love and the LII Lennox Foundation strengthen communities and dealer relationships.We'll uncover the business benefits of community involvement, from boosting employee retention to building team culture, and share inspiring dealer stories. Plus, you'll learn practical ways to structure giveback programs that fit your business. If you're looking to inspire your team and elevate your brand, this episode proves why doing good is good for business.ON AIR is a Lennox Learning Solutions Production.
Want a behind-the-scenes look at how real leaders make ethics practical on a day-to-day basis? In this conversation with Noreen Fierro at Principal Financial Group®, you'll hear how, as Chief Ethics and Compliance Officer, she builds trust by asking questions, owning mistakes, and keeping teams aligned to values, not just outcomes. You'll also get an insider's view of the rigorous Ethisphere “World's Most Ethical Companies” application—what it takes, why cross-functional collaboration matters, and how to sustain momentum over months. You'll come away with fresh, usable ideas: pausing unsustainable busywork, watching for stress signals, and turning misses into shared learning instead of blame. Plus, you'll discover a mentoring approach grounded in humility, self-awareness, and long-term relationships that helps people grow with confidence. Noreen is Senior Vice President and Enterprise Chief Ethics and Compliance Officer at Principal Financial Group®. She joined Principal® in 2022. Her career spans 30 years in the financial services industry, both in-house in legal and compliance roles and as outside counsel. Prior to joining Principal in 2022, she was Chief Ethics & Compliance Officer at Guardian Life and before that held various senior-level positions at Prudential Financial. You'll hear Noreen's passion for strong leadership in our conversation, and she speaks often about it at industry events. You'll discover: How vulnerability (and “I don't know yet”) elevates leadership.A practical playbook for complex, months-long ethics initiatives. What to do after a miss: learn, don't blame. Ways to protect your team's capacity and values in real time.A mentoring style that blends humility, curiosity, and care.Check out all the episodesLeave a review on Apple PodcastsConnect with Meredith on LinkedInFollow Meredith on TwitterDownload the free ebook Listen Like a Pro
Episode 67 - Dr Natalie Banner is Chief Ethics and Engagement Officer at Genomics England, a UK Government-owned organisation advancing genomic research, medicine and the use of genomics in healthcare. Disclaimer: Please note that all information and content on the UK Health Radio Network, all its radio broadcasts and podcasts are provided by the authors, producers, presenters and companies themselves and is only intended as additional information to your general knowledge. As a service to our listeners/readers our programs/content are for general information and entertainment only. The UK Health Radio Network does not recommend, endorse, or object to the views, products or topics expressed or discussed by show hosts or their guests, authors and interviewees. We suggest you always consult with your own professional – personal, medical, financial or legal advisor. So please do not delay or disregard any professional – personal, medical, financial or legal advice received due to something you have heard or read on the UK Health Radio Network.
On today's show, Steve Roest, CEO of PocDoc speaks to Dr Natalie Banner is Chief Ethics and Engagement Officer at Genomics England, an organisation owned by the UK Government to provide the evidence and digital systems to drive advances in genomic research and medicine, and to support the implementation of genomics in healthcare.Genomics is being hailed as one of the big developments that will usher in an age of health, wealth and prosperity, but do you really know what it means? And what the ethical issues are around mapping our entire genetic structures?Natalie is responsible for helping Genomics England navigate the complex ethical challenges that arise at the intersection of genomic technology and care, ensuring that the organisation is a trustworthy steward of participants' data. This includes oversight for research regulatory compliance, extensive public and research participant engagement work, improving transparency and embedding meaningful approaches to equity across its programmes.Natalie has over a decade of experience in the ethics, policy and governance of emerging data-driven health technologies. She previously led the ‘Understanding Patient Data' initiative based at the Wellcome Trust, as well as the research sector Parliamentary advocacy on GDPR as it was being taken up into domestic law. She has a PhD in Philosophy and previously worked on conceptual issues relating to mental capacity and decision-making in clinical contexts.
In this episode of the Great Women and Compliance Podcast, co-hosts Hemma Lomax and Lisa Fine discuss the breadth and depth of effective risk assessments with guests Jisha Dymond and Lisa Beth Lentini Walker. Jisha and Lisa Beth have both worked in highly regulated and high-profile industries. Jisha most recently served as Chief Ethics & Compliance Officer at OneTrust, and Lisa Beth is currently the Deputy General Counsel, Corporate Legal, and Assistant Secretary at Marqeta, as well as the CEO and Founder of Lumen Worldwide Endeavors. They discuss various aspects of assessing risk and how to align the needs best for your compliance risk assessments with other functions to develop strategic and holistic approaches that influence organizational direction. The discussion touches on the importance of cross-functional collaboration, effective use of data and AI, and practical steps for implementing comprehensive risk management processes. Key highlights include: Holistic vs. Compliance Risk Assessments Engaging Key Stakeholders Building Trust and Cross-functional Collaboration Data-Driven Risk Assessments The Role of AI in Risk Management
peaking up in professional settings can be challenging, but it's one of the most important skills for career growth and leadership. In this episode, Jisha Dymond, a Chief Ethics and Compliance Officer, shares insights on how to strategically and skillfully advocate for yourself in high-stakes environments. Please visit my website to get more information: http://www.lexib.com/ Whether you struggle with asserting your ideas in meetings, handling workplace conflicts, or navigating corporate spaces as an underrepresented voice, this conversation will equip you with practical strategies to communicate effectively and build confidence.We cover:✔ How to navigate tough conversations in the workplace✔ The importance of intentionality and empathy in communication✔ Strategies for overcoming self-doubt and imposter syndrome✔ Practical tips for making your voice heard and respectedIf you've ever felt hesitant to speak up in meetings, negotiate for yourself, or share your ideas boldly, this episode will give you the tools to own your voice and thrive in any professional setting.
Bhuva Shakti is the Chief Product Operations Officer at Wallet Max, where she's driving software innovation and expanding private investments for executives, venture capitalists, and sustainable startups. With an MBA from Columbia and over 30 years on Wall Street, Bhuva has led digital transformation across investment banks and payment networks worldwide.She's steered major risk and compliance efforts during the financial crisis and the pandemic, and today, she's a board director, keynote speaker, and advisor to tech companies and climate-fintech partnerships.Bhuva also serves as the USA Country Director for the World Business Angels Investment Forum and Chief Ethics & Culture Officer for Women in AI Worldwide.From enterprise risk to inclusive innovation — Bhuva brings wisdom, strategy, and heart. You don't want to miss this one.More Info: Bhuva's Impact GlobalBhuva's LinkedIn ProfileWallet Max Official WebsiteSponsors: Become a Guest on Master Leadership Podcast: Book HereAgency Sponsorships: Book GuestsMaster Your Podcast Course: MasterYourSwagFree Coaching Session: Master Leadership 360 CoachingSupport Our Show: Click HereLily's Story: My Trust ManifestoSupport this show http://supporter.acast.com/masterleadership. Hosted on Acast. See acast.com/privacy for more information.
As we celebrate our 100th episode, we've invited Richard Bistrong, CEO of Front-Line Anti-Bribery and Klaus Moosmayer, Chief Ethics, Risk and Compliance Officer at Novartis, to dive into the essential role of humility in leadership. Together with host Tobias Sturesson, they explore how acknowledging imperfections, owning mistakes, and repairing trust can lead to significant positive shifts in organizational cultures. Tune in to this episode as we explore: The roots and virtues of humility Humility vs. corporate arrogance Balancing transparency and investor expectations Personal journeys to embracing humility Effective responses to corporate scandals The pitfalls of corporate forgetfulness Building a culture where ethics thrive ‘You Can Culture: Transformative Leadership Habits for a Thriving Workplace, Positive Impact and Lasting Success' is now available here.
In this episode of The Ethics Experts, Nick welcomes Olaf Casperson. Olaf Casperson is the Chief Ethics and Compliance Officer for HCLTech. In this global role, he is responsible to the Board of Directors, CEO and General Counsel for implementing HCL's Ethics and Compliance program to include the CODE of Business Conduct, Anti-Bribery Anti-Corruption, Anti-Money Laundering, Conflict of Interest and Business Gifts and Entertainment policies and processes.
In this episode of Great Women in Compliance, Hemma and Sarah visit with Roxanne Petraeus and Susan Frank Divers to talk about intentionally building a “Listen Up” culture. Tune in to hear the powerful origin stories of two great women in compliance who have been moved to drive significant impact in this space, from enterprising business solutions, to innovative learning and development strategies, to thoughtful approaches to measuring culture and employee sentiment as a measure of success. Highlights include the ways in which listening builds trust, how to measure impact, not activity, how to achieve integrated risk management, how to design your employee training with employee experience and employee sentiment in mind, and despite our aspirational claims to be building a strong speak up culture, how our employees will always be the actual arbiter of our success. You can learn more about Roxanne and Susan's work at www.ethena.com. Biographies Roxanne Petraeus is the CEO and Co-Founder of Ethena, a compliance training platform startup with intuitive and powerful admin tools that make required training easy, engaging, and effective. Roxanne previously consulted for McKinsey, and before that, she was an officer in the US Army. She found that no matter the setting, whether consulting or in the military, there remained an opportunity to make compliance training better. She started Ethena in 2019 with Co-Founder Anne Solmssen. Ethena enjoys incredibly positive word of mouth within the HR community, and is trusted by thousands of companies like Figma, Notion, Noom, Pinterest, and Carta to provide actionable training. And the employees love it: Ethena has a 93% positive rating, and over 2M positive reviews. Roxanne is a natural leader, and her eagerness to question and reinvent old paradigms is at the heart of Ethena's ascendance. Susan Frank Divers serves as an advisor to Ethena, Inc., an all-in-one compliance training platform that helps companies create more ethical and inclusive work cultures. Prior to joining Ethena, she was the director of thought leadership and best practices for LRN Corporation for seven years. She has 30+ years' accomplishments and experience in the ethics and compliance arena. This expertise includes building state-of-the-art compliance and training programs, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and sharing substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Ms. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Ms. Divers' thought leadership in the ethics field. In 2011, Ms. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. #GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards. This is a people's choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164 Resources Join the Great Women in Compliance community on LinkedIn here.
By Adam Turteltaub “What else should the board be asking?” It's a good question in general and the tile of a session at the SCCE Compliance & Ethics Institute, which will be held September 22-25, 2024 in Grapevine, TX. In this podcast, the leaders of that session, Deborah Spanic, Chief Ethics & Compliance Officer of Clarios, and David Gebler (LinkedIn), Principal of Leading with Ethics, share that there are three fundamental questions the board should be asking about the compliance program: Is the compliance program well designed and aligned with risk? Is the program being applied earnestly and in good faith with adequate resources? Does the compliance program work in practice? From there a host of other questions fall out including those focused on culture and on the connection between the compliance program and the enterprise's overarching strategy. Making sure the board is asking the right questions, and getting the answers it needs, requires a strong relationship with the compliance team. In Deborah's case that includes being a standing agenda item for the audit committee each quarter and having a one-on-one conversation each mid-cycle with the audit committee chair. Listen in to learn more, and then be sure to join their session in Grapevine at the Compliance & Ethics Institute.
Activision's Chief Ethics and Compliance Officer Jen Brewer is in The Legal Department to share her experience leading a global ethics and compliance function. An award-winning corporate governance and compliance professional, Jen led a cultural transformation at Activision Blizzard and engaged 140+ "heroes" in the company to promote a culture of openness, transparency, and listening. In this episode, she talks about how to build trust after crisis, how to work with diverse teams, and do the right thing for the culture and the company. She shares why patience, understanding, and listening are key ingredients to a functional culture and why transparency is the new imperative in investigations. And like Sia, Jen is "Unstoppable" facing any challenge.
Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence
Today we're joined by Klaus Moosmayer, Chief Ethics, Risk and Compliance Officer for Novartis, the Swiss pharmaceutical giant.Klaus has had a distinguished career. He joined Novartis in 2018 after serving 18 years at Siemens where he was Chief Compliance Officer. He began his career as a lawyer in Germany, specializing in white collar crime, business law and litigation.His views on compliance, ethics and risk are widely sought after and we first got to know him years ago when Klaus took part in a Regulatory Intelligence conference. The focus at the time was on how the financial industry might learn how other industries deal with issues of misconduct and culture.We're here today to discuss a new article by Klaus, entitled ETHICS AND INTEGRATED ASSURANCE: THE CHALLENGE OF BUILDING ‘TRUST'. The article argues for a new organizational model for compliance.Here is a link to the article: https://riskandcompliancemagazine.com/ethics-and-integrated-assurance-the-challenge-of-building-trust-apr24-open Compliance Clarified is a podcast from Thomson Reuters Regulatory Intelligence.Listen to wide-ranging, insightful discussions on all things compliance for financial services firms. We delve into the hot topics of the day, the challenges faced and offer up practical ideas for emerging good practice. We de-mystify regulation and explore the art, as well as the science, of the ever-expanding role of the compliance officer. Enforcements, digital transformation, regulatory change, governance, culture, conduct risk – anything and everything impacting the compliance function is up for discussion.
Klaus Moosmayer joined Novartis in 2018 as Chief Ethics, Risk and Compliance Officer and a member of the Executive Committee. He was previously chief compliance officer at Siemens AG, where he spent 18 years in roles of increasing seniority. He began his career as a lawyer in Germany, specializing in white-collar crime, business law and litigation. In this episode we explore the reality of ethical dilemmas in the corporate world, the importance of building trust, especially in the pharmaceutical industry, and the value of creating an inviting atmosphere for discussions on ethics and compliance. Klaus also discusses the development of a new code of ethics at Novartis – likening it to the company's constitution. Links Mentioned: Cultureandleadership.org ‘Blind Spots' by Ann Tenbrunsel and Max Bazerman Klaus Moosmayer on LinkedIn
In this episode of Investing In Integrity, our CEO, Ross Overline has a conversation with Katie Lawler, the EVP and Global Chief Ethics Officer at US Bank. Having started her career as a labor and employment attorney, Katie has spent close to twenty-two years with US Bank, working in legal, human resources, and ethics roles. Katie's role at US Bank involves balancing culture and compliance. She focuses on building systems, structures, and processes to ensure every employee acts with high integrity. Unlike a typical Chief Ethics and Compliance Officer, her role is distinct from regulatory compliance. Financial services are fundamentally based on trust, requiring high levels of integrity. Recognizing the broader impact of financial services on various aspects of the economy highlights the importance of ethical practices in this industry.
Welcome to the Great Women in Compliance. In this episode, Lisa and Ellen have as guests Haydee Olinger and Avril Ussery Sisk to discuss the Board and Compliance. The Chief Ethics &Compliance Officer should be reporting regularly to the Board, but how do you know what the Board expects, especially if there are layers between you and the Board? In this #GWIC episode, @Lisa Fine and @Ellen Hunt talk with @Haydee Olinger and @Avril Ussery Sisk, both current board members and ethics experts, about what they expect from the Chief Ethics and Compliance Officer. You can hear this episode on Corporate Compliance Insights or wherever you hear podcasts. https://lnkd.in/d9VGcfw Listen in for how these Board members want the Chief Ethics & Compliance Officer to provide pre-reads, meaningful metrics, and focus on the “high hard risks.” Learn about how to build relationships with the Board and ask for resources as well as how to gain financial knowledge and business acumen. If you are thinking about getting on a Board, Haydee and Arvil share their journey and thoughts about how you can get started on your journey. Resources Join the Great Women in Compliance community on LinkedIn here.
By Adam Turteltaub A good employee survey on compliance and ethics can yield a wealth of data on how your program is and isn't working, where the risks are, and how to move forward. The challenge is getting the survey right and getting employees to respond. Klaus Moosmayer, Member of the Executive Committee and Chief Ethics, Risk and Compliance Officer at Novartis, shares in this podcast that the compliance team has just completed the second round of their survey. The goal was to get first-hand data from as many employees globally as they could about any unethical behavior they perceive around them and how it is acted on. The survey was developed with substantial help from behavioral scientists, who created a questionnaire that captured where the company is now but also enabled them to dig deeper into key issues. For example, in the first round of the survey the Novartis team discovered that approximately 80% of employees go first to their leaders and managers when seeing unethical behavior. In the second survey they focused on what the leaders are doing with those reports. To encourage responses from employees, they invested the time in preparing the workforce and setting the context that the survey is a part of a broader effort to strengthen company culture. The messaging behind the survey was both local and global, with company presidents underscoring the importance of the study. After the first survey was completed, they made the effort to showcase how the data was used and what would be changing at Novartis as a result. That helped earn higher participation rates for the second survey. How does the data get used? The aggregated data helps inform leadership and enabled conversations as high as the board level. The data is also incorporated into the company's integrated digital ethics, risk and compliance platform. Country managers are shown their data and told how it compared to other regions, which, of course, indicates how well they are or aren't doing versus their peers. Local leaders are then encouraged to use the data to have roundtables, town halls and other meetings to understand why their scores are what they are. Listen in to learn what made the Novartis survey so successful and how to improve your own.
Come join us for a story or two and tap the shoulder of the storyteller in you. Sarah Hadden and Hemma Lomax were simply enchanted by a presentation by Michelle Beistle and Ashley Dubriwny on the art of story building at the SCCE Compliance and Ethics Institute in Chicago earlier this year and couldn't wait to share this experience with the GWIC community. Michelle and Ashley literally wake up every day to save the planet in their roles as compliance professionals at The Nature Conservancy (TNC). They have a magnificent talent not only for spinning together an engaging story that awakens the senses, and achieves impact, connection and relevance, but also for helping others to recognize that we all have it in us to create inspiring and poignant stories. With the help of some simple building blocks and concrete steps, Michelle and Ashley show us that all humans are innately capable of using everyday experiences to build relevant and engaging stories and to share powerful and memorable messages. Inspiration is everywhere. You won't want to miss this masterclass opportunity to unlock the power of story building for your compliance program and beyond. Michelle Beistle joined TNC in April 2019 as the Chief Ethics & Compliance. She is responsible for implementing and managing TNC's global Ethics program. Michelle leads a global team who work to promote and foster a culture of integrity across the organization. Michelle is an experienced leader known for collaboration, problem-solving and strategic business acumen. She is a Certified International Compliance and Ethics Professional (CCEP-I), has years of experience creating and sustaining ethical cultures, and speaks frequently on ethics. Ashley Dubriwny is the Director of Ethics & Compliance for North America and Micronesia at the Nature Conservancy. Her areas of professional focus include global communications, Code of Conduct, and partnership building with staff and leaders. Ashley has been part of the Conservancy's North America Staff Enrichment Planning team since 2014 and is a High Impact Conversations Coach. Ashley has 20+ years of human resources experience with specialized training in performance management, leadership development, and coaching. She holds an M.Ed. in Curriculum Design and Adult Instruction and a graduate certificate in Leadership from eCornell. The Great Women in Compliance Podcast is on the Compliance Podcast Network with a selection of other Compliance related offerings. GWIC is also sponsored by Corporate Compliance Insights, where we have a page where you can hear every episode. If you are enjoying this episode, please rate it and/or provide a review. Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.
Although governance may not be a flashy topic in the world of upstart entrepreneurs, overlooking it can cause billions of dollars of loss for otherwise savvy investors. In this episode of the Principled Podcast, host Susan Divers discusses why good governance matters with Bruce Karpati, partner and global chief compliance officer at the private investment firm Kohlberg Kravis Roberts & Co. (KKR). Listen in as the two explore how governance plays a crucial role in the way KKR selects its portfolio companies and manages them. For a full transcript of this podcast, visit the episode page at LRN.com. Guest: Bruce Karpati Bruce Karpati joined KKR in 2014 and serves as the firm's global chief compliance officer and counsel. Prior to joining KKR, he was the chief compliance officer of Prudential Investments, the mutual fund and distribution business of Prudential Financial. Mr. Karpati was previously the national chief of the SEC's asset management unit which he co-founded. In this role, he supervised a staff of 75 attorneys, industry experts, and other professionals. Mr. Karpati joined the SEC as a staff attorney in 2000, was promoted to branch chief in 2002, assistant regional director in 2005, and co-chief of the SEC's Asset Management unit in 2010. In 2007, he founded the SEC's hedge fund working group, a cross-office initiative to combat securities fraud in the hedge fund industry. Mr. Karpati also serves as an adjunct professor at Fordham University Law School. He began his career in private practice at Dechert LLP. Mr. Karpati earned his JD cum laude from the University at Buffalo Law School, and his bachelor's degree cum laude in International Relations from Tufts University. Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008.
By Adam Turteltaub In the September 2023 issue of Compliance and Ethics Professional® (CEP) magazine, Andrea Falcione (LinkedIn), Chief Ethics and Compliance Officer and Head of Advisory Services of Rethink Compliance LLC, wrote about fostering a speak-up culture. Institutional justice, she wrote, is a critical part of that effort and “paramount to gaining and keeping employee trust.” To learn more about the topic, I sat down with her for this podcast, in which she explains that there are four elements of institutional justice. The first is Respect for everyone involved in an incident. That includes the person who comes forward with an allegation of course, but it should also include those the allegation was raised against, any witnesses and also people who come forward to self-report. By doing so, you make it clear that it is safer and better to come forward when there is wrongdoing. Voice is the second element. She shares that this means allowing people to speak and share their story. It also means listening attentively, showing interest, making good eye contact and asking open-ended questions. Neutrality is about making unbiased decisions and not letting a conflict of interest get in your way, such as when investigating a high performer in the organization. Transparency, about both the process and the outcome, is the fourth key element. It helps build trust that the process is fair and demonstrates that there will be a thoughtful response by the organization. Listen in to learn more about what institutional justice is and how to improve it in your organization.
In 1986, Allan McDonald was the head of the Space Shuttle Solid Rocket Motor program at Morton Thiokol, the company that built the rocket boosters for NASA's Challenger space shuttle. Allan warned NASA management that the Space Shuttle Challenger was at risk of exploding. They didn't listen and the world watched the disaster unfold on their TV screens. There's a fine balance between getting things done and getting them done the right way. Every business has deadlines, technical hurdles, and contractual pressures to consider. But what happens when you create an environment that prevents people from sharing ideas and concerns?James R. Hansen, author of Truth, Lies and O-Rings: Inside the Space Shuttle Challenger Disaster, tells Allan's story, and Jisha Dymond, OneTrust's Chief Ethics and Compliance Officer, explains how NASA's workplace culture contributed to the disaster.
A lot of press coverage tends to conflate environmental, social, and governance initiatives exclusively with environmental stewardship and climate change. While the “E” of ESG is certainly important, organizations that overlook the “S” and “G” could open themselves up to other crises such as human rights violations and data breaches. In this episode of LRN's Principled Podcast, host Susan Divers discusses best practices for integrating governance and social impact considerations into ESG strategy with Sony Group's Global Ethics & Compliance Strategy Leader, Kathleen Franklin. For a full transcript of this podcast, visit the episode page at LRN.com. Guest: Kathleen Franklin Kathleen Franklin is the Global Ethics & Compliance Strategy Leader for the Sony Group Companies, where she is responsible for promoting a culture of ethics and devising enterprise-wide solutions for critical risk areas. She also acts as the chief compliance officer for Sony Corporation of America and its operating subsidiaries. Prior to joining Sony, Kathleen was a partner and co-chair of the Corporate Governance Group for Boies, Schiller and Flexner, LLP. Kathleen is also a member of the board of directors of Bank OZK (NASDAQ:OZK) where she serves on the Risk Committee. Bank OZK is headquartered in Little Rock, Arkansas, conducts banking operations through 240 offices in Arkansas, Georgia, Florida, North Carolina, Texas, South Carolina, New York and California, and has approximately 27 billion in assets. Kathleen graduated magna cum laude from Siena College, Loudonville, New York, where she received a Bachelor of Science degree in Business Administration. She graduated magna cum laude from Albany Law School of Union University and earned an LL.M in Taxation from New York University School of Law. Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008.
ChatGPT and other generative AI tools have caused a sensation in the marketplace. Some are heralding AI as the best innovation to come along since the internet, while others are fearful of its unforeseen, large-scale impact. For the E&C practitioner, what are the major risks and mitigation strategies that need to be in place? On this episode of LRN's Principled Podcast, host Susan Divers explores the current and evolving risk landscape surrounding ChatGPT and generative AI with Jonathan Armstrong, a partner at the legal compliance firm Cordery. For a full transcript of this podcast, visit the episode page at LRN.com. Guest: Jonathan Armstrong Jonathan Armstrong is an experienced lawyer based in London with a concentration on compliance and technology. His practice includes advising multinational companies and their counsel on risk and compliance across Europe. Cordery gives legal and compliance advice to household name corporations on prevention, training, and cure—including internal investigations and dealing with regulatory authorities. Jonathan has handled legal matters in more than 60 countries involving cybersecurity and ransomware, investigations of various shapes and sizes, bribery and corruption, corporate governance, ethics code implementation, reputation, supply chain, ESG, and global privacy policies. Jonathan has been particularly active in advising multi-national corporations on their response to the UK Bribery Act 2010 and its inter-relationship with the US Foreign Corrupt Practices Act (FCPA). Jonathan qualified as a lawyer in the UK in 1991 and has focused on technology and risk and governance matters for more than 20 years. He is regarded as a leading expert in compliance matters. Jonathan has been selected as one of the Thomson Reuters stand-out lawyers for 2023 —an honor bestowed on him every year since the survey began. In April 2017, Thomson Reuters listed Jonathan as the 6th most influential figure in risk, compliance and fintech in the UK. In 2016 Jonathan was ranked as the 14th most influential figure in data security worldwide by Onalytica. In 2019 Jonathan was the recipient of a Security Serious Unsung Heroes Award for his work in Information Security. Jonathan is listed as a Super Lawyer and has been listed in Legal Experts from 2002 to date. In July 2023 Jonathan was appointed to the New York State Bar Association Presidential Task Force on Artificial Intelligence. Jonathan sits on the Task Force with leading practitioners, regulators, judges and academics to develop frameworks for the use and control of AI in the legal system. Guest: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008.
Keeping the focus on the human element of ethics and compliance can help E&C programs move from “cop” to “coach.” But what does that look like in practice? In this episode of the Principled Podcast, host Susan Divers talks about the importance of humanizing ethics and compliance with Adam Balfour, the author of Ethics & Compliance for Humans. Listen in as the two discuss best practices that Adam has used over the course of his E&C career, managing regional and global ethics and compliance programs as well as leading areas of global risk management and privacy. For a full transcript of this podcast, visit the episode page at LRN.com. Guest: Adam Balfour Adam Balfour is on a mission to help make ethics and compliance more relatable and relevant for his fellow human beings. He likes to design ethics and compliance programs that employees can actually relate to, engage with and find useful. Originally from Scotland, Adam worked for a number of years as an attorney for two international law firms in New York before moving to Nashville, Tennessee to work for Bridgestone. He is an active member in the ethics and compliance community, a co-editor of the "Compliance and Ethics: Ideas & Answers" newsletter together with Joe Murphy, Jeff Kaplan, and Rebecca Walker, and CCEP certified. His first book, Ethics & Compliance for Humans, was published by CCI Press and is available now. Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.
The US Department of Justice Criminal Division has been increasingly vocal about what makes organizations' ethics and compliance programs effective. This input on program effectiveness takes the form of guidance to prosecutors about what questions to ask when companies negotiate to resolve DOJ investigations into corporate wrongdoing on favorable terms. What does this guidance on program effectiveness mean in practice for E&C professionals? In the season 10 premiere of LRN's Principled Podcast, host Susan Divers speaks with John Michelich, who retired last November after 35 years as a federal prosecutor with the Department of Justice's Criminal Division. Listen in as they explore how the DOJ evaluates E&C programs, as well as best practices for companies settling misconduct investigations. For a full transcript of this podcast, visit the episode page at LRN.com Guest: John Michelich John Michelich is a retired career prosecutor, who has served at the state, federal, and international levels for 45 years. A native of Illinois, John received his undergraduate education at Illinois Wesleyan University and then attended Drake University Law School in Des Moines, Iowa. For 10 years, John served as Assistant State's Attorney and First Assistant State's Attorney in Springfield, Illinois, where he prosecuted all types of state criminal felony violations including armed robbery, aggravated sexual assault and capital murder. In 1988, John moved to Washington, DC where he began his 35-year career as a prosecutor with the US Department of Justice, Criminal Division. As a federal prosecutor, John has handled a wide variety of cases including child pornography and obscenity, narcotics distribution and all types of white-collar criminal cases. John served for 30 years as a prosecutor with the Fraud Section of the Criminal Division where he handled numerous cases including health care fraud, bank fraud, telemarketing fraud, commodities and securities fraud and violations of the Foreign Corrupt Practices Act. Because Washington DOJ lawyers are traveling prosecutors, John has handled grand jury proceedings or jury trials in more than two dozen federal districts nationwide from Guam and Hawaii to Puerto Rico, and California to New York. Over his long career, John has tried dozens of jury trials to verdict. In 1998, the Justice Department sent John on loan to the United Nations' International Criminal Tribunal for the Former Yugoslavia, also known as the War Crimes Tribunal, in the Hague, Netherlands, where he handled investigations and Tribunal proceedings involving crimes against humanity and serious breaches of the Geneva Convention that occurred during the Yugoslavian civil war. For over 40 years, John has been an active instructor of Trial Advocacy and has appeared regularly on the faculty of the NITA Trial Practice course offered at Georgetown University Law Center. In addition, John has served as an Adjunct Professor at Georgetown, teaching Trial Practice courses to third-year law students. In his retirement, John is available as a legal consultant to trial lawyers to advise them in preparation for jury trials and to consult with corporate counsel concerning internal investigations and to advise them on how to approach the government when there are allegations of wrongdoing, especially foreign bribery. John is licensed to practice in the states of Illinois and Iowa, and several federal courts, and is a licensed Solicitor of the Senior Courts of England and Wales. Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.
Join your host Tobias Sturesson and his guests, Michaela Ahlberg and Anna Romberg - co-authors of The Grey Zone, on this practical and insightful episode of the Leading Transformational Change podcast. In this conversation, they discuss how to promote a healthy, ethical and values-driven culture in your organization. Michaela and Anna also talk about their Responsible Leadership Program - what they were trying to accomplish, what they learned along the way, and what results they've seen.Michaela Ahlberg was instrumental in developing the Ethics and Compliance functions at several large multinational companies as the Chief Ethics and Compliance Officer at Telia Sonera, Volvo Cars, Nokia Siemens Networks and Getinge. Anna Romberg is the current Executive Vice President of Sustainability, Legal, and Compliance at Getinge. She is also co-founder of the Nordic Business Ethics Initiative. Michaela and Anna are co-authors of The Grey Zone. Duration: 48:03
Ethics and compliance practitioners are often thinking about ways to engage their employees and motivate them to live their values, rather than doing the minimum required by the rules. But how can you make engagement real on a global scale when you're dealing with a truly global workforce? In this episode of LRN's Principled Podcast, host Susan Divers discusses how E&C professionals can make their international programs resonate through localization with John Toy, the chief of ethics and sustainability at GlobalFoundries. Listen in as the two talk about John's approach to this problem, which can be summed up in two words: enterprise engagement. For a transcript of this podcast, visit the episode page at LRN.com. Download LRN's 2023 Ethics & Compliance Program Effectiveness Report for more best practices. Guest: John Toy John Toy is the chief ethics and sustainability officer at GlobalFoundries (GF), a global leader in feature-rich semiconductor manufacturing. In this role, John leads the company's ethics and compliance program, which he designed and implemented, in addition to GF's environmental, social, and governance (ESG) functions. Previously, John held various positions in human resource (HR) leadership for the company, including global talent acquisition and global learning and organizational development leader. Prior to GF, John was employed by medical device maker Boston Scientific Corporation. His professional experience includes leading all aspects of HR at an ~800 employee operations facility; leading a global initiative to transform HR service delivery to include creation of service support centers in Hungary and Canada; and the creation and leadership of an internal HR Service Excellence function. John also led training and development for Global Operations, where he established the function and an integrated network of training representatives from each of the company's manufacturing facilities in the US, Costa Rica, Ireland, and the Netherlands. Before his corporate roles, John was previously engaged in private legal practice with a focus on labor and employment matters. John has appeared before state and federal courts and several administrative bodies, including the NY Division of Human Rights and the National Labor Relations Board. He is a graduate of Albany Law School of Union University, and of the State University of New York at Binghamton, where he studied Industrial and Labor Relations. 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.
Does learning actually occur as a result of ethics and compliance training, or are employees just paying lip service when they take courses? How can you tell the difference? Today, the E&C community is focused on program impact and effectiveness rather than checking boxes—in part because regulators have made it clear that E&C programs must show impact from their activities. On the season 9 finale of the Principled Podcast, Susan Divers discusses how compliance teams can ensure they're getting the right insights to improve their programs with Kristi Kevern, the senior managing director at Dell Technologies. Listen in as Kristi shares how her team collects and analyzes data to better manage and enhance Dell's E&C program—particularly in the training area. For a transcript of this podcast, visit the episode page at LRN.com. Guest: Kristi Kevern Kristi Kevern is an innovative thought leader with 20+ years of experience in internal controls design, implementation, management, and assurance. At Dell Technologies, Kristi drives enterprise-wide risk management and governance activities, conceptualizes and implements global programs aimed at mitigating FCPA, AML, SOX, ESG and other key risks, turns findings into fixes with post-investigation remediation, and experiments with AI/ML for further prevention and insights using data. Prior to Dell, Kristi served as a founding member of the Coca-Cola Company's Ethics Office, where she investigated allegations of fraud and served as ethics advisor to the credit union. As a former Big 4 manager at PricewaterhouseCoopers LLP, Kristi led assurance and attestation engagements for Fortune 500+ clients. Kristi is a recipient of TRACE International's Innovation Award, and she has led Dell Technologies to an Ethisphere World's Most Ethical Company designation 10 times. She is membership chair of the Conference Board's Global Business Conduct Council and a frequent speaker at conferences and universities. Kristi graduated with honors from Auburn University and is a Certified Public Accountant residing in Austin, Texas. Host: Susan Divers Susan Divers is a senior advisor with LRN Corporation. In that capacity, Ms. Divers brings her 30+ years' accomplishments and experience in the ethics and compliance area to LRN partners and colleagues. This expertise includes building state-of-the-art compliance programs infused with values, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance and substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance. Prior to joining LRN, Mrs. Divers served as AECOM's Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM's ethics and compliance program garnered six external awards in recognition of its effectiveness and Mrs. Divers' thought leadership in the ethics field. In 2011, Mrs. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company's ethics and compliance program. Mrs. Divers' background includes more than thirty years' experience practicing law in these areas. Before joining AECOM, she worked at SAIC and Lockheed Martin in the international compliance area. Prior to that, she was a partner with the DC office of Sonnenschein, Nath & Rosenthal. She also spent four years in London and is qualified as a Solicitor to the High Court of England and Wales, practicing in the international arena with the law firms of Theodore Goddard & Co. and Herbert Smith & Co. She also served as an attorney in the Office of the Legal Advisor at the Department of State and was a member of the U.S. delegation to the UN working on the first anti-corruption multilateral treaty initiative. Mrs. Divers is a member of the DC Bar and a graduate of Trinity College, Washington D.C. and of the National Law Center of George Washington University. In 2011, 2012, 2013 and 2014 Ethisphere Magazine listed her as one the “Attorneys Who Matter” in the ethics & compliance area. She is a member of the Advisory Boards of the Rutgers University Center for Ethical Behavior and served as a member of the Board of Directors for the Institute for Practical Training from 2005-2008. She resides in Northern Virginia and is a frequent speaker, writer and commentator on ethics and compliance topics. Mrs. Divers' most recent publication is “Balancing Best Practices and Reality in Compliance,” published by Compliance Week in February 2015. In her spare time, she mentors veteran and university students and enjoys outdoor activities.
Following Rob's Keynote at TechGC's Fullstack GC Summit in San Francisco, this episode takes a deep dive in how legal leaders can help drive a culture of integrity in their business. This comes just a few weeks before TechGC's Integrity Summit which is open for both Members and Non-Members can sign up.>>To learn more about TechGC Membership, please go hereRob is a graduate of Harvard Law School and the University of Virginia. He worked for 14 years with the U.S. Justice Department, including 10 years as an Assistant United States Attorney in Northern Virginia. As a federal prosecutor, Rob ran the Major Crimes unit and prosecuted a wide variety of cases, including bank robberies, kidnappings, murder, and drug trafficking organizations. He handled the prosecution of CIA, FBI and other employees of the intelligence community for espionage, including CIA employee Aldrich Ames. He is the recipient of the Justice Department's John Marshall Award for litigation, and the CIA's Outstanding Service Medallion. In 1999, Rob left the U.S. Attorney's Office and moved to California to become eBay's third attorney, handling a wide variety of litigation, IP and regulatory/compliance matters for the company globally. Rob was promoted to run the company's North American legal division in 2001, and in 2004 he was promoted to eBay's executive leadership team as Sr. Vice President of a newly created Trust and Safety department. As the founder and head of eBay Trust and Safety, Rob was responsible for overseeing all site rules and policies for the eBay global community of over 150 million users, and building the first ecommerce person to person platform trust and safety team. Rob and his team built eBay's fraud detection and prevention infrastructure, and his team of over 2000 employees reduced reported fraud and counterfeiting activity on eBay's 20+ sites by 60% over 4 years. Rob was eBay's spokesperson for site policies and fraud, and he was interviewed in over 200 television, newspaper, radio, and magazine stories for his pioneering role in combating Internet fraud. He left eBay in the fall of 2008 to become the General Counsel of LiveOps, Inc. in Santa Clara, CA, and moved to Chegg in 2010 as the general counsel and the company's first lawyer. Rob set up Chegg's legal department, and as a member of the executive team helped transform the company from a physical textbook rental site to a multi-service digital learning platform. He led the effort to take Chegg public on the NYSE in the fall of 2013, where it enjoys a market cap of over $4 billion. Rob joined Airbnb as General Counsel in the spring of 2016, where he grew the legal team from 30 to over 150 legal professionals in 20 offices around the world. His team led initiatives to promote home sharing and address regulatory issues with local governments and landlords around the world. In 2018, Rob was honored by the Financial Times as one of the Global 25 General Counsel. After serving as General Counsel Rob became the Chief Ethics officer and developed a popular interactive employee program, Integrity Belongs Here, to help drive ethics throughout the culture at the company. His book “Intentional Integrity: How Smart Companies Can Lead an Ethical Revolution” is out now. He now serves as an advisor to Airbnb, along with several other internet marketplace startup businesses, including Uber, Upwork, Turo, and Poshmark.He lives in San Francisco, CA, and spends his spare time playing basketball with his son and watching his daughter's theatre performances.
About Shannon Klinger:As Chief Legal Officer and Corporate Secretary, Shannon Thyme Klinger leads Moderna's legal, governance, and corporate compliance efforts.Ms. Klinger joined Moderna from Novartis (NYSE: NVS), serving as Chief Legal Officer and a member of the Novartis Executive Committee since 2018. Previously, she served as Chief Ethics, Risk & Compliance Officer. During her ten-year tenure at Novartis, she held other roles of increasing responsibility, including as Chief Ethics and Compliance Officer and Global Head of Litigation, General Counsel, and Global Head of Legal at Sandoz, a Novartis division.Throughout her career, Ms. Klinger's work has focused on driving long-term business performance and building trust with society, including ensuring access to medicine, protecting innovation with intellectual property, championing the responsible use of data, and enabling excellence in product launches. She is also a committed advocate for diversity, equity, and inclusion. Ms. Klinger served on the board of directors of the SIX Group in Switzerland from 2016 to 2020.Ms. Klinger received her Juris Doctorate with honors from the University of North Carolina at Chapel Hill and a bachelor's degree in psychology from the University of Notre Dame. She is a member of the State Bar of Georgia and the District of Columbia Bar. Things You'll Learn:Moderna has focused on infectious diseases and commits to creating transformative therapies for patients with the power of mRNA.The World Health Organization releases a flu strain selection in March or April every year. The Moderna Charitable Foundation was initially endowed with $50 million. The Foundation recently announced $4 million worth of grants in sub-Saharan Africa to organizations focused on clinical training and workforce development on educating about vaccines.In 2023, Moderna partnered with the African Union to commit 100 million doses of their most updated variant vaccine for low-middle-income countries. Moderna has a program called mRNA Access, where they partner with researchers and universities worldwide to give them access to their platform, research, and scientific advice, thus tackling public health challenges together. Resources:Connect with and follow Shannon Klinger on LinkedIn.Follow Moderna on LinkedIn.Discover the Moderna Website.Check out the mRNA Access Website.Visit Moderna's Charitable Foundation Website.
Welcome to the Great Women in Compliance Podcast, hosted by Mary Shirley and Lisa Fine. In today's episode, the Great Women in Compliance podcast delves into training and learning with Maria D'Avanzo, who is the Chief Evangelist Officer for Traliant. Prior to joining Traliant, Maria was the Chief Ethics and Compliance Officer and Chief Privacy Officer for Cushman & Wakefield. Like Lisa, many of you may be wondering what a "Chief Evangelist Officer" does in compliance, and Maria's role is one which is more often seen in tech companies, where there is a person who is dedicated to improving the customer experience in all areas, from product development to customer servicing, using her perspective as an E&C officer. She shares some of what she has learned from customers and her views on trends and current issues, including the use of AI and best practices. She also talks about her experiences in financial compliance, and may be the first podcast guest who holds NASD Series 24, 7, and 63 licenses. You can find the Great Women in Compliance Podcast on the Compliance Podcast Network (CPN) where you can find several other resources and podcasts to keep you up to date in the Ethics and Compliance world. You can also find the GWIC podcast on Corporate Compliance Insights (CCI) where you can learn more about the podcast, stream prior episodes and catch up on Mary's monthly column "Living Your Best Compliance Life.” Corporate Compliance Insights is a much-appreciated sponsor and supporter of GWIC, including affiliate organization CCI Press publishing the related book; “Sending the Elevator Back Down, What We've Learned from Great Women in Compliance” (CCI Press, 2020). If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. If you enjoyed the book, the GWIC team would be very grateful if you would consider rating it on Goodreads and Amazon and leaving a short review. Don't forget to send the elevator back down by passing on your copy to someone who you think might enjoy reading it when you're done, or if you can't bear parting with your copy, consider it as a holiday or appreciation gift for someone in Compliance who deserves a treat. You can subscribe to the Great Women in Compliance podcast on any podcast player by searching for it and we welcome new subscribers to our podcast. Join the Great Women in Compliance community on LinkedIn here.
Welcome to the Great Women in Compliance Podcast, hosted by Mary Shirley and Lisa Fine. As Lisa and Mary return from seasonal break, they have some big news about the next chapter of the podcast. Join this episode to hear about Mary's planned departure from Great Women in Compliance at the 200th episode milestone and the exciting plans that Lisa has in mind to change things up and keep them fresh for #GWIC listeners when returning from an extended Summer break later in the year. We look forward to celebrating the 200th episode with all of our listeners on 5 July 2023! Lisa and Mary also take the opportunity this episode to talk about some topical issues in Compliance, including Artificial Intelligence, in relation to recent conferences and share information in relation to The Society of Corporate Compliance and Ethics ECEI, Consero's Chief Ethics and Compliance Officer Forum and the upcoming Compliance Week Women in Compliance Summit which will be held in Atlanta in June. Check out the details and get yourself registered here to see Team GWIC speak on networking and other tips to advance your career. 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. 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.
Co-hosts:Phil FeigenHolly RothErica Beacom Guests:Felicity Chaban, General Counsel at The Knot WorldwideVince Martinez, General Counsel at North American Securities Administrators Association, Inc.Virginia Robinson, General Counsel, Chief Ethics & Compliance Officer at Tlingit Haida Tribal Business Corporation
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“With hard work and determination, you can really accomplish a lot” explains Meredith Ritchie, SVP GC, Chief Ethics & Government Affairs Officer. Starting her career as a paralegal, Meredith has developed an exciting career portfolio. Today, she shares the upcoming projects she has ahead and her dedication to volunteerism. Through her position at Alliant Credit Union, Meredith has had an instrumental part in spearheading their foundation. Through their work, Meredith can help promote financial literacy, a cause dear to her heart. By focusing her talents on uplifting others around her, Meredith has had a fulfilling career and helped numerous people in the process. Throughout your career, you can do extraordinary things. Learn more about Meredith's rich career history, her role at Alliant, and why hiring the right candidates is essential. Quotes “I do enjoy sharing my opinion. But more than that, I like helping other people and trying to help them realize their goals.” (8:55-9:03 | Meredith) “Word of mouth and referrals are always the best thing in the world, no matter what.” (12:10-12:15 | Meredith) “I do feel that everybody in the world has untapped potential. We use so little of it, but the sky's the limit.” (27:47-27:59 | Meredith) “With hard work and determination, you can really accomplish a lot.” (30:39-30:44 | Meredith) “I get a great deal of enjoyment in knowing that I'm helping to shape the future of the academic success of kids for forward to future generations.” (31:57-32:10 | Meredith) Links Connect with Meredith Ritchie: LinkedIn: https://www.linkedin.com/in/meredith-emerson-ritchie-41256912/ Connect with Chris Batz: LinkedIn: https://www.linkedin.com/in/chrisbatz/ Facebook: https://www.facebook.com/theliongroupkc Instagram: @theliongroupllc Podcast production and show notes provided by HiveCast.fm
Compliance officers rarely have people seek them out and express an interest in supporting a compliance program. It's exciting when that happens, and [Deborah Spanic](https://www.linkedin.com/in/deborahspanic/), Chief Ethics and Compliance Officer at [Clarios](https://www.clarios.com/), joins the show to share how she's developed a framework that encourages participation in compliance. She explains the importance of leaders who model the culture you want to foster, how to navigate regulatory challenges, and how to effectively adapt to changes through collaboration.
The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What skills does a CCO need to navigate the compliance waters in any company successfully? What are some of the top challenges CCOs have faced, and how did they meet them? These questions and many others will be explored in this podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Maria D'Avanzo, and discuss Maria's journey from a real estate and probate lawyer to compliance, then CCO chair, and now as the Chief Evangelist Officer at Traliant. After 2.5 years at AIG, Maria moved to Cushman & Wakefield, where she became the Chief Ethics and Compliance Officer and Chief Data Privacy Officer. In this role, she led an innovative and commercially focused global compliance and privacy team to support the ethical decision-making and risk management needs of Cushman & Wakefield, a global leader in commercial real estate services with 53,000+ employees worldwide, where she learned that compliance is one of the hardest jobs (if not the hardest) in any company. To be effective, employees need to know who you are, trust and have faith in you, and see your "human side." One of Cushman & Wakefield's CEOs taught me that the best way to accomplish this is to go to where the employees are and listen to them over a cup of coffee. Resources Maria D'Avanzo LinkedIn Profile Traliant.com Learn more about your ad choices. Visit megaphone.fm/adchoices
In this episode of The Ethics Experts, Nick welcomes Steve Koslow. Steve Koslow is the Chief Ethics and Compliance Officer at Allianz Life Insurance Company of North America. With more than 20 years of experience in the financial services industry, Koslow has broad knowledge in the development of ethics and compliance programs for insurance companies.
Featuring Jude Curtis, a retired partner and consultant at Price Waterhouse Coopers global Network. He was Chief Ethics and Compliance Officer for almost 15 years. (Recorded 5/31/22)
Cindy Moehring is joined by Jerry Jones, EVP and Chief Ethics and Legal Officer of LiveRamp, a data enablement platform. As a former Head of State, Jones is also a Special Advisor to Club de Madrid, a nonprofit organization dedicated to promoting democracy and change in the international community. They discuss the ways that LiveRamp handles their data stewardship through data security and data ethics. Likewise, Jones discusses the benefits of a comprehensive data law on the federal level, and how private companies are taking the initiative. Learn more about the Business Integrity Leadership Initiative by visiting our website at https://walton.uark.edu/business-integrity/ (https://walton.uark.edu/business-integrity/ ) Links from episode: Apple's New Privacy Policy: https://www.apple.com/privacy/features/ (https://www.apple.com/privacy/features/) The Age of Surveillance Capitalism: https://www.publicaffairsbooks.com/titles/shoshana-zuboff/the-age-of-surveillance-capitalism/9781610395694/ (https://www.publicaffairsbooks.com/titles/shoshana-zuboff/the-age-of-surveillance-capitalism/9781610395694/) AI Superpowers: https://www.aisuperpowers.com (https://www.aisuperpowers.com ) The Age of AI: And Our Human Future: https://www.littlebrown.com/titles/henry-a-kissinger/the-age-of-ai/9780316273800/ (https://www.littlebrown.com/titles/henry-a-kissinger/the-age-of-ai/9780316273800/ ) The Wires of War: Technology and the Global Struggle for Power: https://www.simonandschuster.com/books/The-Wires-of-War/Jacob-Helberg/9781982144432 (https://www.simonandschuster.com/books/The-Wires-of-War/Jacob-Helberg/9781982144432) The Silken Thread: Five Insects and Their Impacts on Human History: https://global.oup.com/academic/product/the-silken-thread-9780197555583?cc=us&lang=en& (https://global.oup.com/academic/product/the-silken-thread-9780197555583?cc=us&lang=en&)
What you'll learn about in this episodeDebt collection is being transformed through changes in technology, Regulation, the economy landscape and the manner that people are interacting with customer service channels. Does Digital Collection open pathways to an improved experience, and better results?In this episode we'll dive into these questions with Tim Collins, a recognized and capable people leader with broad experience in driving organizational growth using technology to improve the consumer experience. Key takeaways include:Steps you can take to enhance the customer experience starting with your websiteLooking at Build vs BuyHow things are shifting in the way we communicateMeeting the customer where they are and where they want to connectThe mindset pivot required to understand digital transformationIdentifying where email and or sms text are the most effective.Guest: Tim CollinsAs the Chief Customer Officer Tim is responsible to ensure that consumers worldwide have the best debt collection experience possible. Before joining Indebted, he worked at TrueAccord, Corp. as their Chief Compliance Officer to rapidly scale their Audit, Compliance, and Legal Departments. Prior to TrueAccord, Tim worked for Convergent Outsourcing as their General Counsel and Chief Ethics & Compliance Officer tasked with leading the Audit, Compliance, IT Security, Legal, and Training Departments. His previous position was Director of Compliance for Hyundai Capital America, in charge of designing and implementing HCA's corporate governance and compliance programs. He is serving on the ACA Innovation Committee, past Chair for the ACA Federal Affairs Committee Chairperson, a past Chair of the ACA International MAP Committee, and past president of the Association of Corporate Counsel-San Diego Chapter. Resources: Website: https://www.indebted.co/en-USCompany LinkedIn https://www.linkedin.com/company/indebted/Twitter: https://twitter.com/collins_tim LinkedIn: Personal: Tim CollinsAdditional Resources:Scarcity: The New Science of Having Less and How It Defines Our LivesPlaidTrustlyTrattta.ioSuccessKPI.comAuthority Magazine Prediction for 2022 ArticleWhy The Future of Debt Collection is Digital and Customer-led
In this episode of The Ethics Experts, Nick welcomes Courtney VanLonkhuyzen Welton. Courtney serves as Chief Ethics, Compliance and Privacy Officer for Allstate Insurance Company. Her teams provide comprehensive ethics, compliance, and privacy support for over 40,000 employees, balancing the compliance needs of Allstate's insurance businesses and the growing circle of Allstate protection technology businesses.
Post By: Adam Turteltaub Daniel Garen, Chief Ethics and Compliance Officer at Vivint, divides compliance officers into two types. One is more comfortable running established, stable programs. The other is more comfortable diving in to a crisis. A quick look at his LinkedIn profile and you can see he squarely sits in the latter camp, with a career being brought in to one company in the grips of a major compliance crisis and then another. In this podcast he shares what he has learned from working inside organizations facing the fallout of a major compliance incident. So how do you decide whether a similar path is right for you? Or how do you decide if the person you are about to hire in the midst of a major enforcement action is right for the role? Look for someone with a sense of both urgency and calm. You need (or need to be) someone who can work quickly without getting flustered. When entering an organization in the midst of a major issue he advises immediately taking inventory of where things are, paying attention to two key buckets. Culture is one. The other is governance and structure. Ask: did the issue come up because of cultural issues or because people were trying to do the right thing but didn't have the right structure in place? Or, was it a combination of both? The answer will dictate how you proceed. And, if the answer is culture or both, start with culture. That's the toughest challenge. To help the organization start digging out he argues it is important to have the support from top to bottom. With so much pressure coming from the outside – regulators, enforcement, the press, shareholders – having alignment inside is critical. To get it both talk and listen. Communication will be key, as will be taking the time to hear and learn what the underlying problem is. To get everyone moving forward, and to help enforcement see that you are making progress, he recommends data visualization tools. Even something as simple as a Gantt Chart can show what the process is that needs to be followed, and how far you are along in it. As you work through the issues, pursue built-in rather than bolt on programs. It increases ownership and speed. It also has two other benefits. First, it helps the regulator see what you are doing and build confidence that the company gets it. Second, it helps the business team gain ownership of the issue and start seeing some benefits from the new processes that have been put into place. The changes become less about compliance mandates and more about process improvements. And isn't that really compliance at its best? Listen in to learn more about how to embrace and survive a major compliance crisis.
Post By: Adam Turteltaub Perhaps the most intriguing title for a session at the 2021 SCCE Compliance & Ethics Institute was “Re-Thinking Employee ‘Engagement': What's on Your Compliance Program's Dating Profile.” Not often you see references to dating the compliance department. To learn more about the session and the ideas behind it we sat down with the speakers: Asha Palmer, Chief Ethics and Compliance Officer, Convercent; Scheretta Wilson, Director, Ethics and Compliance, Endo1Partners; and Ronnie Kann, Head of Global Ethics & Compliance, Energizer. While the title is a bit fun and out there, the lessons are very practical and close to home. The central idea is that people are watching and listening to see what compliance does and how it acts. That means compliance teams need to focus on being approachable, engaging with their audience and, frankly, trying to be likable. Or, as they put it, and to borrow from the dating apps, you want them to swipe right, not left. So what does that mean in practice? For one, being a good listener. Just as someone who talks all the time is a bad date, while a good listener is usually a much better one, compliance needs to be a place where others feel comfortable speaking, raising concerns, and asking questions. Compliance also needs to adjust to who is on the other side of the table. For leadership the keys they see are securing buy in early, keeping it simple, and using their own language, such as demonstrating financial ramifications. For the rank-and-file workforce, success comes from helping them understand risk and what to look out for. It also means being approachable and present. And, when it comes to middle management, a group that is often overwhelmed with demands from above and below, be collaborative. Ask them how things are going both personally and for the business. Find out what's keeping them up at night. Talk about data, metrics, business impact and financial outcomes. It's the love language of business. Listen in to learn more, and then spend some time considering your own team's dating profile.
Post By: Adam Turteltaub Andy Powell is Chief Ethics & Compliance Officer, Senior Vice President and Deputy General Counsel at Flex, a global technology manufacturing company with approximately 160,000 employees in over 100 manufacturing and services sites spread out over 30 countries. When he entered the compliance role there he realized that, realistically, the compliance team couldn't be everywhere all the time. He also sought to enhance the compliance and ethics culture. To do so, he embarked on a strategy of normalizing compliance, making it a part of every manager's job. That, he knew, would require making managers both responsible and accountable. His solution: create an integrated scorecard that leaders could manage against and would provide valuable insights to the compliance team. As he explains in this podcast, you can't expect managers to be accountable unless you can show them how they are doing. The scorecard provides the hard numbers managers need. To create it, he worked cross-functionally to gather data points from across the organization, including employee engagement surveys, helpline data, and even external benchmarking data. The information is represented graphically along with insights from the compliance team. Some of the data is macro. Some give insights as finite as production lines. How powerful is this tool? Day to day it helps identify hot spots and generate improvements. As importantly, the CEO typically asks each manager to show it to her whenever she travels around the company. Listen is to learn more about the benefits from creating an integrated scorecard.
Melissa Stapleton joins Cindy Moehring to further the discussion on the future of ethics and compliance. Melissa is currently the Senior Vice President of Risk Management and Chief Ethics and Compliance Officer at Eli Lilly and Company. The two industry thought leaders trade ideas on company culture, the Business Roundtable's statement about shareholders, COVID, and the role business schools play in the future of business ethics.
How does a person go from battling imposter syndrome to living life authentically with grit and grace? How does a person learn to show up in the room at work with excellence? How does one build a personal brand to be proud of? Alia discusses all of these things and more with Cherée Johnson, Senior Vice President, General Counsel, Corporate Secretary, and Chief Compliance Officer for W.R. Grace. There are so many awesome pearls of wisdom shared in this conversation. From her vulnerable early years, Cheree takes us on a journey that leads to discovering her superpowers--her phenomenal grit! Enjoy the Conversation. More about Cheree Haswell JohnsonCherée joined W.R. Grace in January 2021 as the Senior Vice President, General Counsel and Secretary manages all legal matters affecting the company worldwide, including the management of Grace's legal department. As Corporate Secretary, she is responsible for corporate governance and matters relating to the activities of the board of directors. Cherée also serves as Grace's Chief Ethics & Compliance Officer. Cherée joined Grace from McCormick & Co., Inc. where she was Vice President, Deputy General Counsel, Assistant Corporate Secretary, and Chief Intellectual Property Counsel. At McCormick, Cherée served as general counsel for the Consumer Products Business aswell as the businesses in the Asia-Pacific region. Before joining McCormick, Cherée was Deputy General Counsel at KraftHeinz (formerly H.J. Heinz Company or “Heinz”). Prior to KraftHeinz, Chereé held several leadership positions are global companies including Cargill and 3M. Cherée earned her Bachelor of Science degree in chemical engineering with Honors at FloridaA&M University and her Juris Doctor at University of Minnesota Law School. She is a member of several boards including Johns Hopkins Bloomberg School of Public Health Advisory Board, American Bar Association, and USPTO Patent Bar.
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