Podcasts about chief ethics

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.

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.

What's your plan?Ethics and values: two words that provide a solid foundation to any and all companies. Ignore at your own peril. Ethics and values provide guide posts for all of your business decisions. They help to direct all members of a company into doing what that business holds as a key value. In this era of artificial intelligence and machine learning, the growth is substantial and quick. The need for ethical guidelines when it comes to growth using AI is significant. Join me as I talk to Susan Divers from LRN about her upcoming session at Inventures entitles: Business Ethics – What's Your Plan? Welcome to #ShiftbyAIBioSusan Divers, Director of Thought Leadership and Best Practices, LRNSusan brings 35+ years' accomplishments and experience in the ethics and compliance area to LRN, a leading provider of solutions in the ethics and compliance area. She is a frequent speaker at events and conferences on ethics and compliance topics. Prior to joining LRN in 2015, she 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 her thought leadership in the ethics field. In 2011, Susan received the AECOM CEO Award of Excellence. She is qualified as a solicitor the the High Court of England and Wales and admitted to the DC Bar.TRACKS: ACCELERATING GROWTHSESSION: Business Ethics – What's Your Plan? – June 01, 9:15 amShift by Alberta Innovates focuses on the people, businesses and organizations that are contributing to Alberta's strong tech ecosystem.

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. 

To the outside world, Jennifer Brewer, Chief Ethics & Compliance Officer for Activision Blizzard, appears to have led a life of privilege but, in reality, the road to fighting for equity and justice has been paved with obstacles that have required grit and resilience to overcome. In this episode of B.S.: Beyond Stereotypes, Jennifer shares with Merle Vaughn how she has handled adversity and why her current role allows her to be unapologetically herself.

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

In this week's episode, host Derrick Kyle is joined by Eric Hinton, the founding Director of the Robert B. Rowling Center for Business Law and Leadership at SMU Dedman School of Law, and a former Chief Ethics & Compliance Officer, to discuss the importance of ethics and compliance for an international business, requirements and best practices for compliance programs, and international trade risk areas that businesses should monitor.

Follow me to see #HeadsTalk Podcast Audiograms every Monday on LinkedIn. Episode Title:-

“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.

This week I have explored compliance through a five-part podcast series, as seen through the lens of Winnie the Pooh and the characters living in the Hundred Acre Woods. I want to conclude my series by looking at Winnie the Pooh himself through the lens of the Chief Ethics and Compliance Officer (CECO). Pooh may be a bit naive and slow-witted, but he is also friendly, thoughtful and steadfast. Although he and his friends agree that he is “a bear of very little brain”, Pooh is occasionally acknowledged to have a clever idea, usually driven by common sense. Pooh is also a talented poet; his poems and “hums frequently punctuate the stories”. Although he is humble about his slow-wittedness, he is comfortable with his creative gifts. When Owl's house blows down in a windstorm, trapping Pooh, Piglet and Owl inside, Pooh encourages Piglet (the only one small enough to do so) to escape and rescue them all by promising that “a respectful Pooh song” will be written about Piglet's feat. Later, Pooh muses about the creative process as he composes the song. Pooh is very social. Christopher Robin is his closest friend, Piglet, and often chooses to spend his time with one or both of them. But he also habitually visits the other animals, often looking for a snack or an audience for his poetry as much as for companionship. His kind-heartedness means he goes out of his way to be friendly to Eeyore, visiting him, bringing him a birthday present, and building him a house, despite receiving mostly disdain from Eeyore. We need to recall that the DOJ started from the position that the role of compliance and ethics in an organization was co-equal. Winnie the Pooh reminds us of that foundational building block. Pooh also reminds us that a CECO is a social animal. Just as he is friends with all the animals and characters we have visited this week, you as a compliance professional should make friends with all the corporate functions they represented this week: sales, HR, finance and legal. If you find you run out of hunny to pass around, you can always resort to the Russ Berland strategy of pizza. Even though this is the final offering in this week's blog post on Compliance in the Hundred Acre Woods, do not feel blue. We will have another week of Pooh later this summer for more compliance lessons. And if you do feel blue in the interim, check out this YouTube clip of the Pooh theme song. And always remember, when all else fails; “Think, Think, Think”

This week I am exploring a five-part series on compliance as seen through the lens of Winnie the Pooh and the characters who live in the Hundred Acre Woods. Today we discuss Pooh's best friend, Piglet, and use Piglet to consider the role of finance in a compliance program. Piglet has some great adventures (or sometimes misadventures), such as giving Eeyore a birthday balloon that pops or getting lost in the Hundred Acre Wood mist and helping to rescue Pooh and Owl after they are trapped in Owl's fallen house. My favorite Piglet tale is when Eeyore mistakenly offers Piglet's house as a new home for Owl after his house has blown down. Piglet nobly agrees to let Owl have the house, at which point Pooh asks Piglet to live with him, and Piglet accepts. This poignant story shows the true meaning of friendship and any Pooh story I know. I cannot think of any character more able to illustrate the role of finance in compliance than Piglet. He is obsessed with keeping things neat and tidy and sometimes has an inferiority complex, although his friends think highly of him. Sort of like finance. Finance has roles in the prevention, detection and remediates prongs of any compliance program. In the prevent prong, this is most particularly true around offshore payments, generally defined as payments made to a location other than the home domicile of the payee or the location where the services were delivered. If a Tunisian agent who performs services in Dubai asks for payment in a location other than Dubai or Tunisia, that will qualify as an offshore payment. If you train people in finance on this issue, they may well pick up the phone and notify compliance when they see a request for payment in a geographic location separate from one of the two standard payment venues. When properly documented, those types of communications demonstrate that your compliance program is operationalized into the fabric of the organization. The bottom line is that not only can finance be one of the compliance function's strongest corporate allies but that the role of finance, by its nature, works to operationalize compliance. This is because to implement the appropriate internal controls around compliance, finance must know the specific requirements of compliance know what kinds of issues are likely to come up that might create a risk of bribery and corruption, all leading to an understanding of the appropriate compliance internal controls to implement around payments. Join me tomorrow when I conclude with Winnie the Pooh and his influence on the Chief Ethics and Compliance Officer (CECO) role.

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

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

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

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

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)

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

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

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.

Abstract: The most crucial factor LRN has identified in our years of research is that a values-based approach to governance is essential to ethics and compliance. It builds and sustains ethical culture, which is the essential element of effective E&C programs. But what does that look like today, as our world continues to be disrupted by the COVID-19 crisis and the aftermath of racial and political unrest? In this episode of the Principled Podcast, host Susan Divers, Director of Thought Leadership and Best Practices with LRN's Advisory group, talks about how values can sustain ethical performance—and even excel—in the face of change and adversity with Forrest Deegan, Vice President of Ethics and Compliance for Victoria's Secret. Listen in as the two draw insights from the 2022 edition of LRN's annual Ethics & Compliance Program Effectiveness Report—available now to download.   What You'll Learn on This Episode: [2:17] - Reflections on the findings of LRN's 2022 Ethics and Compliance Report. [7:20] - The impact of core values vs. rules. [9:02] - The surprising data and how access to data can drive improvements in collaboration. [12:00] - The curse of compliance. [13:22] - The two driving factors in demystifying your values and how boards discuss value. [17:15] - What is causing ethics and compliance to lag behind in innovations compared to other departments? [22:30] - The innovations of customized, remote-accessible training.   Additional Resources: Get the 2022 Ethics & Compliance Program Effectiveness Report. Subscribe to E&C Pulse, the LRN newsletter offering weekly insights on ethics, compliance, corporate culture, and reputation. Visit us for more information at lrn.com.   Featured guest: As of July 2021, Forrest is the VP of Ethics and Compliance for Victoria's Secret & Co., responsible for overseeing the global ethics and compliance program. Forrest spent the prior six years as the first Chief Ethics and Compliance Officer for Abercrombie & Fitch Co., where he built A&F's corporate compliance and third-party risk management programs. Forrest serves on the Editorial Advisory Board for Compliance Week and has served on the Leadership Team for the Retail Industry Leaders Association (RILA) Compliance Council. Forrest regularly speaks at national compliance conferences and international events, including those sponsored by RILA, Compliance Week and the Association of Corporate Counsel. Forrest was selected by Compliance Week as a “Top Mind" for 2018. Forrest previously served as the Director and Senior Director of Compliance at A&F, where his responsibilities included a wide range of compliance program assessment, training and enhancement projects as well as international business development via joint venture and franchise. Prior to moving in-house, Forrest worked for nine years at Arnold & Porter in Washington D.C., representing multinational pharmaceutical, financial and consumer products companies in advocacy and consulting capacities. Forrest clerked for Judge Kazen on the U.S. District Court for the Southern District of Texas, after receiving his J.D. with honors from Duke Law School and his B.A. from the University of Texas at Austin.   Featured Host:  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.   Transcript:  Intro: Welcome to the Principled Podcast brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership, and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace change-makers. Susan Frank Divers: At LRN, the most crucial factor we've identified in our years of research and work with thousands of organizations worldwide, is that a values-based approach to governance is crucial. Being values-based builds and sustains ethical culture, which is the essential element of an effective ethics and compliance program. But what does this look like in a world that continues to be disrupted by the COVID crisis and the aftermath of racial and political unrest? Susan Frank Divers: Hello, and welcome to the first episode of season seven of LRN's Principled Podcast. I'm your host, Susan Frank Divers, Director of Thought, Leadership and Best Practices within LRN's Advisory Group. Today, I'm joined by Forrest Deegan, Vice President of Ethics and Compliance for Victoria's Secret, and lecturer in law at the University of Chicago Law School. We're going to be talking about how values can sustain ethical performance and even allow organizations to excel in the face of change and adversity, during On Insights, from our 2022 edition of LRN's annual Ethics and Compliance Program Effectiveness report. And on Forrest's experience in the retail industry in particular. Susan Frank Divers: Before coming to Victoria's Secret, Forrest has spent two decades in ethics and compliance, including Chief Ethics and Compliance Officer for Abercrombie and Fitch. So Forrest, thanks very much for coming on the Principled Podcast, and let's jump right in. Forrest Deegan: Thank you, Susan. It's a pleasure to connect with you again. Susan Frank Divers: The same. We've had some interesting discussions preparing for this podcast about the 2022 Ethics and Compliance Program Effectiveness report. What surprised you, and what resonated the most, particularly with your experience in the retail industry throughout the ongoing crisis? Forrest Deegan: I'll start with what resonated the most. Preliminary matter, really enjoyed reading through the insights that were collected here. Reading through it I start with the resonation because there are a number of charts that go through the concerns that folks identified in the early days of the pandemic about the challenges of transitioning to a hybrid or remote model with respect to their controls, with respect to their ability to audit, and to support the programs. This comes across in both some of the stats around the activities they thought would be of concern and then what they actually worked on. And then looking at how training actually was supported, where obviously, people weren't able to travel. People weren't able to use all of their old tricks in this new time. And so starting off seeing the fears and the concerns that folks were raising in 2020, and that list itself was pretty fulsome and reminded me what it was like in the retail space with all of the uncertainty that came in the spring of 2020. Forrest Deegan: With the closure of the majority of all stores, at least temporarily in the US. I remember the day we were kicked out of our home office, I'm sure everybody has a similar recollection to mid-March, walking out with your computer in your bag and not knowing when you'd be back. This brought back some of that uncertainty. That resonated with me, but what also resonated with me was the introduction around values and how that programs that leaned in to their values did well. And this idea that kind of everybody took on new and different obligations with the pandemic, with a time of crisis. A time of crisis can be a time of unification. I certainly saw that to be the case. I remember that leaders at my company were voluntary take pay cuts, to make sure that folks and the staff could stay on so that we could avoid layoffs. There was an insistence on treating folks equitably within, right? So really living your values in those moments of crisis. This report speaks to both those fears and some of the solutions that came out of it. Susan Frank Divers: That's such an impactful example, because there's no rule that said that executives had to give up pay or benefits to keep other people employed. And we saw a lot of that last year in our report, and what's very heartening from LRN's point of view is, we've been saying for years, that values work better than rules as the basis for a program. And last year's report and this year's report, really proved that, I think in a lot of ways, and I look at stats like on page seven, that 82% of the programs we surveyed this year, that their ethical culture is stronger as a result of their experience during the pandemic. And you just opened it to that too, that people come together in a crisis, but relying on values was clearly the way to get through it. Forrest Deegan: The second part of your question was around things that might have surprised me in here. And honestly, the stat you just pulled about the 82% feeling ethical culture was stronger. That wouldn't surprise me a bit because it was 2021, not a 2020 stat. In fact the number went up, it seems like from the prior year's version of the report where it was 79%, the prior year, this year was 82%, that their ethical culture was stronger as a result of experiences coping with the crisis. So that was something that surprised me, that sentiment not only continued, but seemed to increase a bit because we've all heard about it and all have felt the fatigue in the past year as the uncertainty has continued as we've continued to have to be flexible in our approach. Yes. Susan Frank Divers: Forrest what you said was very impactful because one of the key findings, obviously in the report, that's actually on page seven is that 82% of our nearly 1200 respondents worldwide reported that their ethical culture became stronger during the pandemic rather than weaker. And at LRN we've said for years, that values make an impact much more than rules and that's living proof that that's true. So I'd like your thoughts on that. Forrest Deegan: With respect to the second part of your prior question on what surprised me with respect to the study, I would have to say that that very stat, that 82% of the respondents last time felt that ethical culture was strong longer as a result of the experiences. That rose, that sentiment was an increase, improvement, from the prior year. That surprised me a bit because we've heard so much about and felt so much of the fatigue as the uncertainty has continued as the need to adjust our approach and our responses has just continued onward. I was pleasantly surprised to see that the prior version of this report had shown 79% felt that the crisis was a bringing folks to their ethics and compliance program in a stronger way to see that go from 79 to 82, a small improvement, but you're already really high to begin with. I was pleasantly surprised to see that in here. And honestly it does make sense with respect to that ongoing uncertainty that you do need to lean upon those core values to continue to navigate. You really have to love the question, not the answer when it comes to a challenge of this size and that is constantly evolving. Susan Frank Divers: That's putting it so well, that you have to love the question, not the answer. And we were frankly surprised last year, and then pleasantly surprised this year that this year's results confirmed what we saw last year. And I was just looking at the chart on 33 that talks about E&C resources and standing. And you had mentioned that people were understandably anxious at the outset as to how the programs would do and whether they would have resources or whether there would be widespread misconduct or circumventing of processes. And that didn't happen. And then E&C programs have come out strong and well resourced. Forrest Deegan: Just those stats on 33, surprised me a lot of different ways. The first chart talking about: do ethics compliance functions feel they have the sufficient resources and authority. Some of your respondents are at the 95% level, 92% level, even for your medium impact programs. And even the lowest impact were at 67%. Those are really high scores. Those are really high scores. And I think that's right. I think that is a reason for optimism right now with respect to our ability to respond as companies, right? If there is that availability of resources, but also the buy-in with leadership. Forrest Deegan: And there's another stat there that I also was surprised by how strong the respond were around access to data, right? The highest impact programs were 89% of them felt that they had appropriate access to data sources in the org, whether it was HR audit it InfoSec in order to do their work. I think data component there is so critical and reflects buy-in from not just leadership, your tone at the top portion, but also from your cross-functional partners, right. Access to the data can really help drive improvements, yes, in the day to day operation of the program, but all also in your ability to support and inform cross-functionally. And so I think those things are married together, right? The access to information. It's a great example of something where it's not just resources, right? It's not just dollars and cents. It's also that buy-in as reflected through real collaboration and through real partnership. Susan Frank Divers: I agree with you. And also it's affirmation that programs have gone from being something the legal department does, or maybe the legal and ethics and compliance department does to something that the whole company does. And that's a really positive development. Forrest Deegan: I think, right. I've been in house for a decade now, I was in private practice for a decade before that dealing with a corporate compliance space and really seeing an evolution in terms of scope and approach during that time. And so things were ... we already had increasing expectations and an accelerating space when it came to this field, both due to our internal stakeholders, our boards, obviously regulators like DOJ, but also customers and NGOs. They keep ratcheting up the expectations and corporate compliance has proven to be a responsive and reliable partner. And so this is when you get into what I call the curse of competence, right? If you execute effectively, you're going to be asked to do more. I do think this is been a real opportunity and awakening to the valuation of controls and monitoring and our ability, as professionals, to not just focus on the have tos, right, those rules that we talked about at the top, but also the want tos, right, that corporate purpose, the values associated with it. I believe corporate compliance offers the opportunity to marry the want to and the have to, and frankly, that's the only way it works really well is if people understand how those rules, how those requirements tie back to why they want to be at the company, what they're hoping to accomplish with respect to company values. Susan Frank Divers: Forrest, That was very insightful what you just said. And I want to talk a bit more about the connection between values and making programs more accessible and employee focused. That's another theme in the report and we see progress and we see best practices emerging, but I would argue that they need to emerge much more strongly and quickly, but take us back a little bit to board's values and talk about how values, when you demystify them, involve really bringing people into the program with the want tos, as well as the must haves. Forrest Deegan: For me, the stats around accessibility, they make a ton of sense in terms of your high performing programs are going to be focused on making the documents available, making them searchable, simplifying where possible, translating into the languages that you're employees leverage, right? To me, those actions are, are really table stakes with respect to an effective program and the thoughtfulness and the idea of keeping the end user in mind, that sentiment, which, which drives accessibility, I think, is communicated to your employees, right? When they see that when they have the access to it, where the information is in a logical place, where it's stored where the other corporate documents or the other FAQs guidance they look for from the company for an IT issue or for a T and E report. If the guidance documents around your compliance program are as accessible, if not more accessible I think that alone sends a message. I do think that the percentages around those that are for focusing on accessibility they were still right around the 50% mark. I think those numbers need to go up. I also think that to really drive home your value system and to demystify a program and what it means to act with integrity, not only do you have to make the documents accessible, you've also got to work on making them actionable, right? You need guidance that is relevant and actionable. You can have a clear rule that is simple to understand, but if it is unclear how to operationalize that, or how it deals how it is imported into the day to day running of the business, then it's just words on a page. Maybe they can get to the page easier now, but they still can't use it effectively. So I think that those two concepts, accessibility and utility are really what drive an ability to demystify what your program is about. Susan Frank Divers: If I hear you correctly too, you are also saying that it reflects respect for employees. Forrest Deegan: Yes. I think that's so important. I'm just passionate about that idea that you can send messages, right? How you present your information can tell a lot about what the company values and making it accessible, including in your language, from your corporate purpose, your value statements, how your CEO talks on a day to day basis. If those hooks are appropriately cascaded through your ethics and compliance messaging, it's clear to everyone in the organization that these are priorities, consistent with how we talk about hitting our numbers for the year, or consistent with talking about our expansion for the year, if we're using the same language and if it rolls up in the same way, that's how you ensure it is embedded. Susan Frank Divers: Yeah. I completely agree with you. It's tempting to want to spend more time in this area, cause we're both passionate about it. I will just close it out by saying that only 25% of the organizations this year reported that they're using mobile apps. And when you think back on the pandemic and how people were fighting for bandwidth and may have had children at home using bandwidth and computers, we've seen some stirring examples of companies like Dell, really putting big components of their program on mobile apps. And I hope we see more of that. But just to look forward now, as we draw to the end, we saw a lot of innovation and pivoting, and yet we also saw some areas that lag behind where people haven't, perhaps, revised their training curriculum as quickly as you might expect or made some of these other innovations like mobile apps. First, why do you think that it is? And secondly, what do you see happening in the next couple of years in terms of best practices for programs? Forrest Deegan: To use mobile devices and investing in making your program documents, your governance materials accessible and your training included there in, I was surprised at that 25% number. But as I thought about that particular number and kind of what's next, it made sense because I'm reminded of my own mindset in 2020 and the idea that we didn't know how long this is going to last. And so I'm confident when it comes to some of training activities, some of the new technology investments, the answers that you've got for the most recent running of the survey, I think they reflect everybody's hope, and their investment in that, that first year, year and a half the pandemic that we can ride this out, right. We don't, don't have to start over again with the entirety of our program here. And I think that folks, by now, will have come to the realization that, look, we're not going to get back to a place where everybody is in the office on the same system during the same hours of the day. How does our program have to in this, whether it's remote or hybrid, certainly transitional time, how do we meet our people where they are and where they're likely going to be for the time being? So I do think your answers will change going forward when it comes to investments in mobile, when it comes to investments in audit processes and controls that take into account the lack of that ability to look over the shoulder, the lack of the ability to rely on tribal knowledge. I think that's going to be the future for all of us. The other thing that looking at kind of where the investments were and they'll go next, what really spoke to me was the idea there was value in having a system in place, right? I think back again to 2020 and those folks that did not have systems in place that relied upon those in-person trainings or audits or what have you, they did have to start from scratch when it came to, how do I do this job, or demonstrate this control in a remote way. Whereas if you had an up and running third party risk management system, you would have to make changes, you'd have to make tweaks to your risks and what they counted for based upon financial instability, operational constraints, but you were working from something. You were able to make adjustments and not start over. And so I think that contrast also, I think, will serve programs well, because the utility of these systems, I think has been revalued by companies because they see how capable they were of pivoting in ways that some of the more informal methods just were not. Susan Frank Divers: To take an example of what I think you're saying. It's interesting to me that a lot of top programs still relied on a tremendous amount of in-person training. Yes, in-person, training's more effective in a lot of ways. It makes those connections, but they may have neglected a bit, their online training and I'm reminded of one, CECO who described it as sheep dip training. As you point out we are where we are and we're not going back two years ago. And so I think the level of innovation we're going to see in areas like training, making it shorter, more video, mobile friendly, more tailored to employees roles in the company. It sounds like that will happen because people have come to realize that they have to rely on their system, that the systems have to be good. Forrest Deegan: I'm glad you brought up the idea of training and the different types that are available in an online way. A stat that isn't in here is, is the idea of shorter training, right? And I think that as we need to put more arrows in the quiver of online training of remote accessible training, that innovation is going to continue and that not only will training get shorter and more customized, but the location of it, the availability of the rule or the lesson, right where the potential action could be. You've got to approve the invoice, the guidance for that should be baked into the system. Same thing with, if you have to approve the use of a new vendor, right? The expectations of the company, they need to be right there. They need to be tied directly to the process itself. I think, again, that works towards the idea of embedding the rules and the system into your actual day to day activity. Susan Frank Divers: Very well put, more of a just in time approach and again, that emphasis on accessibility for people. Well, I could have this conversation all day and there are so many areas in the current Program Effectiveness Report that we haven't had a chance to talk about, but I know you have other things to do. And I really appreciate you spending the time with us today Forrest. Forrest Deegan: It's my pleasure. I appreciate the opportunity to do a deep dive into the report. I love a quote from page six about the idea of having a cut of core values translated into understood behaviors can be more potent and powerful than a thousand rules. I love that cascade down because I think that is the approach that works. And when you couple that approach, which requires consistent communication, when you couple that with the ability to measure response, the ability to track change behavior, that's how you win with respect to these clear communication and standards that are transparent and that people are held accountable to. Susan Frank Divers: Thank you, Forrest. Talking with you about the program effectiveness report is truly a pleasure. Before we leave the podcast and I close it out. Was there anything else that you wanted to talk about or any other insight that you wanted to share? Forrest Deegan: It's always dangerous to ask me that question, but if you don't mind, there was one other kind of collection of stats that really me just because I think that they inform one another. I think it was on page 11, there's a number of stats around what top rank programs are doing. One was almost three times anticipate greater engagement by the boards of directors and almost two times expect more regular engagement by leadership, right? So there's an expectation that the board and leadership are engaged with the program and on that same spit page, it talks about having policies that are simplified and streamlined and having training that is interactive and web based. And to me one leads to the other. If you have a program that is simpler to understand and has been streamlined and has been built in a way to make it interactive, it is going to be easier to support leadership engagement and the board of director buy-in, if you are giving leaders simpler rules that resonate and reflect the reality of the business, you're going to obtain that buy-in in a natural manner. Forrest Deegan: And if you're able to talk about the program and if they're able to talk about that program and have that engagement, then that drives that next level with the board of directors. And so I think you pat have to develop a virtuous cycle here of building a program that's based in the reality of your business that resonates with the values of the company and what the company's priorities are, which will allow your business leaders in talking about those business priorities, to use the same language, to pull the same levers when it comes to their engagement with your ethics and compliance program, it really has to be considered part of that whole in order to work. Susan Frank Divers: Oh, I love how you've articulated that virtuous circle between the values focus, the simplified employee-facing messages and mechanisms, and then leadership becoming more natural. Forrest Deegan: That really is the heart of demystifying your program, right? You've got to make it based in your reality. And you've got to use the language of leadership in order to get there. And if you're doing that, you will have your buy-in at the top and in the middle and it can drive all the way down. Susan Frank Divers: Well, that's a great note to end on. Forrest, thank you so much for spending time with us today and thank you to our listeners for joining us for another insightful conversation. My name is Susan Frank Divers, and we'll see you next time on the Principled Podcast by LRN. Outro: We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN At LRN, our mission is to inspire principled performance in global organizations by helping them foster winning ethical cultures rooted in sustainable values. Please visit us at lrn.com to learn more. And if you enjoyed this episode, subscribe to our podcast on apple podcasts, Stitcher, Google podcasts, or wherever you listen. And don't forget to leave us a review.

In this episode, Klaus Moosmayer, Chief Ethics, Risk and Compliance Officer at Novartis speaks with Pharma Unlimited podcast host, Bertrand Bodson, about ethics and the ability for them to keep up with innovation in the pharma industry.

What is the message of compliance inside of a corporation and how it is distributed? In a compliance program, the largest portion of your consumers/customers are your employees. Social media presents some excellent mechanisms to communicate the message of compliance going forward. Many of the applications that we use in our personal communications are free or available at very low cost. Why not take advantage of them and use those same communication tools in your internal compliance marketing efforts going forward?  Louis Sapirman, Vice President and Chief Ethics & Compliance Officer for Panasonic Corporation of North America – Panasonic USA, often talks about the integration of social media into compliance. You should start with the tech-savvy nature of the today's workforce. It is not simply about having a younger workforce but a workforce whose primary tool for communication is social media. If your company is in the services business, it probably means your employee base is using technological tools to deliver business solutions. Finally, consider the data-driven nature of business today so using technological tools to deliver products and solutions is something your company most probably does now. Finally, never forget the social part of social media. Social media is a more holistic, multiple-sided communication. Not only are you setting out expectations but also these tools allow you to receive back communications from your employees. The D&B experience around the name change for its Code of Conduct is but one example. You can also see that if you have several concerns expressed it could alert you earlier to begin some detection and move towards prevention in your compliance program. Another approach is to use audio as a part of your compliance communications. Podcasts are a great way to tell a long form story about your compliance successes and challenges. Ronnie Feldman, founder of L&E Entertainment continually reminds us that the engagement of your compliance audience is through the entertainment of your compliance communications. But the key is the audio format can be a powerful tool for you and a way to reach your employee base that you are not taking advantage. It can be as simple as interviewing employees on the importance of culture and how they use culture to guide their decision-making process in their daily work. You are only limited by your imagination.  Three key takeaways: 1. Incorporation of social media into your compliance communications can pay big dividends. 2. Focus on the ‘social' part of social media. 3. Consider incorporating podcasts and other audio clips into your compliance communications and training. Learn more about your ad choices. Visit megaphone.fm/adchoices

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 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 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.

In this special podcast series sponsored by Convercent by One Trust, we celebrate Corporate Compliance and Ethics Week 2021. Over this podcast series, I have visited with Convercent by One Trust employees on why they are so passionate about driving ethics to the heart of business. In this episode, I visit with Asha Palmer, Chief Ethics & Compliance Officer & EVP, Converge at Convercent by One Trust. She feels that compliance is the culmination of her professional career about who she is and what she stands for. She has a great passion about passing along her zeal for compliance to the next generation of compliance professionals. Join the Convercent Converge community. It is the single best resource for information on all things ethics and compliance related. There are discussion threads, Q & A on specific topics and resources available to the compliance professional. Best of all, it is all free. Check out the Convercent Converge community by clicking here.

As states have rushed to deal with legislation surrounding names, images and likenesses, there are a lot of folks involved to help state legislators understand the industry. Its important to state governments that they have a working partnership with higher education institutions in order to factor in their perspectives. As the NCAA's July 1 deadline approached, the Commonwealth of Pennsylvania worked to get their law in place. In fact, PA became the FIRST to allow NIL, as their law went into effect on June 30. (Cue the School House Rock classic song, "I'm just a bill") I am joined today by two Penn State University staff members who worked tirelessly behind the scenes to help the Commonwealth create and pass this landmark legislation. My guests are Zach Moore and Bob Boland. Zack Moore serves as the Vice President for Government and Community Relations for Penn State, communicating to elected officials the value that Penn State provides to the people of Pennsylvania as the Commonwealth's flagship public university. Zack came to Penn State from Washington, D.C., in 2007 with lobbying and senior legislative experience in both the U.S. House and Senate. He brings his extensive legislative, policy development, and lobbying experience to the role of chief lobbyist for his alma mater, with responsibility over federal, state, and local relations efforts. In his time with Penn State, Zack has been a passionate advocate for the value of Penn State's land-grant mission. Bob Boland joined Penn State University as Athletics Integrity Officer in July 2017. In this role, he works to ensure the Athletics Department is meeting all University standards related to integrity, ethics, staff and student conduct and welfare, as well as NCAA and Big Ten standards. The position, the first of its kind, was created in August 2012 in an agreement with the NCAA, Big Ten and Penn State. The officeholder is charged with oversight and reporting of internal and external investigations into athletics. With that agreement expiring in August 2017, the University maintained the position as part of its own broader Athletic Integrity Program. Boland chairs the University's Athletics Integrity Council, a group that brings together senior administrators and faculty to review matters related to athletics and reports to the Chief Ethics and Compliance Officer and the Board of Trustees. --- Send in a voice message: https://anchor.fm/karen-weaver/message

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.

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.

Cheryl Curbeam, chief risk and compliance officer at Corteva Agriscience, talks about her journey from engineer to compliance officer; how the pandemic has prompted changes to how her program operates; and how to find and grow a diverse group of talent for careers in the ethics and compliance profession. “No longer can you just have a conversation with someone that sits next to you, or in the hallway. People have to be more intentional about it, so we have had to step up our messaging about the hotline.” - Cheryl Curbeam Cheryl Curbeam is the chief ethics and compliance officer for Corteva Agriscience, a global agriculture company that launched as a publicly traded company in June 2019. Cheryl leads a global team to implement a new ethics and compliance program that inclkudes the creation of its first Corteva Code of Conduct, an Ethics and Compliance Hotline, employee training and certification, compliance policies, and mobile app. Full disclosure: Corteva is an LRN partner, and we worked with Cheryl and her team in helping them create their code. Prior to her career at Corteva, Cheryl had progressive leadership roles at DuPont including assignments in operations, sales and marketing, and compliance. She holds a master of science degree in mechanical engineering from Massachusetts Institute of Technology, and a Bachelor of Science in Mechanical Engineering from University of Tennessee. She is also a certified Corporate Compliance and Ethics Professional and Six Sigma Master Black Belt.   What You’ll Learn on This Episode: [1:29] How has Curbeam’s career path led her to her current position at Corteva? [3:23] How is Corteva’s E & C program structured and who does Curbeam report to? [4:35] What are Corteva’s core values and how are they implemented in the structure of their E & C program? [6:19] How has Covid changed the way that Corteva trains and communicates with their employees? [9:28] What does Curbeam anticipate the lasting impact of Covid will be in the business world? [10:37] How has Corteva conducted employee onboarding during the pandemic? [11:34] What is Curbeam’s perspective on the call for racial justice during the summer of 2020? [13:46] What can the E & C community do to promote more diversity?   Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, Sound Cloud, Podyssey, or anywhere you listen to podcasts.   Transcription: Intro: Welcome to the Principled Podcast brought to you by LRN. The Principled Podcast brings together the collective wisdom on ethics, business and compliance, transformative stories of leadership, and inspiring workplace culture. Listen in to discover valuable strategies from our community of business leaders and workplace changemakers. Ben DiPietro: Hello, everybody and welcome to another episode of season five of LRN's Principled Podcast. My name is Ben DiPietro. I'm the editor of LRN's E&C Pulse Newsletter. You can find that on our website, lrn.com, click the resources tab, and then click on the newsletter tab. And please sign up. We'd love to have you as a subscriber. With me today is Cheryl Curbeam, the Chief Ethics and Compliance Officer for Corteva Agriscience, a global agriculture company that launched as a publicly traded company in June of 2019. Cheryl leads a global team to implement an ethics and compliance program that includes the creation of the company's first ever code of conduct, an ethics and compliance hotline, employee training and certifications, and a mobile app. Let's welcome, Cheryl. How are you today? And thank you for taking time. Cheryl Curbeam: I am well. Thank you, Ben, for the opportunity to speak with you today. Ben DiPietro: It's good to have you here. So tell us a bit about your journey in the world of ethics and compliance. How did you become interested in this? And tell us a little bit about the career path you've taken to get where you are now at Corteva. Cheryl Curbeam: I would like to say that Corteva sells... People think we're an ad company, so that can mean a lot of different things, but I wanted to let you know that we sell seeds, we sell crop protection and digital solutions for farmers. So how I started my journey is I'm a mechanical engineer by training, have both a bachelor's and master's in mechanical engineering. And so it's not likely that I would have ended up in ethics and compliance, but I spent the first third of my career in operations and aspirations and leadership assignments. The second third of my career was spent in sales and marketing, and I had some really fun jobs in sales and marketing. And one of those fun jobs was to provide and support the fibers and fabrics that go into firefighter clothing. It was one of the best jobs ever, but it required a lot of travel. And I was out of my home three out of the four weekends. I was gone 80% of the time. And around that time I got married and had children and it just became so challenging with the travel and managing my personal life. And so I started to think about other career options for me. And then I looked for roles within the business because I love the sales and marketing side. So I started doing compliance for the business, which led to corporate compliance for the company that I was with. I was with Heritage Legacy Company [Ducon 00:02:56] at the time. And then I was asked to join Corteva in 2018, before we launched our company and I had the privilege of being promoted into the role for Chief ethics and Compliance Officer. And so I've added now data privacy to my responsibilities as well as enterprise risk management. Ben DiPietro: And so tell us a little bit about the program then. You've basically clearly started everything. How is it structured and who do you report to? Cheryl Curbeam: Our Ethics and Compliance Program is structured globally. So we have major commercial regions around the world. So we have an ethics and compliance officer in each of the major regions. So we have one for US and Canada. Another person covers Latin America. One covers Europe, one covers Africa, Middle East, and one covers Asia-Pacific. So, that's also the way that we're structured with data privacy. My role reports into the general counsel, who's also our board secretary. And then we also have a governance structure. So our executives sit on what we call our Ethics and Compliance Committee and we meet quarterly and they provide oversight for our program, for our policies and our initiatives. And then I also have regular updates with our board of directors. So, that's how we're structured. Ben DiPietro: So tell us a bit about the company's core values and how those values are reflected in your culture and your code and the role that E&C plays then in disseminating those values and making sure everybody in the company knows of them and is working to adhere to them as much as they can. Related article: Best Codes Drive and Reinforce Values, Ethics Cheryl Curbeam: I really like that question because the purpose of our company, we think we're here to feed the world. And so the official purpose of our company is to enrich the lives of those who produce and those who consume and sharing progress for generations to come. And I love the part about our purpose being for not only for me, but for people that come behind me. So everything we do kind of starts with our purpose, our code, which LRN helped us to develop. And our supplier code of conduct start with our purpose. And then we talk about our values. So we have six key values. One of the values is around be upstanding, which we have owned that in the ethics and compliance space, but the other ones are to enrich lives, to stand tall, to be curious, to build together, and to live safely. So our code is titled, We Are Upstanding. So, it's a flip on the value be upstanding. And everything that we do, all the courses that we launch through LRN start with We Are Upstanding. So that's one message that we keep core to us in ethics and compliance. And when we launch our annual training, we have a Be Upstanding month. And that month is, and we started this last year, dedicated to webinars and activities, and also just a fun and creative way to launch our annual training campaign. Ben DiPietro: Obviously COVID is impacting you guys the way it's impacting everybody. How is it changing the way you try to maintain continuity in your messaging and training and support for employees? Cheryl Curbeam: I think COVID has had an impact on everyone. And when you think about 2020, and some of the keywords and phrases, you think about pandemic, you think about Zoom, you think about racial reckoning, you think about the presidential election, all of those things in addition to COVID kind of have merged together and they will probably always be with us. So it was a year for us and it still is a year of resilience. And so everything that we thought about for 2020 and 2021, everything has to be thought of in a virtual content. All of our training is now virtually delivered, but we've been very creative. We get to see the creativity of our employees, of how to not only title things, but make things interesting and interactive. And we've trained outside of our online training. Just in the webinar format, we've trained over 11,000 of our employees that way. Another key shift for us and probably for all companies is how you conduct ethics investigations. Instead of flying to a location and conducting in-person interviews, we really had to shift the way that we interview and collect information so that it's in a virtual format. And we've had to even hire external investigations companies to help us and assist us with some of the more complex investigations. And I think one of the key things that has changed is how we get employees to speak up and seek help and how we're able to detect issues in the workplace because no longer can you just have a conversation with someone that sits next to you or in the hallway, people have to be more intentional about it. And so we have had to step up our messaging around the use of the hotline, how it works, how it's managed by a third-party vendor. It's a great way to report things anonymously. Those are some of the key changes that we've had to really think about. And the last thing I want to mention, I don't know if other companies had to deal with this, but we've had to really address the use of social media. And so with the monumental, I call it presidential election that we had in the US last year, people have felt free to share their opinions and ideas. And we certainly don't look at employee's personal social media accounts, but when issues are brought to us, we have to remind our employees that what they say and what they write, whether it's within the company, but also in social media has a reflection on who we are as a company. And so we've had to really think about sharing that message with our employees, that we are not actively looking at their social media, but what they say and what they write, reflect positively and negatively on our company. Related article: Adapting to change: Training Your Global Virtual Workforce Ben DiPietro: Beyond remote work then, what do you think would be the lasting legacy of this pandemic and the way it changes the role of ethics and compliance and the [inaudible 00:09:29]? Cheryl Curbeam: My perspective is that let's face it, we're never going to be traveling at the same levels we were traveling before the pandemic. And so, we have to adjust. It's not just a temporary adjustment to a virtual and remote workforce. I think it's a permanent one. And we have to adjust and continue to communicate how the employees can speak up and seek help. So I don't think that's going to change either. And I think another lasting legacy which I spoke about is how we do investigations. So, that'll be a permanent change. But I think the thing that I haven't really touched on is the hiring of talent, which I think is a real positive. I've had the pleasure of hiring three people on our team remotely. And I think what that does is you no longer have to restrict people to a geography to get great talent. And I think that's a great positive, that no longer will you have to require that people be in one of our three headquarter locations or be near one of our major global centers in order to be in ethics and compliance. Ben DiPietro: How do you do the onboarding? It's sort of different now. Cheryl Curbeam: That's another great question. So we do all of the talent scouting virtually. We do the interview panels virtually. People meet into a Zoom room. We also onboard them virtually. We have a phenomenal ethics and compliance team, but we also have phenomenal IT support. And so they shift them the computer, they set up a virtual onboarding session for their computer and phone. We set up mentoring appointments virtually. So everything that we do to onboard new employees is virtual. Ben DiPietro: You mentioned a little bit before last year was a bit of a strange one, certainly politically. And also part of that was the cry for racial justice that led to worldwide protests following the killing of George Floyd by Minneapolis police, which no doubt effected you as a woman of color. Can you talk about since all that's happened, what are you thinking and are you hopeful that it will lead to some meaningful change? Cheryl Curbeam: So for the audience, yes, I am a black woman. I'm the proud mom of two black teenage boys. I'm married to a black husband. So for me, the killing of Mr. Floyd was one of several horrible killings that we've had to witness, unfortunately, through social media or through the news channels. Because I deal with this probably every day, for many black families this is the reality that we have to deal with about personal safety. I am hopeful. I'm very hopeful. My faith gives me a lot of hope. It was deeply painful to actually witness Mr. Floyd being killed. I think one of the fortunate parts, if you can even say that was that other people got to witness it too. And what gave me hope was that the global community responded, they responded by using peaceful protests. And really companies responded as well by making hopefully meaningful change about the way we tend to look at people. And so I've been doing a lot of reading and reflection on my own, but I have a great homework assignment for anyone that is listening and someone who wants to read a good book. So I've been digesting a book called Caste by Isabel Wilkerson, and it really parallels the US culture with Indian culture, with some very horrible things that happened during the Holocaust. And it just, it really provides a picture on structural or systemic racism just to give an understanding of how we got to where we were to see how big the problem is. And I am very hopeful that once you understand the problem, you can fix the problem. Ben DiPietro: Yes, let's hope as we go forward here. Let me ask you one final question and I thank you again for taking time with us today. Really appreciate it. You mentioned businesses sort of have stepped up to a certain degree after this season of racial awareness. What can the E&C community do now to bring more diversity to its ranks? Cheryl Curbeam: Yeah, so we means me. So what can I do? What can others do? Ethics and compliance unfortunately, isn't one of those careers that many people aspire to right out of the university setting. We typically don't hire current college graduates into these roles. I think there's a wonderful opportunity to either bring in new talent from the outside or develop talent from within the company. I'm a great example of someone who was promoted from within my company. I had a great leader who saw that I could potentially do compliance work for a business and then for the company and then for Corteva. So developing talent from within is a great way to bring diversity into the ranks of ethics and compliance. Cheryl Curbeam: And another great way that I have also used is to hire external talent and to be very intentional about having a diverse set of candidates to draw from, to personally interview, to panel interview, and to also make sure that we have a diverse set of people looking at the candidates. I recently became aware of a few organizations that we have used to seek out new talent, the National Association of Black Compliance and Risk Management Professionals is one of them. There's several women in compliance organizations. And just really intentionally finding candidates that meet our criteria, I think is one way to really help, to find and broaden the pool of talent for ethics and compliance. Ben DiPietro: That's great to hear that, they're actually creating those kind of associations and doing that networking to help bring their profiles up so people know they're there and to have people make sure that they're being interviewed and getting those opportunities. With that, I want to thank you so much for being with us. And I look forward to seeing you again when we're all allowed to be outside. Until then, stay safe, Cheryl. Cheryl Curbeam: Thank you, Ben. Thanks for the opportunity. Outro: We hope you enjoyed this episode. The Principled Podcast is brought to you by LRN. At LRN, our mission is to inspire principled performance in global organizations by helping them foster winning ethical cultures rooted in sustainable values. Please visit us at lrn.com to learn more. And if you enjoyed this episode, subscribe to our podcasts on Apple Podcasts, Stitcher, Google Podcasts, or wherever you listen. And don't forget to leave us a review.   Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, Sound Cloud, Podyssey, or anywhere you listen to podcasts.  

As April is Earth Month, GWIC thought it would be a great time to talk to one of the people who works in E&C and also to protect our natural resources and environment.  Michelle Beistle is the as Chief Ethics, Compliance & Privacy Officer at The Nature Conservancy, and started there in April 2019.  Michelle was one of GWIC's first guests, where she spoke about her path and how she got into compliance through her privacy work.  Her former role was as Counsel and Chief Compliance Officer - Privacy & Ethics at Unisys. Michelle talks about the similarities and the differences that she has encountered moving into a non-profit, as well as her excitement about working in a mission-driven organization.  She also talks about how COVID and the social justice movement have impacted TNC, and how they speak out on behalf of other social causes. TNC also had a change in leadership, so she discusses that change, and how to navigate that as an E&C professional.  And, as it is Earth Month, Lisa took advantage of her knowledge to get some information on events and Michelle's most practical tip on how you can impact the environment every day.  The Great Women in Compliance Podcast is proudly featured on the Compliance Podcast Network and sponsored by Corporate Compliance Insights.  If you enjoyed this episode please subscribe to the podcast and rate it on your podcast player to help other compliance professionals find it.  Want to hear more from us?  We have a book, “Sending the Elevator Back Down: What We’ve Learned from Great Women in Compliance” (CCI Press, 2020) which is available on Amazon.com and Book Depository. If you’ve already read the booked and liked it, will you help out other women to make the decision to leverage off the tips and advice given by rating the book and giving it a glowing review on Amazon?   As always, we are so grateful for all of your support and if you have any feedback or suggestions for our 2021 line up or would just like to reach out and say hello, we always welcome hearing from our listeners.  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. 

What does it mean to be an ethical leader *and* a leader in ethics? Tom chats with Cheryl Wahl, Chief Ethics and Compliance Officer at the MetroHealth System and winner of Convercent’s Leadership Award, about tone from the top, bringing your whole self to work, and leading a diverse workforce through unprecedented times.

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.

What is the message of compliance inside of a corporation and how it is distributed? In a compliance program, the largest portion of your consumers/customers are your employees. Social media presents some excellent mechanisms to communicate the message of compliance going forward. Many of the applications that we use in our personal communications are free or available at very low cost. Why not take advantage of them and use those same communication tools in your internal compliance marketing efforts going forward?  Louis Sapirman, Vice President and Chief Ethics & Compliance Officer for Panasonic Corporation of North America – Panasonic USA, often talks about the integration of social media into compliance. You should start with the tech-savvy nature of the today’s workforce. It is not simply about having a younger workforce but a workforce whose primary tool for communication is social media. If your company is in the services business, it probably means your employee base is using technological tools to deliver business solutions. Finally, consider the data-driven nature of business today so using technological tools to deliver products and solutions is something your company most probably does now. Finally, never forget the social part of social media. Social media is a more holistic, multiple-sided communication. Not only are you setting out expectations but also these tools allow you to receive back communications from your employees. The D&B experience around the name change for its Code of Conduct is but one example. You can also see that if you have several concerns expressed it could alert you earlier to begin some detection and move towards prevention in your compliance program. Three key takeaways: Incorporation of social media into your compliance communications can pay big dividends Focus on the ‘social’ part of social media Use internal corporate social media to facilitate a 360-degree conversation

A 360-degree view of compliance is an effort to incorporate your compliance identity into a holistic approach so that compliance is in touch with and visible to your employees at all times. It is about creating a distinctive brand philosophy of compliance which is centered on your consumers. In other words, it helps a compliance practitioner to anticipate all the aspects of your employees needs around compliance. This is especially true when compliance is either perceived as something that comes out of the home office or is perceived as the “Land of No.” A 360-degree view of compliance gives you the opportunity to build a new brand image for your compliance program. This is important as the 2020 Update mandates that for a compliance program to be effective, it must be understood by a wide variety of stakeholders.  Communications is often thought of as a two-way street, upward and downward, inbound and outbound, or side-to-side. However, it is better to think of it as a 360-degree effort. You simply can no longer effectively communicate in just two ways. You now communicate in a more holistic manner, and in multiple ways. If you are just thinking about communications in the classic form, you are missing something that is happening around you. The best example I can provide to you is a story told to me by Louis Sapirman, Vice President and Chief Ethics and Compliance Officer at Panasonic Corporation of North America – Panasonic USA. This story happened to him in Argentina when he was the CCO at Dun & Bradstreet (D&B). Argentina has an interesting form of illegal conduct, which is an open black market for the changing of currency. Sapirman was with a colleague who was one of the leaders from the company’s South American operations and they went into a convenience store. The person who was going to sell him the product suggested that he go just around the corner and change money on the black market where he could get a much better exchange rate, almost a 100 percent difference in the exchange rate; he declined to do so. Sapirman paid and received the established bank rate in the small transaction. He had not considered role modeling that compliance. About six months later one of his team members was in Mexico speaking to the leader of the D&B operation there. The non-compliance function employee said that he was the person who had been with Sapirman. He recounted the story of doing the right thing, when literally no one was watching. That is the power of 360-degrees in communication.  Three key takeaways: Remember the definition of 360-degrees of communication. It is an effort that moves the compliance identity into a holistic approach so compliance is in touch and visible to your employees at all times What is your objective? What are you trying to do with your 360-degrees of communications and how are you using that mechanism to deliver the objectives of your compliance program? Evaluate. You need to evaluate three factors: 1) has the message been delivered; 2) has it been heard; and 3) is it being implemented?

In this special podcast series sponsored by Convercent we celebrate Corporate Compliance and Ethics Week 2020. Over this podcast series, I have visited with Convercent employees on why they are so passionate about driving ethics to the heart of business. In this fifth and final episode, I visit with Asha Palmer, Chief Ethics & Compliance Officer & EVP, Converge at Convercent. She feels that compliance is the culmination of her professional career about who she is and what she stands for.  She has a great passion about passing along her zeal for compliance to the next generation of compliance professionals.  Join the Convercent Converge community. It is the single best resource for information on all things ethics and compliance related. There are discussion threads, Q & A on specific topics and resources available to the compliance professional. Best of all, it is all free. Check out the Convercent Converge community by clicking here. 

Anna & Michaela share their learnings, building up ethics, and compliance at the Telia company in the wake of a corruption scandal. Michaela Ahlberg is a lawyer with over thirty years of experience working with ethics & compliance programs at several multinational companies and is currently the Chief Ethics & Compliance Officer at Getinge. Anna Romberg is an anti-corruption, compliance, and corporate governance expert who has deployed ethics and compliance programs in global organizations. Anna and Michaela worked together to establish ethics and compliance in the Telia Company after a major corruption scandal, Michaela as the Chief Ethics & Compliance Officer and Anna as the Global Anti-Corruption Program Lead. Together they have authored The Grey Zone: A Practical Guide to Corporate Conduct, Compliance, and Business Ethics.

Post By: Adam Turteltaub Back in 2019 Samantha Kelen, Chief Ethics and Compliance Officer at Cardinal innovations Healthcare and Lisa Beth Lentini Walker, CEO and Founder of Lumen Worldwide Endeavors, proposed a session for the 2020 SCCE Compliance & Ethics Institute on recession-proofing your career.  By the time they conducted it in September a theoretical exercise had become an all-too-practical one.  These days, like most everyone else in business, compliance professionals have experienced serious erosion in job security. In this career-essential podcast they explain both how to prepare for and find a new opportunity while also ensuring your current employer understands the value you and the compliance team provides.  That includes keeping a business mindset and knowing the right language to use based on your audience. They also provide some unexpected advice, including checking employment ads on the SCCE (and HCCA) job boards and elsewhere, too, even if you aren’t on the market.  The job listings can tell you what employers are looking for these days and the skills you need both for finding new work and strengthening the program where you are now. Also included in this podcast are tips for improving your resume and advice on how to improve your networking. Listen in for valuable advice on improving your current compliance program and your chances of finding a new position, even in tough times like these.

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Louis Sapirman, Vice President, Chief Ethics & Compliance Officer and Chief Compliance Counsel for Panasonic Corporation of North America, the principal North American subsidiary of Panasonic Corporation. He oversees the company's regulatory and compliance function, maintaining a culture of ethics, and ensuring all employees are upholding Panasonic's longstanding values in their work.   Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World's Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel. In this final episode, going forward Sapirman says it will all be about the data, data and more data and the metrics to go along with it. However, it is not enough to simply track data, both from the government's perspective and from the business case, your business unit folks need actionable insights. There will be greater scrutiny of both CSR and the Supply Chain and that 3rd party compliance is not just about due diligence on your suppliers and finally the role of procurement in compliance. Sapirman believes there will be more professional in the field of compliance with schools having Ethics & Compliance. Compliance professionals will be more challenged with privacy issues, trade control challenges and economic sanctions as well the cultural realities of movements such as #MeToo and Black Lives Matter. We concluded with thoughts on the convergence of compliance and risk – the importance of compliance professionals understanding their position in an organization's risk universe. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Louis Sapirman, Vice President, Chief Ethics & Compliance Officer and Chief Compliance Counsel for Panasonic Corporation of North America, the principal North American subsidiary of Panasonic Corporation. He oversees the company's regulatory and compliance function, maintaining a culture of ethics, and ensuring all employees are upholding Panasonic's longstanding values in their work.    Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World's Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel. In this Episode 3, Sapirman discusses how communications can be used to help drive a more ethical culture. Sapirman believes that communication as a driver of culture. But more than simply being a great communicator, a compliance practitioner must use skill to help others communicate the messages of ethics and compliance. He discusses the concept of 360-degree communications. He is a big fan of social media and the power of non-verbal communications. He concludes with an example of how he used training as an effective tool of communications. Learn more about your ad choices. Visit megaphone.fm/adchoices

Post By: Adam Turteltaub NOTE: This podcast was recorded prior to the conversion of the Compliance & Ethics Institute to a virtual program. Some of the sessions and their tracks may have changed.  Be sure to visit the website to see the latest agenda. Compliance is about much more than understanding the law.  It requires a great many other skills, which is where the Professional Skills track at the Compliance & Ethics Institute comes in. The track chairs are Ellen Hunt, Chief Ethics & Compliance Officer and Chief Audit Executive at AARP and Walter Johnson, Assistant Privacy Officer at Inova Health System.  As they explain in this podcast being a strong compliance professional requires emotional intelligence, the ability to build relationships, create change, negotiate and provide value to an organization.  All of these skills are transferable to other positions at well. As they selected sessions for the track they worked to balance out training in these areas and help foster the mental agility so important to success.  Here are some of the sessions: Clear, Concise, and Captivating – Tips on How to Communicate with the C-Suite and Board of Directors Considering Consulting or Starting Your Own Compliance Business? What to do NOW to Prepare for Success The 7 Habits of an Effective Compliance & Ethics Professional Listen in as they preview some of the sessions and share their efforts to improve their own professional skills.

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Louis Sapirman, Vice President, Chief Ethics & Compliance Officer and Chief Compliance Counsel for Panasonic Corporation of North America, the principal North American subsidiary of Panasonic Corporation. He oversees the company's regulatory and compliance function, maintaining a culture of ethics, and ensuring all employees are upholding Panasonic's longstanding values in their work.    Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World's Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel. In this Episode 2, we explore the qualities of thesuccessful CECO. Some of the key leadership attributes Sapirman sees as critical are Great Communication, a skill that should be practiced constantly, to ensure you remain successful. You should engage in Servant Leadership and your success lies solely in the success of others. Why you need to be flexible and even be a Chameleon. You must be innovative because if you keep doing the same thing over and over, eventually it becomes stale and is destined to fail. Success in E&C requires the ability to be creative and see the novel solutions and change necessary to keep your program successful. Learn more about your ad choices. Visit megaphone.fm/adchoices

Post By: Adam Turteltaub NOTE: This podcast was recorded prior to the conversion of the Compliance & Ethics Institute to a virtual program. Some of the sessions and their tracks may have changed.  Be sure to visit the website to see the latest agenda. When Lisa Gross, Ethics Senior Manger at Lockheed Martin and Art Weiss, Chief Ethics and Compliance Officer at Tamko Building Products set to work as co-chairs of the Ethics Track for the 2020 Compliance & Ethics institute, their objective was both simple and ambitious:  to select a broad selection of topics that would cover the issues that are pressing today and the needs across the spectrum of compliance and ethics professionals. Looking at the agenda, you can see that they succeeded. They also ended up demonstrating that the core of ethics management is largely the same, whether in stable times when they set the agenda, or the more troubling present. As they explain in this podcast, the organization’s values must stay the same and serve as the foundation for decisions and actions. That’s especially true these days when so much is unstable and businesspeople are learning new ways to work together. No matter the change, though, compliance professionals and business leaders have to keep watch on the corporate culture. Here, too, the values are essential, but, also, practical matters are important, such as ensuring that lines of communication are open and accessible. Listen in to gain more of their insights and a preview of what to expect on the Ethics Track at the 2020 Compliance & Ethics Institute.

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Louis Sapirman, Vice President, Chief Ethics & Compliance Officer and Chief Compliance Counsel for Panasonic Corporation of North America, the principal North American subsidiary of Panasonic Corporation. He oversees the company's regulatory and compliance function, maintaining a culture of ethics, and ensuring all employees are upholding Panasonic's longstanding values in their work.    Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World's Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel.  In this first episode, we consider Louis' personal and professional journey into the field of compliance. We get to know Sapirman through his family and why he is so passionate about compliance, institutional justice and institutional fairness. We learn about two experiences growing up that helped informed his views on diversity and the wider world. He talks about his experience as a member of a service fraternity in college and then moves into his professional career. His legal work as a Generalist into Employment Attorney, moving to Employment and Litigation work at D&B and then revamping the investigations process at D&B. Learn more about your ad choices. Visit megaphone.fm/adchoices

Leaning In: How GC's need to lead into the post-pandemic re-emergence and the #BLM movement with Catherine Razzano, VP and Chief Ethics & Compliance Officer with Panasonic Avionics Corporation.

Hilary Buttrick, LSB Associate Professor of Business Law, interviews Melissa Stapleton Barnes, Senior Vice President, Enterprise Risk Management, and Chief Ethics and Compliance Officer, Eli Lilly and Company. Melissa shares her thoughts on leading her organization through the COVID-19 pandemic. This podcast explores the ways that organizations are changing how they work to meet the needs of the communities they serve during a global health crisis.Production Team - Bram Sheckels & Kelly SchmidtMusic by Ronak Raval

Every crisis carries an obligation. The obligation to put principles into practice. The obligation to put your people and your community first. How do we lead ethically in times of crisis? How do we meet the needs of our customers while safeguarding the health of our colleagues and our community? The Butler University Lacy School of Business presents its new podcast channel and a three-part Ethics Series presented by Old National Bank. Join us in conversations with top business leaders as they explore how COVID-19 has affected the way they work and the communities they serve. We’ll talk with leaders from Ethisphere’s World’s Most Ethical Companies. Leaders like: Jim Ryan – Old National Bank Chairman and CEO Andrew Penca – Cummins Executive Director of Supply Chain, Engine Business Melissa Stapleton Barnes – Eli Lilly and Company Senior Vice President, Enterprise Risk Management, and Chief Ethics and Compliance Officer In our journey to become the Midwest's leader in Business Ethics Education and Ethical Leadership, the Lacy School of Business is launching its yearlong ethics series, including podcasts, offering free educational events to students, alumni, and the business community. Our goal is to continue to exemplify ethical practice and leadership development for our students, future leaders, and the community as a whole. Credits: Production Team - Bram Sheckels & Kelly SchmidtMusic by Ronak Raval

In today's episode of Great Women in Compliance, Lisa speaks with Ellen Hunt, who is the Senior Vice President and Audit, Ethics and Compliance Officer for AARP. Ellen has accomplished so much for the compliance community, in the field and is a friend, advocate and mentor to a lot of people, Lisa and Mary included. Following along from the episode a few weeks ago about a dream compliance team, this discussion is about what makes a great Chief Ethics and Compliance Officer (although the title may differ from place to place). The discussion includes a discussion of what the roles and responsibilities are and should be for a new CECO. This includes some thought about how to manage expectations of a Board and executive team, including the idea of looking at a program and seeing what may not be needed before adding new initiatives. Ellen also talks about the best ways to lead a team, balancing the needs of high performers with other team members as a new CECO. She provides a few practical strategies that anyone can use at any time with their teams or within the organization. Join the Great Women in Compliance community on LinkedIn here.

This episode of Principled features Forrest Deegan, Chief Ethics and Compliance Officer for Abercrombie & Fitch, where he is responsible for enhancing the company’s corporate compliance program and third-party risk management program. Deegan has oversight of functional compliance activities, ownership of specific compliance policies, and works with internal partners to foster a speak-up culture throughout the business. He is also a lecturer in Law at the University of Chicago School of Law, and was selected by Compliance Week as a "Top Mind" for 2018. In this episode, Deegan shares his path to success, the relationship between compliance and legal, the importance of communication, the future of ethics and compliance, and how we can better equip students for careers in the field.   What You’ll Learn on This Episode [0:46] Tell our listeners about how you became attracted to ethics and compliance, the path you took to get to your present position as the CECO of A&F. [0:57] Forrest started in private practice about 15 years ago, and did work for many different types of clients. As he gained their trust, he began to do things that were a little more interesting, and ended up in a compliance career at a law firm. When he and his wife moved to Ohio, he came to Abercrombie & Fitch as their first director of corporate compliance, and finally that evolved into the “chief ethics and compliance officer” title. [2:56] What was behind the decision to add ethics into that title and how has that changed what you do?  [3:03] In in-house retail, people wear more hats, and A&F didn’t need to separate ethics from compliance. It was an easy transition to combine the two together. [4:08] As someone with a legal background, you’re well aware of the big debate that was taking place over the last decade in the NC community about whether compliance should be separate from legal and if so, how? And obviously, some companies have made that decoupling. Now that we’re about 10 years into that, what do you see? Are programs better when they’re disassociated from legal’s oversight and why do you feel that way? [4:34] The corporate compliance community is very collaborative; they get together and discuss issues like reporting and job responsibility. Forrest has seen a shift in the past couple of years back toward reporting to general counsels. He doesn’t think there is an issue with either as long as the work gets done. [5:50] What do you feel about how this has all played out? A lot of the concerns were around general counsels exercising too much control over compliance and not having it be as independent? Has that not really played out in the real world? [6:08] Even if you’re not in every meeting, if you have access to the board or audit committee, that can suffice. The communication between parties works well when there is independence and an open channel. [7:08] What would you say is the biggest change in the last five to 10 years as to how ethics and compliance is practiced at corporations? [7:18] Forrest is the first chief ethics & compliance officer at A&F and his peers at other retailers are the first there. The mindset of corporate compliance has shifted over the last 10 years, and people now understand that it is a broader field. [8:29] What do you see driving this profession forward through the 2020s? [8:36] There will be change on both the “want-to” and “have-to” sides. A big area of need for change is consistency in risk management and assessment. Forrest hopes to see increased collaboration with all of the lines of defense: hotlines, store health and safety, and a third-party monitoring program. He also wants to learn to have a more coordinated effort with those that help enforce the standards of conduct, the principles, and the value statement. [11:10] You also teach a compliance course at the University of Chicago. What does the class cover? How long have you been doing that? What are you trying to accomplish and what do you get out of it personally? [11:20] Forrest teaches a seminary called Corporate Compliance and Business Integration. It helps students see how many of the legal and regulatory regimes they’ve been studying play out in a corporate compliance program. Forrest’s class goes through anti-corruption, info stack and data breach rules, AML and OFAC, and employment-related harassment and discrimination issues. Forrest also brings in other speakers from the tech, entertainment, and banking industries to talk about their compliance journeys. [14:12] How do you weave in conversations about ethics and culture into all of this? Obviously, compliance doesn’t really work without those things and they’re a key component to this and I’m guessing that’s a part of the curriculum too? [14:23] The understanding of your business, evaluation of your risks, and use of your resources adds up to your culture of compliance. If everyone understands their role as an agent of the company, you will maintain a stronger culture of compliance. [15:38] How can universities and even high schools do a better job to incorporate lessons about ethics and compliance into their classes and get students ready for these issues that they’re going to have to deal with in their workforce? [15:55] The more chances that students have to see the skills in practice, the more concrete some of the concepts they’ve learned about in school become to them. Having access to practitioners and seeing how the things they’re learning apply in everyday life is the best way for students to learn. Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, Sound Cloud, Podyssey, Spotify or anywhere you listen to podcasts.

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. In this episode of GWIC, Lisa speaks with Kim Yapchai, who is the Chief Ethics and Compliance Officer for Tenneco. Kim did not start in the ethics and compliance field by choice - she became responsible for ethics and compliance during the 2008-2009 recession as part of a large staff reduction.  Kim went from an involuntary compliance officer to a leader in the ethics and compliance community by developing a program based on "transformational leadership" - developing a holistic program, working with her team and achieving results in both her prior and current role, both in E&C and in corporate social responsibility. A great deal of Kim's career has been in the automotive and manufacturing industries, two male-dominated industries. She discusses how she has thrived in these industries as a woman, and a person with a blended heritage. Kim is also a great supporter of ethics and compliance professionals and discusses how she uses LinkedIn and building her network to help others...and how that is something she enjoys. Join the Great Women in Compliance community on LinkedIn here.

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection - they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the Compliance Podcast Network. In this show, we interview Ula Ubani, Chief Ethics & Conduct Officer for BMO Financial Group who is going to discuss the creative integrity and speak up program BMO developed by working with Ronnie Feldman and Learnings and Entertainment. The program is entitled the BMO-On-The-Street With Actions Matterly a custom man-on-the-street-style integrity and Speak Up communications campaign, where real employees to championed the cause of compliance. It is the fascinating picture of how a traditionally conservative financial institution recognized the value of trying a more entertaining approach to ensure that employees pay attention to this important subject. They were rewarded by being the only Canadian bank to be recognized as a Worlds Most Ethical Company.  Some of the highlights include:What is the BMO-On-The-Street With Actions Matterly? It is man-on-street style videos, interviewing employees and getting them to champion the cause. o  It was named after the BMO theme that Words and Actions Matter. o BMO wanted to be able to tackle the tough subjects. Why did BMO take this approach?o We wanted to involve employee? o We wanted it to be fun and interesting because this can be a tough subject to get at.Was BMO worried about using entertainment and humor and how did you handle that?o We were careful to make sure that we never made fun of the issue. We made the character interesting/quirky allowing employees to be the heroes of the piece.What was it about the campaign that made it such a success?What have been the results, both expected and unexpected?What advice would you give to others thinking about trying something creative like this...what lessons have you learned?Resources: Ronnie Feldman (LinkedIn) Learnings & Entertainments (LinkedIn) Ronnie Feldman (Twitter) Learnings & Entertainments (Website) 60-Second Communication & Awareness Shorts – A variety of short, customizable, quick-hitter “commercials” including songs & jingles, video shorts, newsletter graphics & Gifs, and more. Promote integrity, compliance, the Code, the helpline and the E&C team as helpful advisors and coaches. Workplace Tonight Show! Micro-learning – a library of 1-10-minute trainings and communications wrapped in the style of a late-night variety show, that explains corporate risk topics and why employees should care. Custom Live & Digital Programing – We’ll develop programming that fits your culture and balances the seriousness of the subject matter with a more engaging delivery.

Have you ever thought about what it would be like to work in a compliance program where you are also trying help those in most need all over the world?  Where your first concern in an investigation is to ensure the safety of the investigator and witnesses?  In this episode of Great Women in Compliance, Lisa talked with Lauren Camilli, the Vice President, General Counsel, Corporate Secretary, and Chief Ethics & Compliance Officer at Blumont, which is an international relief organization which supports infrastructure development and provides humanitarian aid globally.  Part of Blumont's role is also to support and protect women in countries where women are most vulnerable.  Lauren talks about her transition from compliance in the defense industry to her current role, her "paradigm shift," and the difference between most compliance roles and the non-profits.  She also provides some information about how those of us in traditional corporate compliance programs can support non-profit and other programs.

Lauren Camilli, VP and Chief Ethics and Compliance Officer at Blumont, talks about some of the challenges that are specific to the global aid and development world, as well as some that are universal.

What is it like to work not only as a woman in compliance, but as a woman in an international company? Stephanie Davis is the Chief Ethics and Compliance Officer for the Volkswagen Group of North America and she’s here to share what it’s like to be the only woman — and sometimes, only American — in the room. Stephanie came to Volkswagen not from a law firm, but from KPMG. How did that impact her career?  An academic background gives a lot of credibility, especially in German companies, as Germany is a country that prides itself on amazing education. In the US, it was the consulting background that was really helpful, because it’s given Stephanie the lens to approach problems more collaboratively. Where legal will say “no, you can’t do that” and end there, she might say, “no you can’t do that — but here’s what we can do instead,” because she understands how businesses are run and knows companies still need to make a profit. Her job is to make sure they do it in the most ethical and integral way. What is it like to be a woman in compliance, and what is it like to be a woman in compliance with a company that has a headquarters in Germany? Stephanie comes to her job bringing a distinctly different perspective: she hasn’t worked at Volkswagen her entire life (like many in the company have), she’s a woman, and she’s American. But she learned that you can’t let “being the only x in the room” be an issue. If you fixate on that, that’s all you’re ever going to be. She had to give herself permission to not focus on the fact that she was the only woman or American there. She was in the room for a reason. She was in the room because she had value. No one else was questioning her presence, and it took time for her not to question it either. In all of her otherness, she has come to realize: “It’s too much stress to be anybody but who I am.” On speaking in the room Stephanie speaks at many conferences and talks for women’s groups so that “one day, we don’t have to do it anymore.” She postulates that women’s conferences and groups grew out of this world of golf games that we saw our fathers participating in growing up, where all the work was done on the golf course. Women weren’t really involved — and so we’ve decided to build our own golf courses. But she hopes we don’t have to do it forever. We all bring something to our organizations. We shouldn’t have to fit a “bucket” of what our careers must look like: partner by 35, x amount of dollars in the bank by 40. We’ve created a world that can be really hard sometimes, and we have to be easier on ourselves. Resources Stephanie Davis (LinkedIn)

Podcast Summary: Consumers continue to increase their digital footprints and more personalization, but at the same time less invasion into their privacy. In this podcast we will dive into how organizations can maintain the consumer's privacy while still utilizing personalization in marketing tactics. Resources: Blog: https://blog.dieboldnixdorf.com/personalization-vs-privacy-balancing-act-retailers/#.W0Zc-NJKjIU DN website: www.dieboldnixdorf.com COMMERCE NOW website: www.commercenow.libsyn.com Transcription: Introduction: Amy:                                     00:16                     Hello, and welcome to Commerce Now, your source for fintech conversations, along with emerging trends in the banking and retail industries. I'm your host, Amy Lombardo. Amy:                                     00:25                     In today's topic we'll discuss how consumers continue to increase their digital footprints, and demand more personalization, but the same time, less invasion into their privacy. In this podcast we'll dive into how organizations can maintain the consumer's privacy, while still utilizing personalization in marketing tactics. Amy:                                     00:46                     Today, I'm joined by two members of Diebold Nixdorf's Legal and Compliance department: Lisa Radigan, Chief Ethics and Compliance Officer, and Stefan Limbacher, Global Data Privacy Officer. Each will share their input and perspective on this relevant and timely topic: Personalization Versus Privacy. Amy:                                     01:05                     So thanks for joining me today, Lisa and Stefan. Stefan:                                 01:09                     Thank you for having us. Lisa:                                       01:09                     Thank you, Amy, it's great to be here. SECTION 1 –WHAT DOES GDPR STAND FOR? / WHAT IS GDPR? Amy:                                     01:11                     Okay, so, let's jump into the conversation. Let's start at the highest level what GDPR stands for. There's so much buzz, whether your business is B2B or B2C around balancing that right level of data gathering with then the data privacy. So look at any recent news coverage you see, or even check your own personal email and you can't avoid all the privacy policies or opt-ins that are hitting your inbox. Amy:                                     01:35                     So, Lisa, can you tell me what exactly is GDPR? Lisa:                                       01:38                     So, GDPR is the General Data Protection Regulation. It's an EU law that really is designed to harmonize a number of EU laws that has existed for quite some time. And to provide a standard across, EU countries, that gives consumers and anyone who has any kind of personal data some additional protections around how that data is used. So it's really just a, a universal framework to provide some consistency. But it will of course impact all companies who end up touching personal data that goes through the EU in any way. Amy:                                     02:22                     Okay. And we see the news, we hear the buzz that consumers are uneasy about the means that marketers are using to acquire information about them. So it's important to know what material they're willing to provide to get these personalized communications. Amy:                                     02:38                     So with that said, why do you think consumers are more willing to share information with certain organizations over others? Stefan:                                 02:46                     Data is being regarded as the oil of our age. So, people will become more and more aware of its value. And I think the key thing is to create an environment where people are confident that their privacy is being protected. If you create an environment like that, then, people will be more willing to share private information. And it will be easier for business to gather information required for them. Stefan:                                 03:18                     So I think this is a target that can be achieved by these new laws, these new privacy laws which are popping up all over the globe at the moment. Amy:                                     03:29                     Okay, thank you. So, the GDPR was effective May 25th of this year in Europe. How do you feel the GDPR is effecting the balance between personalization and privacy here in the US? Lisa:                                       03:43                     So, it's interesting you say it was effective on May 25th, that's partially accurate, it's actually been in place since April of 2016, but it will be applicable starting on May 25th in Europe, which basically means starting on May 25th, companies really need to be fully ready for all of the different ways in which GDPR will be applicable to them. Lisa:                                       04:08                     So at Diebold Nixdorf, we actually kicked off our program to get GDPR ready about two years ago, because there's really quite a lot of work that we've been doing and that a number of companies are doing and will continue to do to make sure that we're compliant with GDPR. Lisa:                                       04:26                     GDPR will impact the US because lots of data from the US flows through Europe, or into Europe somehow. And so really it's becoming just the gold standard on how companies deal with and manage data that crosses their systems. You know, the world is a small place anymore, and lots and lots of other countries around the world, including, frankly, in the US, are adopting similar rules, similar regulations to what the principles of the GDPR require. Lisa:                                       05:03                     For instance we're really taking the view that the GDPR while applicable in Europe, we really view it as the standard that we will use globally and you know, I think lots of companies will end up doing the same, because the flow of data simply is difficult to stop at the borders of Europe. Amy:                                     05:24                     Got it. So you said that from your opinion this could become the global standard. So do you see it cascading to other areas of the world? Stefan:                                 05:33                     Yes, actually, I think it's happening right now. So if you look into what's going on in Latin America, and in Asia Pac-Pacific, there, currently is legislation being drafted that picks up on a lot of issues that are dealt with in the GDPR. And, I think this is a process that will be even accelerated by incidents like, Cambridge Analytica. So, data privacy is on people's minds and as you said rightfully in the beginning, you know, people are bombarded with emails around this, and, yeah, I think the sensitivity is at a peak at the moment. Stefan:                                 06:15                     Global legislation that is coming into place is picking up on GDPR and that is also one of the reasons why Diebold Nixdorf has chosen GDPR to be its gold standard for its global data privacy program. SECTION 2: HOW COULD GDPR AFFECT BANKS AND RETAILERS? Amy:                                     06:37                     Okay, got it. So, let's switch gears and talk a little on how GDPR effects banks and retailers. So we talked about earlier how organizations should have in effect a robust data privacy approach. So what is the policy if there is a security breach under the GDPR? Lisa:                                       07:00                     Under the GDPR there are lots of rules around what you need to do around data breaches. There's the so-called 72-Hour Rule, which basically means you have to inform data protection authorities or potentially even some data subjects if it's a potentially relevant incident that's occurred. Lisa:                                       07:23                     Data breach notification rules have been around for quite some time, both in Europe and in the US. Lots of US states have these obligations where companies are required to notify when a breach occurs. Lots of companies, including ours, have now established formal breach notification policies to make sure that if a breach occurs that it's escalated appropriately within the organization and is dealt with quickly so that we can adhere to these really quite stringent notification laws. Amy:                                     08:05                     Okay. So let's talk a little bit about how businesses actually compile the data on a consumer. Are there best practices to get the most information out of a consumer but without offending them? Stefan could you comment on that? Stefan:                                 08:23                     There are a couple of principles that you need to adhere to. So, the general principle of data privacy is that you're not allowed to process it unless you have a legal reason to do so. For example: Consent or contracts or compliance with a legal obligation or legitimate interest, so you need to be aware what is your legal basis. That is key. Stefan:                                 08:57                     We’re analyzing every instance where we are touching personal data and we're determining what is our legal basis.  Secondly you need to consider the principle of the data privacy by design. So, that means that you may only process the data which is absolutely required for your goal, and you can't collect any useless information. So you have to focus on what you really need, and what, what fits your purpose. Stefan:                                 09:31                     As a fair point, you need to delete data which is no longer required and you need to have in place an eraser or data erasure process that ensures that you're not accumulating data which is no longer required. So, coming back to your question, it's the wrong question, "How can I collect as much data as possible?" That is actually already not in line with the spirit of data privacy. You should ask, "What actually do I need?" And only limit yourself to that data which is actually required for your purpose. Stefan:                                 10:10                     I think when you do that you'll have a different experience yourself processing the data. And if you convey that to your, customers and if your customers can feel that and this is your prime directive when you process data, then I think they will be more willing to give you the data that you actually require. Lisa:                                       10:33                     And if I can just jump in quickly on, on this point, too ... I think in terms of best practices for how can companies really deal with and manage data and personal information that they're coming across? I think the key, really, to any compliance program, and certainly to anything around data privacy is to make sure that your program is not static and it needs to continue to evolve and continue to grow and change as the business changes, as the needs of particular data changes. Lisa:                                       11:05                     And I think the GDPR is really quite focused on that, to make sure that you're collecting data for a specific purpose and you're using it for that purpose and you're really evaluating, "Okay, why do we need this? Is there a better or more efficient way to get it? Should we be deleting it at different times?" It really forces companies to think hard about their programs and not just to have it be, you know, "We've put in a policy and it sits on a shelf and nobody's touched it for years." Lisa:                                       11:39                     You have to really engage in the topic and it has to be sort of top of mind for people as we continue to go forward. I think Stefan's absolutely right; data is (Laughs) by far going to be kind of the oil of our age. And making sure that we're taking care of it appropriately is really one of the things that GDPR is concerned with. Amy:                                     12:04                     Okay. I actually wanted to drill into something that you had mentioned, Stefan. But is there a way you could give me an example of what a legal obligation is? So you had mentioned that you can collect the data if it's part of a legal obligation. Can you share an example of that? Stefan:                                 12:23                     So for example, if you’re an employee of a company, the company is collecting your data that is in connection with fulfilling its contract with you. So it can make payments, for example, to you. Once you're terminated or once that labor agreement was terminated, you no longer have that, contractual obligation to have the data. Actually you would then need to delete the data. Stefan:                                 12:50                     There is in many countries a legal obligation to keep data on your employees for a certain amount of years. So, the authorities can check that proper tax payments have been made, and Social Security payments have been made. So there are sometimes legal obligations to keep data. Amy:                                     13:11                     Okay, that makes sense. Thank you for that. Amy:                                     13:14                     So Lisa, as we've discussed, consumers continue to use new forms of technology, and they have this overarching expectations of organizations. So, one for the business to better understand them as individuals, but then also to protect their privacy. So can you tell us a little bit about what are some steps organizations can take in regards to the personalization aspect? Is there a way to strike that perfect balance? Lisa:                                       13:43                     Yeah, I mean, I think when you look at kind of the goals of personalization and privacy it seems like they could be potentially contradictory, but really the key to companies managing and handling their data that they receive from their customers appropriately is to make sure that the consumer or the customer are really in the driver's seat. That the consumer knows the data that's being given to the company. That they have control over how that data is used. They give really, an informed consent around, how that data will continue to be used in the future, and that they know where that data is going. Lisa:                                       14:29                     We really think that data privacy is going to ultimately drive quite a lot of innovation around this. I think if you go back, you know, three, four, five years ago, the goal was really just gather as much data as you possibly can about people, or gather as many people's data as you can and try to then send out marketing materials or whatever you're going to use that data for. I think going forward the focus will need to be certainly on making sure that you have the right data from the right people, which ultimately will then allow you to really target people who may want to actually use your products or purchase your products. Lisa:                                       15:11                     So, I think it's ultimately going to drive quite a lot of innovation. Hopefully that will be innovation that's beneficial not only for the company who's collecting the data, but ultimately for the consumer as well to make the ways in which they're engaging with an organization much more, productive and meaningful to the end consumer. Amy:                                     15:38                     Yep, and that makes total sense in this age of innovation and technology advancements and we're in a world where digital engagement is really paramount to the day-to-day operations of global organizations. So Stefan, do you see that the GDPR and any future mandates could affect the digital ecosystem? Stefan:                                 15:59                     Let me take an example: So at the moment, you're getting all these emails from companies making you aware that you need to opt-in to receive future information from companies. The marketing guys of those companies, they will hate this, because, the information you're sending out, the newsletters you're sending out, they will lose a lot of reach when you're asking for an opt-in from consumers. Stefan:                                 16:29                     But in the end when you do that you will focus on those consumers that are actually interested in receiving your email, because they actively said, "Yes, I want to get this information. This information is useful for me." And, I think in the end you, you might lose 80% of addressees of your newsletters, but in the end you can focus on those 20% for which the information is actually relevant and that I am actually going to use the information. Stefan:                                 17:02                     So, I think the businesses will need to learn that data privacy is not about the amount, it's not about the size of your database, it's about the quality. And also, when you're developing products it is really focusing how can I achieve the most with the least amount of personal related data. Amy:                                     17:27                     You're so right, Stefan, because I am one of those marketing guys or gals, I should say, that has a challenge here, and has to figure out how do we find that balance. And, you're right, the people that want to engage with you, they will be okay with selecting that opt-in, because obviously they find value in what you are providing to them. Lisa:                                       17:50                     Its gonna be a painful process for sure, and I think we're already starting to see that. But I think ultimately at the end of the day, you're going to be connecting in much more meaningful ways. Both from a company perspective and from and end consumer perspective. Amy:                                     18:05                     Exactly. And that touches the whole concept of connected commerce providing these personalized and meaningful touchpoints in a way that a consumer wants to engage. Amy:                                     18:15                     Okay, so do we feel that consumers could become fearful of technology that requires personal data sharing? Lisa, what do you think on that? Lisa:                                       18:26                     I think certainly, that's an increasing threat. I think it's something that everybody thinks about when they, you engage with companies that collect personal data. I mean, we've seen in the news, Cambridge Analytica, and similar-type, organizations that are using and leverage personal data in a way that maybe people didn't know about, didn't understand. It allows for targeting of consumers in a way that people don't understand. Lisa:                                       18:58                     I think also, continuing to educate consumers and to make consumers feel comfortable through transparency really, on how their data is actually being used will ultimately, hopefully (Laughs) eliminate some of those fears. That’s what various privacy initiatives like GDPR, like a number of state and federal laws in the US, and a number of laws around the world are really aiming to get at. Lisa:                                       19:32                     It’s not about, you know, sort of everybody crawling back under a rock and reverting to, (Laughs) paper. Uh, everybody understands and acknowledges that we live in a digital and a connected world, and there's a need to exchange data. But with that, there's really a need to make sure that people have knowledge and understand how that data is being used, and how that data is being shared. So, I think there's certainly fear that's out there and you can open any newspaper and see how some of that fear is manifesting itself. Lisa:                                       20:12                     But, as we kind of continue to move forward and more of these data privacy laws are enacted around the world, I think it's driving that level of transparency that will kind of put power back in the hands of consumers and allow companies who need to use that data to use it in a much more meaningful and effective way for their own customers. Stefan:                                 20:38                     I think that there's a basic suspicion, it's also because it shows that people are getting more aware of the importance and the incident around Cambridge Analytica clearly shows where that can go wrong, and there can be really some impact. Stefan:                                 20:55                     There was a time, like, 10 years ago, when people said that we are actually living in a post-data privacy era, because people were publishing everything on Facebook. And were shameless with their uttermost secrets. And I'm seeing a shift now, and, and perhaps there is also a kind of overreaction there. But I totally agree with what, what Lisa said, I think education, getting an awareness, and you know, being suspicious is good. But if you have the means to reach a protection which is useful for you as a consumer then, I think there is also a benefit there. Lisa:                                       21:39                     And you're talking to two lawyers, so we're suspicious by nature. Amy:                                     21:42                     (Laughs) Right? Lisa:                                       21:42                     (Laughs) Amy:                                     21:46                     Okay, for my last question, can we close with: What are some tips you can offer organizations to help them comply with GDPR? I'd love to hear really what you both think to close out the topic. Stefan:                                 21:59                     Of course this is very, um, highly valuable IP, which we come by (Laughs) ... Amy:                                     21:59                     (Laughs) Lisa:                                       22:03                     (Laughs) Stefan:                                 22:03                     You need to be on a very high level, otherwise we would need to charge. Amy:                                     22:08                     Right (Laughs) ... Stefan:                                 22:09                     I think the first thing is you need to be aware of your role if you're a data controller. What this actually means for you. What that means for your organization and for the infrastructure you're using. Lisa, what would you like to add? Lisa:                                       22:29                     Yeah, I mean, I think what's going to be key as we continue to go forward and we move beyond May 25th, you know, lots of companies have really been working towards this get compliant with GDPR by May 25th, and it's become this date that everybody kind of thinks about and knows about. Um, and as we continue to move forward, what I think is going to be important is making sure that you're staying vigilant around data privacy, and that your program continues to evolve and change and that you're kind of constantly looking at, "Okay, what is the data that we're processing? How are we processing it? How are we informing people? Do we have the right level of consent? Do we need to, to look at this again?" Lisa:                                       23:17                     And that continuous process of risk assessment I think is going to be critical as we continue to move forward. Again we've really moved light years past the days when we can just sort of say, "Yeah, we have a privacy notice, and, um, we don't have a great handle on how we manage things. But we've got a privacy policy, so all is good." I think we have to continue to, to look at and monitor both as a company for our internal employees, as well as companies that touch consumer data in any way, or, just their basic customer data. Making sure that we're really continuing to evaluate that and how we use it is going to continue to be critical as we move forward. Amy:                                     24:01                     Okay, great. Stefan:                                 24:04                     Also I think it's also important to understand that data privacy has got a purpose on its own. So, if you just see it like that, and you just check boxes, then it's really just a waste of time and paper. I think data privacy is a tool to serve your customers in a better way. It’s a tool to get aligned with your suppliers for example, to serve your customers in a better way and that way, I think its teamwork. Stefan:                                 24:33                     And, um, I think if you embrace it as a chance to create a better customer experience then there will be a real benefit. Exit/Closing: Amy:                                     24:46                     Got it. Well on that point we can end the discussion today. Thanks to Lisa and Stefan for being here. And to our listeners for joining this episode of Commerce Now. Amy:                                     24:57                     To find out more about Personalization Versus Privacy, go to DieboldNixdorf.com, or click on the link in the podcast show notes. Until next time, keep checking back on iTunes for new topics on Commerce Now.  

Who to suspend during any Foreign Corrupt Practices Act (FCPA) investigation is always a delicate question to answer. Unfortunately there is never an easy answer. As the Volkswagen (VW) emission-testing scandal continues to reverberate, it continues to bring up some very knotty questions, which have bedeviled the Chief Compliance Officer (CCO) or compliance practitioner in many areas. Today there is an example around internal investigations. In an article in the Wall Street Journal (WSJ) entitled “Scope of VW Suspensions Grows”, William Boston reported on the ongoing internal investigation by the company’s outside counsel Jones Day. Boston noted that VW had “suspended a larger number of engineers than previously acknowledged, following a recommendation from the law firm conducting” the investigation. The article went on to state, “Jones Day urged suspension of anyone who could have been involved in the scam - from high level decision makers to ordinary engineers – to prevent possible perpetrators from tampering with the evidence”.  This final statement emphasizes a key consideration in a FCPA investigation, which is to tie down the evidence. Former Arnold & White partner Mara Senn has said that “probably from the government's perspective, the most important aspect of setting up an investigation in a way that makes them feel comfortable, is ensuring that all data is locked down.” However, if you are worried about evidence tampering you may have a bigger problem on your hands.  Pointing up the difficulties in making such a blanket sweep an un-named source, who provided this information to Boston, was quoted in the WSJ piece as saying “We had to suspend everyone in this area to get them out of the way of this process. This is necessary for the investigation, but it’s really hard for us because we are now missing their professional knowledge and experience.”  This issue brings up another point that Senn has discussed, around when to suspend or discipline an employee during an internal investigation. Senn related, “That is a very case-by-case difficult question to answer, but in general, I think it’s better to keep them around for as long as you may need them. Once they’ve been fired or otherwise disciplined, really, even if you keep them around, they’re going to be less cooperative with you and possibly, if you fire them, not cooperative at all. You can require them to be cooperative in the termination agreement, but obviously in practice, cooperation can mean a lot of different things.”  In view of the Schrems decision by the European Court of Justice (ECJ), I also wonder how the investigation will fair with the German based employees? Obviously there will be data that in the US would be deemed company-owned but in Europe it may well be private to the employee being investigated. This problem became even greater with the recent decision by Privacy Regulators from 28 EU nations that backed the ECJ’s Schrems decision that invalidated the Safe Harbor regime. As reported by Jo Sherman in the FCPA Blog, “that closed the legal pipeline by which data has flowed freely from the EU to the U.S. for the last 15 years. The rationale for the court decision and the subsequent backing of the EU Data Protection Authorities is that the surveillance powers of the U.S. government are considered to be too excessive and disproportionate, and can override the data protections for EU citizens under the Safe Harbor framework.”  Lanny Breuer, the former number two at the Department of Justice (DOJ) and now a partner at Covington and Burling LLP, raised an interesting concern in the context of the Justice Department’s FCPA Pilot Program. It is around what Breuer terms “de-confliction”. This involves the government asking a company to halt its own investigation for the government to be the first to interview witnesses. At the FCPA Blog Conference, Breuer said that if “de-confliction” is required as cooperation to gain the benefits of the pilot program, such a request from the DOJ would be “an extraordinary request, in my view” because it “could lead companies to be unable to disclose to other agencies or to shareholders, and it could keep a board in the dark about the alleged wrongdoing.” Breuer added, “In general, publicly traded companies can’t just stand down from doing an investigation when such an allegation comes in.” He also commented that “he’d been asked to do so a couple of times.”     Breuer raised four questions during his presentation which every investigator must consider in the area of de-confliction. (1) Would complying with the request be consistent with directors’ and corporate officers’ fiduciary duty of oversight?; (2) How can a company make decisions without speaking with its employees?; (3) How will a delay affect the company’s other regulatory obligations?; and (4) How can external counsel advise a company without knowing the facts? Companies hire external counsel to conduct thorough investigations, evaluate their clients’ conduct, and provide informed legal advice. These tasks can be difficult if not impossible to accomplish where external counsel have their hands tied behind their backs.  Clearly the DOJ could have a broader remit or be involved with other ongoing investigations where they might make such requests. However, such ‘de-confliction’ could stop a company from engaging in a root cause analysis or even robust investigation. At the same conference, an earlier panelist, Gerald Kral, the Chief Ethics and & Compliance Officer (CECO) of Brown-Forman, said on his panel that his company did an extensive root cause analysis of every claim or incident so it can not only understand what happened but put sufficient risk management protections in place to try and make sure it does not happen again.  Three Key Takeaways The decision on whom to discipline and when are critical decisions during any investigation. You should take a case-by-case approach. The de-confliction question can be quite troubling during an internal investigation.               Learn more about your ad choices. Visit megaphone.fm/adchoices

In the Department of Justice’s Evaluation of Corporate Compliance Programs, Prong 8 Incentive and Disciplinary Measures it states: Incentive System –How has the company considered the potential negative compliance implications of its incentives and rewards?  This week I have been considering how a company could use incentives to further a compliance program and the role of HR in this process. I want to consider how incentives might lead to the converse but looking at the intersection of sales incentives and compliance which led to the problems at Wells Fargo. When you misalignment these two concepts with a faulty sales strategy it can lead to a catastrophic failure, literally costing a company millions of dollars in fines, loss of business and depreciation of shareholder value.  The sales incentives under which Wells Fargo came to such grief is simple and even benign, cross-selling of products. As noted by Rachel Louise Ensign, writing in a Wall Street Journal (WSJ) article entitled “Banks Simple Strategy Gets Tangled”, “the concept sounds simple enough. If a customer has a checking account, why not sell him a mortgage, wealth management services and credit card as well?” She went on to write, “with banks becoming larger over the past two decades, cross-selling has become a mantra.” You can also think of the cross-selling McDonalds engages in every time you buy a Big Mac when the representative asks you “Would you like french fries with that?”  Yet there are other reasons for engaging in this type of business practice. Each and every time a company has a touchpoint, particularly a commercial touchpoint with a business, it strengthens the relationship. According to Gary Silverman, writing in the Financial Times (FT) in an article entitled “John Stumpf, the Labrador of Main Street”, Wells Fargo’s Chief Executive Officer (CEO) “Mr Stumpf’s take on traditional Wells teaching was to promote deeper, more frequent contact with the people it serves. “If there’s one word to describe this company, it’s ‘relationship,’” he told the Financial Times in May. “What we’re trying to do is make sure that every team member, in every interaction with a customer, gets it right. If we don’t get it right, we try to make it right, really quickly.””  So what starts off as a legitimate, legal and beneficial business strategy becomes not only high risk but illegal because of the manner in which Wells Fargo administered its approach to cross-selling. As with any sales initiative, if a company wants to push it, it will set up incentives for the sales team to engage in such behavior. This can be done by increasing commissions around the service or product being emphasized, such as the banks products. Ensign noted, “Banks have tried to create incentives for cross-selling.” At some banks, “Branch employees can get bonuses—sometimes 10% or more of their salaries—when they sell additional products.” Companies can also increase sales by making clear that you will be evaluated on how much you sell a product or service. In other words, whether you receive a bonus, pay raise or even keep your job will be evaluated, in some part, on how much you cross-sell.  You can even have a hybrid of the above, which may be the worst of all worlds. At Wells Fargo, employees were evaluated for continuing employment by supervisors on cross-selling. Yet they did not receive the same financial incentives to make such cross-selling. Branch managers and supervisors could receive bonuses of up to $10,000 per month for meeting cross-selling quotas when employees who hit their monthly quotas, received, in addition to continued employment, $25 gift cards.  A panel at Compliance Week 2016, entitled “The Unsolvable Problem: Performance, Pay, Pressure and Misconduct”, contained an academic type, Marc Hodak, adjunct Professor of Business at New York University, Alexander Proels, Compliance Head Americas at Siemens, and Michael Weisman, Chief Ethics and Compliance Officer at The Kraft Heinz Company. They had some interesting thoughts around compensation, which I think you should consider in your role as a Chief Compliance Officer (CCO) going forward. One key area is the amount of your variable compensation relative to risk? What does your discretionary bonus program consist of? Is it corporate performance based? Group performance based? Only personal, i.e. eat what you kill? Or is it some combination of all of the above?  What are some of the indicia that your compensation structure might be off the rails from the compliance perspectives? Weisman gave three examples: (1) Lofty goals but no direction for employees on how to get there; (2) that is a paucity of communication between management and line employees, meaning there was raw fear from employees to inform their immediate supervisor of bad news. Conversely, it could be the supervisors who do not want to hear such bad news; and (3) if your company has singular focus on numbers, meaning that is the single judge of your worth as an employee.  Tied directly into this concept is that for every incentive there is an offsetting risk. Managing that risk must be done on an ongoing basis. As a CCO or compliance practitioner, you need to know your business and be a trusted business partner. You will need to understand the design of incentive plans and finally to be able to monitor incentive plans to identify underlying links that may arise through compliance violations.  Hill ended his piece by citing to Oxford Saïd Business School Professor, Jonathan Trevor, for the following “whether the strategy, purpose and structure of companies are aligned often makes the difference between a good organisation and a bad one. Expunging phantasms is essential, but not enough. Leaders also need to make new truces, lest the dead hand of past behaviour strangles new ways of working.” This is particularly true in the convergence of compensation and compliance. Whatever the structure, there will be employees who try to game the system. Some will do it with the tacit or explicit approval of management. You, as the CCO, may be required to act.  Three Key Takeaways Even a benign sales incentive program came become skewed. A sales incentive program can become high risk or illegal if not properly monitored. If there is alignment between the strategy, purpose and structure of an incentive system, it often makes the difference between a good and a bad one. This month’s series is sponsored by Advanced Compliance Solutions and its new service offering the “Compliance Alliance” which is a three-step program that will provide you and your team a background into compliance and the FCPA so you can consider how your product or service fits into the needs of a compliance officer. It includes a FCPA and compliance boot camp, sponsorship of a one-month podcast series, and in-person training. Each section builds on the other and provides your customer service and sales teams with the knowledge they need to have intelligent conversations with compliance officers and decision makers. When the program is complete, your teams will be armed with the knowledge they need to sell and service every new client. Interested parties should contact Tom Fox. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode, I visit with Adelle Berger, who recently became the Chief Integrity Officer at Louis Berger. Some of the topics we discuss are: Why is her title “Chief Integrity Officer” as opposed to Chief Compliance Officer or Chief Ethics and Compliance Officer?; What is the role of a CCO around integrity or how does she see her role at Louis Berger different that a traditional CCO?; Does she have any specific initiatives around ‘integrity’?; How can a Chief Integrity Officer help drives the values and culture in an organization; Her academic background is not the usual one for a compliance professional, what took her in the field; and How a Chief Integrity Officer is the most recent iteration of the compliance function, to Compliance 3.0. Learn more about your ad choices. Visit megaphone.fm/adchoices

One event which promises to be most excellent is the upcoming Third-Party Risk Management & Oversight Summit, on March 20 & 21 at the Princeton Club in New York City. I will be attending and speaking at the event and I hope that you can join me. I have had the previously had the opportunity to do a podcast with the Event Chair, Melissa Evans, Lead Quality Systems, Supply Chain Management, Royal Caribbean Cruises (Episode 307). Today I visit with  Forrest Deegan, the Chief Ethics and Compliance Officer for Abercrombie & Fitch. Forrest detailed How to Perform an ROI analysis of a third-party program for both the sales and supply chain side of things, drawing from his experience at A&F. He related some of the costs for getting it wrong in the short-term, along with smart money investments and cost-cutting ideas and then provided some insight into the cost-benefit analysis on A&F third-party programs. The best part is listeners to this podcast will receive a discount to the event. You can receive a 15% discount off the regular price by entering the Code CMP 161. For more information on the event, check out the website by clicking here. Learn more about your ad choices. Visit megaphone.fm/adchoices

Tune into Robert Bostrom, Senior Vice President, General Counsel and Corporate Secretary, Abercrombie & Fitch Co.; Melissa Stapleton Barnes, Chief Ethics and Compliance Officer and Sr. Vice President, Enterprise Risk Management, Eli Lilly and Company; and Brian Beeghly, Vice President, Compliance, Johnson Controls;as they discuss how leaders need to hold themselves accountable for matters of integrity.   

Play the Game 2015 Good governance in sport: Setting standards, raising bars Plenary Session Monday 26 October 2015, 09:00-11:40 Chair: Roger Pielke Speakers: Jens Weinreich Journalist and author www.jensweinreich.de (GER) Arnout Geeraert, PhD, Post-doctoral Fellow, Governance Analyst, KU Leuven/Play the Game (BE) Pâquerette Girard Zappelli, Chief Ethics and Compliance Officer, International Olympic Committee (CH) Wilhelm Rauch, Head of legal services, Federal Office for Sport (CH) Stanislas Frossard, Executive Secretary, Council of Europe (FR) Play the Game 2015 operated under the subtitle "global sport: reform or revolution" and gathered around 350 journalists, scientists and sport officials on the 25-29th of October in Play the Game's home town of Aarhus, Denmark. Play the Game is an international conference and communication initiative aiming to strengthen the ethical foundation of sport and promote democracy, transparency and freedom of expression in sport. It is run by the Danish Institute for Sports Studies (Idan), an independent institution set up by the Danish Ministry of Culture. The task of Idan is to create overview over and insight into the field of sport nationally and internationally. http://www.playthegame.org

The scandal at FIFA is just the latest story of corporate corruption to dominate the news. What steps can businesses take to avoid getting caught up in corruption, particularly in countries and sectors where bribery is the norm? What is legitimate business conduct and what crosses the line into illegality? Evan Davis and his guests discuss: Emma Sharma, Chief Ethics and Compliance Officer for the Supreme Group Hugh Miles of The Al Shafie Miles Consultancy Leo Martin of Good Corporation Producer: Jim Frank.