Podcasts about compliance professional

Welcome to a special series sponsored by Diligent, where we look down the road at key issues in 2024 and beyond. In this series, I will visit with Nicholas Latham, Renee Murphy, Jessica Czeczuga, Yee Chow, and Alexander Cotoia. Over this series, we will consider compliant communications in regulated industries, managing conflicts of interest at the Board level, the Board's role in compliance training and communications, navigating the current ESG landscape, and professional growth and mentorship in compliance. In this concluding Part 5, we discuss professional development and mentorship for compliance professionals with Alexander Cotoia. Alex Cotoia is with the Volkov Law Group and has transitioned from a traditional legal background into the compliance arena. He strongly believes in the importance of continuous professional development for compliance professionals, emphasizing the need for mentorship and growth opportunities, particularly for those in leadership positions. Alex's perspective is shaped by the dynamic regulatory climate and the increasing extraterritorial impact of legislation and regulation, which underscore the urgency of continuous development in the compliance field. He also highlights the significance of acquiring soft skills, such as negotiation, building relationships, and strategic planning, in addition to the legal aspects of compliance. Alex values collaboration and believes that reaching out to other compliance professionals for guidance and mentorship can benefit professional growth. Join Tom Fox and Alex Cotoia as they delve deeper into this topic on the next episode of the Diligent Podcast. Key Highlights: Navigating the Dynamic Regulatory Landscape for Compliance Professionals Developing Essential Soft Skills for Compliance Professionals Continuous Growth and Development in Compliance The Importance of Compliance in Career Development Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com

This podcast explains how HMRC Compliance staff will work under the HMRC Charter with taxpayers including their Agents. We'll be covering what the Compliance Professional Standards, how they link to the HMRC Charter and what taxpayers and agents should expect under each of the standard headings:Getting things rightBeing aware of taxpayers (and agents) situationBeing responsiveTreating taxpayers fairlyLet us know whether you found this podcast interesting and what other topics you would like to hear covered at ukpolicy@accaglobal.com

This podcast explains how HMRC Compliance staff will work under the HMRC Charter with taxpayers including their Agents.  We'll be covering what the Compliance Professional Standards, how they link to the HMRC Charter and what taxpayers and agents should expect under each of the standard headings: Getting things right Being aware of taxpayers (and agents) situation Being responsive Treating taxpayers fairly Let us know whether you found this podcast interesting and what other topics you would like to hear covered at ukpolicy@accaglobal.com

This podcast explains how HMRC Compliance staff will work under the HMRC Charter with taxpayers including their Agents. We'll be covering what the Compliance Professional Standards, how they link to the HMRC Charter and what taxpayers and agents should expect under each of the standard headings:Getting things rightBeing aware of taxpayers (and agents) situationBeing responsiveTreating taxpayers fairlyLet us know whether you found this podcast interesting and what other topics you would like to hear covered at ukpolicy@accaglobal.com

This podcast explains how HMRC Compliance staff will work under the HMRC Charter with taxpayers including their Agents.  We'll be covering what the Compliance Professional Standards, how they link to the HMRC Charter and what taxpayers and agents should expect under each of the standard headings: Getting things right Being aware of taxpayers (and agents) situation Being responsive Treating taxpayers fairly Let us know whether you found this podcast interesting and what other topics you would like to hear covered at ukpolicy@accaglobal.com

By Adam Turteltaub Mary Shirley (LinkedIn) has had a fascinating journey as a compliance professional. Born in Hong Kong and raised in New Zealand, she has worked in Singapore, Dubai and across the US. She currently serves as Head of Compliance at Masimo, and she just authored the book Living Your Best Compliance Life: 65 Hacks & Cheat Codes to Level Up Your Ethics & Compliance Program. In this podcast she argues for embracing professional development and owning your own advancement. Among the hacks she recommends is creating a notebook on yourself. Record in it what you have done, the key steps along the way, and some of the larger details. That way, when annual performance time comes around, you are prepared to share what you have accomplished and won't have to scramble to reconstruct what you did over the past year. The same information, she points out, is very helpful when looking for your next position. It can help  you both recall what you have done and prepare to answer questions about key accomplishments and solutions you have developed. When it comes to speaking at conferences and writing, she offers some simple advice: Just start. If you don't you will always wonder what might have happened if you did. From a practical perspective, she urges people to remind themselves that the first draft doesn't have to be the last. You can turn to others for feedback who can help you revise and improve that article or speaking proposal. To get the best advice, she recommends creating what she calls a wisdom council: a group of individuals whose advice you can trust. The council should be made up of people with diverse skills and experiences who have practical expertise and the comfort level with you to offer both encouragement and honest feedback, even if it is uncomfortable. Listen in for more advice on how to level up your skills and how to find the courage to pursue your goals.

Debbie Reynolds “The Data Diva” talks to Sanjeev Gathani, Lead Facilitator & Group Compliance Better Business Governance - APAC PTE. LTD and RV Group (S) Pte Ltd, Governance, Risk and Compliance Professional, Singapore. We discuss Gathani's expertise in privacy and the current state of privacy discussions in the Asia-Pacific region. The conversation also touched on the recent privacy developments in Asia, including government retention of data and criminal penalties for privacy violations. Additionally, we talk about the growing focus on data localization in Asia and how it is seen as a way to increase security and economic benefits. The importance of considering each individual and organization's unique needs and challenges when it comes to privacy and AI was also highlighted. Gathani shares his thoughts on how AI can offer both benefits and potential harm and his hopes for the future of Data Privacy.Support the show

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, Matt and I take a deep dive into ChatGPT, a natural language processing tool that works by indexing every piece of written content on the Internet. We discuss the impact of the Biden administration's proposals for AI and discusses NIST's voluntary AI framework and  the utility of chat GPT in the workplace. What should your organization consider about incorporating AI into both their shipping decisions and mission-critical processes. If you're interested in efficient and advanced AI technology, you don't want to miss this episode.  Key Highlights Include ·      Impact of Chat GPT on Jobs -The Quality of Chat CPG for non-English Speakers ·      The Biden Administration's Nonbinding Guidelines for Artificial Intelligence. ·      The Benefits of Adopting a Voluntary AI Framework by NIST for Defense Contractors ·      The Impact of Artificial Intelligence on Shipping and Work Processes  Notable Quotes 1. "Chat GPT can answer pretty much anything. It won't necessarily tell you where it is getting this information. It will just give you information pretty much like the way Tom, I am answering your question right now. Just imagine text-based bot answering those questions in the same way. That's what it is."  2. "Will it make your job easier? Probably for a lot of people who struggle to come up with written content. Yes, it could. But specifically then for compliance officers and let's bring it back to what matters for our audience. We'll chat GPT as used by others make my job harder. Compliance officers. Now I think, actually, you have a lot to worry about there, and we could get into that."  3. "But I just view this as a huge boom to anyone who is interested in research, anyone who is interested in learning, can't replace the weekly and business journalist, Matt. So you're good to go at Radical Compliance."  4. "But you have identified really, I think, the heart of the problem that compliance officers need to think about now. Because to me, it's just 1 more tool." Learn more about your ad choices. Visit megaphone.fm/adchoices

Are You Ready To Build A Thriving Career In Privacy?Our guest today is none other than Joanna Kennedy, an accomplished Data Protection Officer who has a wealth of experience in navigating the complex landscape of data protection. Joanna shares her inspiring story of how she made a successful pivot from marketing to privacy and how she continues to invest in her professional development to stay ahead of the game. She also gives us a sneak peek into the inner workings of an IAPP exam question writer, providing valuable insights for anyone looking to pursue a career in data privacy. Hi, my name is Jamal Ahmed and I'd like to invite you to listen to this special episode of the #1 ranked Data Privacy podcast.In this episode, discover:The certifications that matter to excel in privacyValuable strategies for gaining buy-in for privacy programs from key stakeholdersHow to measure the success of your privacy programs and understand the metrics that matterHow you can succeed in privacy even if you don't have a legal background Get ready to learn from one of the industry's top experts on data protection!Joanna Kennedy is the Global Group Data Protection Officer at the Performance Review Institute. Joanna has overall global responsibility for data protection activities within the SAE Group, adopting a pragmatic, risk-based approach that focuses on the business benefits of compliance. She has been appointed a Fellow of Information Privacy by the International Association of Privacy Professionals and is a qualified Data Protection Practitioner (PC.dp GDPR). She is also a Certified Information Privacy Manager (CIPM) and a Certified Information Privacy Professional – Europe (CIPP/E). Joanna has been recognized as a OneTrust Privacy Professional and a OneTrust Governance, Risk and Compliance Professional. She is an IAPP exam question writer and a OneTrust Insights author. She has also volunteered as a school governor, responsible for their data privacy policy.Follow Jamal on LinkedIn: https://www.linkedin.com/in/kmjahmed/Follow Joanna on LinkedIn: https://www.linkedin.com/in/joanna-kennedy-4a797613/Take your career to the next level with The Privacy Pros Ultimate CIPPE Certification Programme: http://bit.ly/3ZmiJZzGet Exclusive Insights, Secret Expert Tips & Actionable Resources For A Thriving Privacy Career That We Only Share With Email Subscribers► https://newsletter.privacypros.academy/sign-upSubscribe to the Privacy Pros Academy YouTube Channel► https://www.youtube.com/c/PrivacyProsJoin the Privacy Pros Academy Private Facebook Group for:Free LIVE TrainingFree Easy Peasy Data Privacy GuidesData Protection Updates and so much moreApply to join here whilst it's still free: https://www.facebook.com/groups/privacypro

The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, Kayte Toczylowski, FINRA's vice president of Member Relations and Education, joins us to share the top five FINRA tools and resources, or gifts, if you will, that you will want to make sure you are aware of and be sure to share with all of your colleagues.Resources mentioned on this episode: FINRA Compliance ToolsFINRA NoticesFINRA Targeted Exam Letters (aka Sweeps)FINRA Conferences & EventsFBI Cyber Threat Briefing SeriesMachine-Readable Rulebook InitiativeFINRA Advisory CommitteesFINRA Committee Indication of Interest FormHave questions? Email: Membership@finra.org

Tom Fox welcomes Doug Hileman to this episode of the ESG Report. Doug is the founder of Doug Hileman Consultancy and part of the Volkswagen Monitor Team. In this conversation, he and Tom talk about his experience in the environmental and compliance industries, highlighting the increasing complexity of the environment and legal landscape. He also discusses how corporate compliance officers can play an important role in ensuring that companies are compliant with their environmental and safety obligations. The Evolution of Environmental Regulations  Tom asks Doug how the environmental field has changed over the years. "I would say that it's gotten a lot more complex," Doug responds. Regulation in the past was about cleaning up and disposing of waste, whereas now regulation is broader, covering areas such as product design, biodiversity, and the circular economy. In addition, stakeholders are now imposing requirements: they no longer want to do business with companies that don't comply with US and global regulations.  The Compliance Professional in Corporate ESG ESG is a great opportunity for compliance professionals. Compliance obligations are now widespread in the business world, so compliance professionals must learn what the requirements are of any organization that they're working with. Once they learn the requirements, they can then take up a leadership role. "If they're not at the table the way they think they should be at the table, then just pull up a chair and sit down," Doug stresses. "Make your own case for why the compliance function has such an important role in ESG. It's not about marketing; it's compliance." The Board in Corporate ESG  The board needs to be involved in the company ESG program. It needs to be an 'all hands on deck' initiative. This will make the entire company operations more competent. Doug remarks on the importance of internal auditing and how it impacts ESG. The board's focus should be on how to be in line with ESG practices and requirements, Doug tells Tom.  Resources Doug Hileman | LinkedIn  Doug Hileman Consultancy

Compliance Professional of the Year for 2022 Renai Williams talks about her professional journey and what she thinks makes an effective compliance professional.

The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional Program is designed to give compliance, legal and regulatory professionals an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. On this episode, we hear from Jim Angel, CRCP Program Academic Director and Associate Professor with the Georgetown McDonough School of Business, and Susanne Goldsmith, a Senior Director with FINRA's Member Relations and Education team, about what makes a CRCP Program a must for FINRA member firms and their high-performing compliance staff.Resources mentioned on this episode: FINRA Institute at GeorgetownEpisode 28: A Look at the FINRA Institute at Georgetown CRCP ProgramGeorgetown360: James J AngelHave questions? Email: Membership@finra.org

Welcome to Think Compliance. In this episode, we discuss KPIs for a Compliance team. Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric. For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.

Luister nu naar dit aangename gesprek met Kitty Nooij over ethisch leiderschap. De compliance professional heeft in de financiële instelling een voorbeeldfunctie als het gaat om ethische kwesties. Hoe werkt dat precies, als je in de hiërarchie geen leidinggevende functie hebt? En is de mens nou van nature geneigd het goede te doen of gaat het mis als je er geen aandacht aan schenkt? Kitty put uit haar jarenlange ervaring bij Kitty Nooij als consultant, spreker, trainer en coach op het vlak van ethisch leiderschap. Ze vervulde tot eind 2018 ruim 14 jaar diverse bestuursfuncties in de top van het Openbaar Ministerie. Daarnaast was ze onder andere betrokken bij Transparency International en het Huis van Klokkenluiders.

Luister nu naar dit aangename gesprek met Kitty Nooij over ethisch leiderschap. De compliance professional heeft in de financiële instelling een voorbeeldfunctie als het gaat om ethische kwesties. Hoe werkt dat precies, als je in de hiërarchie geen leidinggevende functie hebt? En is de mens nou van nature geneigd het goede te doen of gaat het mis als je er geen aandacht aan schenkt? Kitty put uit haar jarenlange ervaring bij Kitty Nooij als consultant, spreker, trainer en coach op het vlak van ethisch leiderschap. Ze vervulde tot eind 2018 ruim 14 jaar diverse bestuursfuncties in de top van het Openbaar Ministerie. Daarnaast was ze onder andere betrokken bij Transparency International en het Huis van Klokkenluiders.

Welcome to Think Compliance. In this episode, Ahmed and Dagmar discuss the importance of knowledge sharing in the compliance community.  Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.

Cyprus a high risk country? Apparently not. Anna Stylianou, working in Cypriotan financial sector in compliance roles for 20 years takes us on a sunny explanation about Cyprus. She shares her thoughts about events that impacted the reputation of the financial sector in Cyprus and the current situation is different. Is better. Listen why. Anna refers to this documentary of Al Jazeera in the podcast: https://www.youtube.com/watch?v=Oj18cya_gvw Other sources: https://cyprus-mail.com/2022/05/27/boc-earns-best-compliance-team-silver-at-2022-ica-awards/ https://www.investopedia.com/ask/answers/060616/cyprus-considered-tax-haven.asp https://www.knowyourcountry.com/cyprus1111 https://www.schengenvisainfo.com/news/eu-commission-tells-malta-cyprus-to-end-their-golden-passport-schemes-immediately/ Profiteer met de code compliance100 van 100 euro korting op een compliance en/of fraudetraining bij Kerckebosch, via deze link: https://www.kerckebosch.nl/financiele-fraude?utm_source=podcastcompliance&utm_medium=podcastcompliance&utm_campaign=fraude2022

Cyprus a high risk country? Apparently not. Anna Stylianou, working in Cypriotan financial sector in compliance roles for 20 years takes us on a sunny explanation about Cyprus. She shares her thoughts about events that impacted the reputation of the financial sector in Cyprus and the current situation is different. Is better. Listen why. Anna refers to this documentary of Al Jazeera in the podcast: https://www.youtube.com/watch?v=Oj18cya_gvw Other sources: https://cyprus-mail.com/2022/05/27/boc-earns-best-compliance-team-silver-at-2022-ica-awards/ https://www.investopedia.com/ask/answers/060616/cyprus-considered-tax-haven.asp https://www.knowyourcountry.com/cyprus1111 https://www.schengenvisainfo.com/news/eu-commission-tells-malta-cyprus-to-end-their-golden-passport-schemes-immediately/ Profiteer met de code compliance100 van 100 euro korting op een compliance en/of fraudetraining bij Kerckebosch, via deze link: https://www.kerckebosch.nl/financiele-fraude?utm_source=podcastcompliance&utm_medium=podcastcompliance&utm_campaign=fraude2022

Matt Kelly once challenged me to write a blog post for Bloomsday. Well aware of my great love for Joyce's magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, James Joyce's novel at 100 and the compliance profession, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the books and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus, can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In Part 5, Bloomsday and storytelling.  Resources The Teaching Compliance-James Joyce Ulysses, by James Heffernan The Politicians Who Love Ulysses by Kevin Dettmar “Ulysses” and the Moral Right to Pleasure by Dan Chiasson in the New Yorker The Moral of Ulysses by Charles Cosby Ethics and the Modernist Subject in James Joyce's "Ulysses," Virginia Woolf's "The Waves," and Djuna Barnes's "Nightwood" by AnnKatrin Jonsson The Ethical Reader in Ulysses by Stephen Gilbert

Matt Kelly once challenged me to write a blog post for Bloomsday. Well aware of my great love for Joyce's magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, James Joyce's novel at 100 and the compliance profession, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the books and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus, can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In this Part 4 of this 5-part podcast series, we consider the chapter involving Molly Bloom and use her story to explore the 21st-century compliance professional. Compliance Quote-Mary Shirley "I love working in that area because sometimes there's no clear answer or even good answer. That keeps you on your toes and requires a skill set different from what is required to be a successful lawyer." Resources The Teaching Compliance-James Joyce Ulysses, by James Heffernan The Politicians Who Love Ulysses by Kevin Dettmar "Ulysses" and the Moral Right to Pleasure by Dan Chiasson in the New Yorker

Matt Kelly once challenged me write a blog post for Bloomsday. Well aware of my great love for Joyce's magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, James Joyce novel at 100 and the compliance profession, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the book and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In Part 3, we take up the story of Stephen Daedalus and how it intersects with the role of ethics in compliance.  Compliance Quote-Lisa Fine, “ I am passionate about compliance because I think compliance provides guidance on how to make ethical decisions and do the right thing. It helps us understand and think about gray areas and help organizations to be better corporate citizens.” Resources The Teaching Compliance-James Joyce Ulysses, by James Heffernan The Moral of Ulysses by Charles Cosby Ethics and the Modernist Subject in James Joyce's "Ulysses," Virginia Woolf's "The Waves," and Djuna Barnes's "Nightwood" by AnnKatrin Jonsson The Ethical Reader in Ulysses by Stephen Gilbert

Matt Kelly once challenged me write a blog post for Bloomsday. Well aware of my great love for Joyce's magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, James Joyce novel at 100 and the compliance profession, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the book and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In Part 2, Leopold Bloom and the passion for compliance.  Compliance Quote Kristy Grant-Hart-“As an aggregate, the compliance profession is changing how business is done, and therefore changing the world. We are part of a movement that is palpably shifting the landscape for so many, especially in the developing world. It's such an exciting experience and I am proud to be a part of it.” Resources The Teaching Compliance-James Joyce Ulysses, by James Heffernan “Ulysses” and the Moral Right to Pleasure by Dan Chiasson in the New Yorker

Matt Kelly once challenged me write a blog post for Bloomsday. Well aware of my great love for Joyce's magnum opus, I accepted the challenge. This year is the 100th anniversary of the publication of the book. To celebrate this event, the author James Joyce and my passion for compliance, I have decided to do a 5-part podcast series on Ulysses. Over this podcast series, I will highlight some of the book and commentary and tie what Joyce, Dublin, Leopold Bloom and his wife Molly, together with his mentor Stephen Daedalus can teach the modern compliance professional. I hope you will join me in the short celebration and trip through Dublin 1904 for the 100th anniversary of Bloomsday. In Part 1, why does Joyce and Ulysses still matter.  Resources The Teaching Compliance-James Joyce Ulysses, by James Heffernan

Welcome to Think Compliance. In this episode, we discuss Dopesick. Hulu's Dopesick depicts the start of the opioid addiction crisis in the U.S. and some of the people it has affected.  Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.   For those struggling with substance abuse and mental health issues, please reach out for help: https://www.samhsa.gov/find-help/national-helpline.   For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.

Welcome to Think Compliance. In this episode, we dive into Organizational Ethics and discuss common Business Ethics Myths.  Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.   Ethical dilemmas in the business context are complex and consist of a wide gray areas. No matter how ethical your team is, they need help with real life business conflicts. How do we grow and maintain an ethical workplace and empower people to make the rights choices?    For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week, Matt and Tom visit with our Ukrainian colleague Tim Khashinov-Batirov. Tim is well-known in the worldwide compliance community as Compliance Man. He is currently a refugee in The Netherlands at the time of this recording. In this episode, Tim talks about his escape from Ukraine, what life has been like as a displaced person in Europe, the current and burgeoning refugee crisis and some things that we in America can do right now to help those still in Ukraine and those who are refugees. Other topics we consider include: ·      How the bonds of brotherhood between Russia, Belarus and Ukraine may have been permanently destroyed? ·      What do ordinary Russians think about the invasion? ·      Armies like companies run on culture. Why and how has the corruption in the Russian Army hollowed out its culture from the inside? ·       The leadership of President Zelensky and his impact on the Ukrainian people.   ·      The negative leadership of Russia President Putin. Resources for Donations for Ukraine and Ukrainians UNICEF Salvation Army Red Cross Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of the FCPA Compliance Report, I am joined by Professor Karen Woody. We discuss the recent SEC enforcement actions involving JPMorgan and Nikola which were announced in December 2021. Highlights of this podcast include: Background on both cases. Why was the SEC so excised with JPMorgan? What are the broader lessons for the Compliance Professional? Compliance Consultant or Monitor or both? Nikola and the trouble with SPACs? What is the intersection of puffing, faking it til you make it and illegal conduct? SPACs and Due Diligence. Could Nikola change the SEC approach to SPACs? From visionary to founder to CEO of a public company? The shadow of Elizabeth Holmes? Resources-Tom on the FCPA Compliance and Ethics Blog JPMorgan Nikola Learn more about your ad choices. Visit megaphone.fm/adchoices

Alignment and focus across the board are key in achieving a company's goals as quickly as possible by working smarter not harder. But how does the finance team work with other departments to ensure everyone is focused on a common goal? Malcolm has the answer to creating a more cooperative environment to reach that end of the rainbow. Meet Malcolm Shroff Malcolm's Role as a Financial Leader at Essence Group Malcolm Shroff is the Chief Financial Officer of Essence Group Sydney, established in 2004, and an industry recognised and accredited food contract manufacturer that formulates ideas and concepts developed with strong industry knowledge into finished FMCG. Essence Group is a leader in nutritional innovation. Malcolm's Past Experiences in Finance Malcolm is an experienced Finance, Governance, Risk & Compliance Professional with cross-continental experience in well-reputed multinational publicly listed corporations; spanning the automobile and office products / supply chain industry. Before Essence Group, Malcolm was the youngest CFO in the Tata Motors Group's history, successfully setting up and achieving operational profitability of an overseas subsidiary with positive EBIT within the first 6 months of company incorporation. In addition, he implemented the corporate restructuring of Tata Motors' passenger vehicle dealership. He was titled Merit Holder in the Final Professional Level Company Secretaryship Examinations conducted by The Institute of Company Secretaries of India, leading to the award of the ‘Company Secretary' professional qualification. Data analytics, data governance, and ERP systems In this exclusive analytics podcast episode, Malcolm shares: His recent nomination as a Governance Top 100 Finalist His advice for excelling in governance and data governance What Essence Group does as a contract manufacturer His role as the CFO of a mid-sized enterprise in Australia The success he found through the use of data analytics in his role The role of governance and data governance when selecting and implementing a new ERP system His thought process in selecting and implementing a new ERP system What to do with the data coming out of new and old ERP systems Data mapping correctly throughout different departments in the organization How reporting and data analytics can continue to function when switching ERP systems If you have a C-suite role and you're working for a mid-sized enterprise, soon to face the decision of implementing a new ERP system, this is the episode you do not want to miss out on. --- Send in a voice message: https://anchor.fm/analyticsshow/message

Hanukkah comes early this year. As the Rosen household begins its annual celebration, Tom and Jay are back to look at some of the week's top compliance and ethics stories this week in the Happy Hanukkah edition.  Stories 1.     Preparing for dawn raid in the era of hybrid work? Andrew Reeves and Annie Birch in FCPA Blog.  2.     When you fight corruption, it fights back. Rick Messick in GAB. 3.     Why does Walmart want to keep an exec quiet about its compliance program? Dick Cassin explores in the FCPA Blog. 4.     Board effectiveness survey.  Paul DiNicola and Leah Malone in the Harvard Law School Forum on Corporate Governance.    5.     New OECD ABC suggestions. Nicola Bonucci and Nat Edmonds in the FCPA Blog. 6.     Graybeards and Youngbloods working together. Carrie Root in CCI.  7.     Trust in companies ‘shockingly' low? Lawrence Heim in PracticalESG.   8.     Are senior level compliance positions becoming harder to find and fill? Matt Kelly explores in Radical Compliance.  9.     Role of PwC in Tesla/JPMorgan dispute. Francine McKenna explores in The Dig (sub req'd). 10.  How will tech change the work landscape in 2022? Check out this pod with Mrs. Monitor (AKA Rebecca Rosen) on Freshbrewed Tech.    Podcasts and Events 11.  How can you show ROI from your internal investment in compliance? Nick and Gio Gallo join Tom Fox in the most unusual pod series, Mining the Gold in Compliance. Part 1 - ROI on Compliance. Purchase Decisions. Part 2 - Extending Compliance Value Across an Organization. Part 3 – Compliance and ESG Investments. Part 4 – Finance and Investing Models for Compliance. Part 5 - Investment Strategies for the Compliance Professional. 12.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America's exasperation with well…exasperation. In Episode 11, a birthday party battle through text messages.  13.  In November on The Compliance Life, I visited with Wendy Badger, CCO at Tennant. In Part 1, she detailed her academic career and early professional life. In Part 2, changing ladders to advance your career. In Part 3, Wendy moved into the CCO Chair. In Part 4, Wendy talked about having courage in your career choices and compliance into the future. Next week, we begin the December series with Matt Silverman, Director of Trade Compliance at VIAVI.  14.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Once Upon a Trading Law: The History of Insider Trading. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1, which looks at the beginnings of insider trading.  15.  Join Tom, Mike Volkov, Carrie Penman, Dr. Pat Harned and Skip Lowney (an all-star panel if there ever was one) for the ECI webinar on the intersection of compliance and E&C programs. Wednesday, December 15, from 2-3:30 ET. Registration and information here.  Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to a special five-part podcast series on how to unlock the gold in your program, hosted by Tom Fox with guests Gio and Nick Gallo from ComplianceLine. One of the ongoing questions in compliance is to demonstrate the Return on Investment (ROI) in your compliance program, by demonstrating the extended value of compliance literally across your entire company. When overlaid with an ESG component, you can begin to see the gold in your compliance hills. In addition to showing how you can unlock the gold in your own compliance hills, Gio and Nick walk you through how demonstrate ROI for your internal budgeting process which can provide to you the financial resource to strengthen and improve your compliance program.  Join us for the full 5 episodes and learn to see your compliance program in an entirely new light. In this concluding Part 5, we consider investments strategies for the compliance professional in the short and long term.  Some of the highlights of this episode include:  ·      What is Beta Investment and how does volatility work into overall compliance investment strategies?  ·      What is volatility and how a compliance professional can harness it for a compliance investment strategy?  ·      How to think about your growth curve. ·      Investments in compliance to drive employee engagement and lower turnover.  Resources Gio Gallo on LinkedIn Nick Gallo on LinkedIn ComplianceLine

Welcome to Think Compliance. In this episode, we are Celebrating Ethics and Compliance Week November 7-13, 2021.  Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.   Corporate Compliance & Ethics Week began in 2005 to shine a spotlight on the importance of compliance and ethics. The core principles of the week are awareness, recognition, and reinforcement.   Also available are some Compliance Week Resources you can use in your organization to engage your team in compliance activities.   For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.

Compliance is a hard subject to keep current in, but it's so rewarding too! Ahmed talks about some of his favorite parts of being in compliance and why it's a perfect fit. For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices. For questions or information- hit us up on Twitter: @ThinkComply. For questions or information about Compliatric please contact info@compliatric.com

Welcome to From the Editor's Desk, a podcast where co-hosts Tom Fox and Dave Lefort, Editor in Chief at Compliance Week unpack some of the top stories which have appeared in Compliance Week over the past month, look at top compliance stories, talk some sports and generally try to solve the world's problems.   In this month's episode, we look back at top stories in CW from September including the Securities and Exchange Commission letter regarding ESG reporting and the CW survey ‘Inside the Mind of the CCO'. We look at the upcoming CW report on the survey, a long form investigative series by Aly McDevitt on ransomware attacked and a new CW self-directed learning module on Cybersecurity for the compliance professional. We conclude with a look at some of the highlights from the first few weeks of the 2021 NFL season, the MLB playoff races and the tension of a one-game playoff.   Take the CW survey ‘Inside the Mind of the CCO' by clicking here. Check out the CW learning module on Cybersecurity for the Compliance Professional here.

In this episode we talk compliance, like banking compliance, like Wolf of Wall Street compliance. I was amazed by how "sexy" compliance as a career has gotten over the past few years and how much can actually be earned from it. Derek Smith a compliance professional have a candid talk about the industry and how someone could become a compliance professional.

As the world does more and more business electronically, Compliance Professionals get to be lead players in the company. From advertising via Facebook and other social media, to taking an application online using electronic signatures all the way through cybersecurity, Compliance Professionals must guide the technical areas of the company through the maze of regulatory requirements, both on the state and federal level. Much like guiding your team through the gauntlet in Fortnite, a Compliance Professional must help the Company avoid any missteps which could lead to complaints from customers, being shot-down by regulators and even being hacked by a bad guy. Our podcast will discuss the laws and regulations that impact the electronic world of insurance and how Compliance Professionals play a starring role in the game. Featuring: Katie Gurnett, Compliance Manager, Physicians Mutual Insurance Company; Daniel Cotter, Esq., H2Law”

Creative spirits live in the marketing and advertising realm, and they want to use all their powers to tell the world about their great products and what they can do for the customer. Many times, these creative spirits battle with what they affectionately call “The Sales Prevention Unit” – or the compliance area- because in the ‘real' world, insurance advertising is regulated both on the federal and state level – not to mention what the company's brand standards might be. It is up to the Compliance Professional to guide these creative spirits to find a way to fulfill their marketing and advertising desires while still being in compliance with the laws. This requires the Compliance Professional to be creative, resourceful and a good listener – because sometimes the creative spirits don't really need an entire universe – maybe a single star will do. Our podcast will go over the laws and regulations which govern different products, and give you tips and ideas on how to communicate with the creative spirits and ways to guide them in their journey. Featuring: Randa Zalman, President & CEO, Insurance Marketing Institute Katie Gurnett, Physicians Mutual Insurance Company

The Success Advisor Blueprint: How To Make $25,000 In One Month As An AML / Compliance ProfessionalWelcome to the episode 6 of the 2nd season of “WE WERE ON A BREAK” - Ross Voice. The series where the host, Stephen Brent Sargeant (Compliance Consultant to Bitfinex) talks to industry professionals during the CoronaVirus (COVID-19) quarantine and gains industry insights and expertise. It has been a while since I have just come on the podcast and gave my raw thoughts about how to be successful and after earning over $25,000 in One Month, I decided to share some of the lessons that have contributed to this success. For those that think success and money is only promised to a special few or those who were ultra talented, born into financial freedom or got lucky, this episode will teach you how someone completely new to AML / Compliance like myself, was able to becomes successful just by the way I show up and by my beliefs. If you aren't earning the money that you want, not living the life you had aspired for or are waking up every day frustrated, this is a must listen.For those that are looking for links to my coaches:•Professional / Personal Development Coach (Hina Khan - https://www.hinakhan.ca/) •Body composition Fitness coach (Jase Stevens - http://www.manthefup.com/). **This interview was recorded on July 18, 2021**Disclaimer**The views and opinions expressed in this episode (and all episodes) are those of the host and the guests. They do not purport to reflect the opinions or views of their employers, contractors or any organization they may be affiliated with now or in the future. This podcast contains strong language which may be offensive to some listeners/viewers and / or inappropriate for children. This podcast is intended for a mature audience only Time Stamps (Return back to your favorite point of the episode):•(:55) – Do You Have Limiting Beliefs or Expired Beliefs About Money •(2:25) – Why Do I Call This A Success Advisor “Blueprint”•(3:53) – Stop Asking People For Advice (mentioned: CIFCA / Peter Warrack) •(6:00) – Investing Money On Coaches (mention Hina and Jase Stevens) •(8:50) – The Expensive Part Of Coaching Is The Trial and Error Of Finding The Coach That Works For You•(10:02) – Why Making Money Is A Good Thing (mention: TCAE) •(11:30) – Money Is Energy. How To Add Value In Every Interaction•(12:27) – Why Investing In An Interview Process Is A Way To Stand Out Of The Crowd (mentioned: Simon / Chainalysis) •(15:37) – How Much Time Are You Spending On Yourself•(18:55) – How TCAE Is Going To Help Impact Thousands Of People (mention: Souzan, TCAE, Chainalysis)•(19:58) – You Don't Have To Pay For Mentorship In The Information Age (mention: Dante Disparte, Ari Redbord, Liat Shetret, Amber Scott)•(22:45) – How To Get Your Level Of Awareness To Have Multiple Sources Of Income •(23:55) – Why Are We Applying To Jobs We Don't Even Want (mention: Mel Lefebvre) •(26:25) – IDGAF About What People Think About Me •(29:29) – What Does Having “No Budget” Actually Mean •(30:25) – Why Was The Pandemic A Blessing In Disguise•(32:21) – How Can Serving Others Turn Into A Successful Strategy (mention: David Metlzer, FINTRAIL) •(34:42) – If You Think AML Education Is Too Expensive, Why Are You Still Buying •(37:30) – You All Didn't Tell Me I Was Fat Stephen Brent Sargeant (Host)•LinkedIn (Best way to reach me) - linkedin.com/in/stephen-brent-sargeant-cams•Instagram (Everyday type stuff) https://www.instagram.com/stephen_b_sargeant/•Twitter (I communicate in GIFs) - https://twitter.com/lifesgt•Business Related Matters (Let's Collab): stephenbsargeant@gmail.comResources •Hina Khan (Coaching, Therapy, Mastermind, Couple's Coaching): http://www.hinakhan.ca/ and hina@hinakhan.ca•Stand Out Of The Crowd To Elevate Your Career (Webinar): https://tcae.ca/stand-out-of-the-crowd-to-elevate-your-career•5 Ways To Get Started In AML (Guide): https://www.linkedin.com/posts/stephen-brent-sargeant-cams_a-5-step-guide-to-get-you-started-in-aml-activity-6496345660709830656-95sZ•Dream Job Checklist (Post): https://www.linkedin.com/posts/stephen-brent-sargeant-cams_dream-job-checklist-activity-6625374417709080577-kZpV•Ten Reasons You Aren't Being Considered For The Job: https://www.linkedin.com/pulse/ten-reasons-you-arent-being-considered-job-sargeant-cams-cbp•The More You Connect, The More Opportunities You Get: https://www.linkedin.com/posts/stephen-brent-sargeant-cams_aml-compliance-activity-6676091997528330240-2pDpBackground Music (beat name: Leslie)•Goose Goddi (Music Producer) - https://instagram.com/goosegoddi?igshid=1paia8lwy2x3o•Beats Can Be Found On Amazon Music - https://www.amazon.com/Music-Station-Goose-Goddi/dp/B08B4BLCH1

Welcome to another episode of Think Compliance, recently nominated as a Top Compliance Podcast by Threat.Technology 20 Best compliance Podcasts of 2021 and Welp Magazine. In this episode, we are talking about when you might need to get the Board of Directors involved in your reports. Join our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric. In this episode, we will discuss: Reporting to the board Why is it important? Do you need to do it? How to go about doing it? What information should be presented? How often? Any other interactions with the board? For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices. For questions or information- hit us up on Twitter: @ThinkComply. For questions or information about Compliatric please contact info@compliatric.com.

What to Expect: HCCA’s 25th Annual Compliance Institute   Welcome to another episode of Think Compliance. In this episode, we are talking about the upcoming HCCA’s 25th Annual Compliance Institute. The event is virtual this year from April 19th-22, 2021.   Join in our discussion with Ahmed Salim, a Compliance Professional and Guest Speaker, as he will be sharing tips on how to fully take advantage of this virtual event.   In this episode, we will discuss: • What to expect at this year's HCCA • How to prepare for new attendees • Pre-registering  • Taking advantage of Networking breaks  • Ahmed’s Speaker Session   For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.   For questions or information- hit us up on Twitter: @ThinkComply. For questions or information about Compliatric please contact info@compliatric.com  

The Importance of Compliance that is Never Understood. Join our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric. How do you quantify Compliance? How do we measure the value of Compliance? How do we show the ROI?   “...aa a fully functioning proactive compliance program you're able to handle issues on the front end before they spiral out of control and become bigger issues for the organization.”   “...it's an interesting parallel that you're drawing protecting an organization on the front end from things you know that you almost can't even comprehend happening.”    

Join our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric. Today we are talking about Compliance during the Pandemic. Ahmed and Dagmar will be diving into the challenge of effectively maintaining a compliance program during the current pandemic. Ahmed will discuss his Compliance Program during COVID, answering questions about maintaining program oversight and associated challenges with new processes brought forward. For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.

Welcome to another episode of Think Compliance. In this episode, we are discussing what is going on in the Stock Market today, market manipulation, Reddit, and you guessed it: GameStop.    Join our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.   For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.

Welcome to another episode of Think Compliance. In this episode we discuss Incidents and Investigations, Ahmed Salim will be sharing his experience investigating some very complicated  incidents. Topics we will cover: How to begin an investigation Parties involved in an investiagation Confidentialiality Most difficult parts of conducting an investigation Tips for conducting investigation Mistakes that can derail an investigation Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.   For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.

Welcome to another episode of Think Compliance. In this episode, we are join us as we are discussing a big DOJ announcement: Indivior Solutions Pleads Guilty To Felony Charge And Indivior Entities Agree To Pay $600 Million To Resolve Criminal And Civil Investigations As Part Of DOJ’s Largest Opioid Resolution   Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.   For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.

What should compliance practitioners do to move themselves forward professionally in the 2020s and beyond? Ton consider this question, I drew inspiration from the Financial Times (FT) piece, entitled “Work in the 2020s: 5 essential skills to succeed”, by Lyndsey Jones. In this article Jones laid out five areas where workers need to have skills that will keep abreast of the ever-evolving marketplace. They are: (1) Adapt to thrive, (2) Be creative; (3) Develop emotional intelligence; (4) Become tech savvy; and (5) Build your personal brand. Being a compliance professional in the coming decade will be one of the most challenging, rewarding and exciting professions for anyone to engage in. You have the opportunity to help lead not only your organization but also your profession. To paraphrase Alyson Van Hooser, will you put your (compliance) stake in the ground and own it? For your sake and the sake of the compliance profession going forward, I hope you will do so. Three key takeaways: Adapt to thrive as you are only limited by your imagination. Build your brand and deliver. Be creative.

Are you hesitant to hire a compliance expert because you are not sure if you need one? Listen as Yana discusses when it's time to hire a compliance person into your FinTech team and what happens if you unnecessarily delay this decision. Hiring someone from your team that is not a compliance expert to write compliance documents takes forever, can make your company look immature and cause delays. Hiring a compliance expert can keep your company from making mistakes that can potentially get you in trouble and much more on this episode of Compliance That Makes Sense. If you enjoy this episode, please share it with friends, leave comments and reviews, and join the conversation.  Today's episode: [00:34] Hello, my friends, and welcome back! [01:38] Yana speaks about the most common issue she sees happening with startups. [03:45] One of the common mistakes she sees a lot is using marketing slang and doesn't describe details in the way it is expected. [04:55] Another strategy that isn't working is to just do nothing about hiring compliance professionals. [06:31] Hiring consultants instead of a compliance expert is expensive and slow. [08:42] Yana says hiring a big four is not a safe bet if you want speed and progress. [10:08] Is crowdsourcing information a good way to bypass hiring a compliance expert? [12:13] Yana recommends hiring a compliance person when you have to do it by law or if you aren't required by law, but you regularly need to submit documents to others. [13:43] It's necessary to hire a compliance expert if you have 20 or more active customers at any given time. [15:17] Thank you for listening! Show links: Follow Yana on Instagram and check out our new training calendar for the latest workshops and trainings.

Welcome to another episode of Think Compliance. In this episode, we are Celebrating Ethics and Compliance Week!   Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.   For our new listeners, Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.  

Cynthia Andrew wears many hats: Attorney, Writer, Compliance Professional, Digital Content Creator, Brand Ambassador, Traveler, Home Renovator and (soon-to-be) Mother! In short, she is many things and has been keen on challenging the norms of what it means to be a litigator, a Black woman in travel, a digital content creator and what it means to balance them all.On this episode of Influencer Business, we cover a lot of these different aspects to Cynthia’s life. She shares what it was like traveling when COVID hit, a few crazy stories from her pregnancy journey, renovating her home during COVID and how she balances her legal career with being an influencer. It is an awesome episode full of great stories from an amazing woman.A big thank you to our sponsor Shopstyle Collective, if you are in influencer marketing check them out at www.shopstylecollective.com.For more about Cynthia:@simplycynhttp://www.simplycyn.com/For more about Trove:@trovebusinesswww.podcast.trovebusiness.com

In this episode of the Three Lines of Defence Podcast, Jillian Haggerty joins us today to talk about her journey in the risk and compliance industry, leadership, mentoring and her thoughts on what the industry needs today and in the future.Jillian started her career in the insurance industry before she found her way into the world of risk and compliance. It was in 2004 that Jillian joined Challenger Limited as the Head of Compliance - Funds Management. After this, she became the Group Head of all Operation Risk and Compliance before holding her current position as General Manager Governance and Oversight.In this episode:Jillian shares about her early life and where she grew up.The reason she chose to work in the banking and financial sector, specifically developing a career within compliance and risk.Mentors that helped develop her careerSignificant turning point in her career.Key attributes of an effective leader.Things she looks for when hiring team members.How firms are presently dealing with regulatory changes and its impact on the financial services businesses post the Banking Royal Commission.Lessons Australian financial institutions can learn from what has happened overseas.What compliance professionals need now and in the future, given the change in the Australian market from a regulatory point of view.Developing good risk and compliance professionals.Jillian’s views on diversified teams.Managing stress in her leadership roles.Her passions outside work.Links:Jillian Haggerty LinkedIn

This week in the Security and Compliance news, Matt Alderman, Scott Lyons, and Josh Marpet cover the following stories: A Risk Assessment Path to Real-Time Assurance, Culture, Integrity and the Board's Role in Guarding Corporate Reputation, Skills For the Compliance Professional in the 2020s, Four Compliance Insights For 2020 and Beyond, Compliance Officer Burnout, Why You Should Draft a Compliance Mission Statement, 3-minute Video on Big Tech Getting Into Finance, Compliance Dept is the Biggest Team at Coinsource, a Bitcoin ATM Startup, Cyber Insurance Market is HUGE!!!, Top Cyber Insurance Stories of 2019, California Rings In The New Year With A New Data Privacy Law, and Why California's Privacy Law Won't Hurt Facebook or Google. Visit https://www.securityweekly.com/scw for all the latest episodes! Show Notes: https://wiki.securityweekly.com/SCWEpisode13

This week, we welcome Ben Rothke, Senior Information Security Specialist for Tapad, to talk about the Multiple Personalities we encounter during Compliance and Audit Engagements! In the Security and Compliance news, A Risk Assessment Path to Real-Time Assurance, Culture, Integrity and the Board's Role in Guarding Corporate Reputation, Skills For the Compliance Professional in the 2020s, Four Compliance Insights For 2020 and Beyond, Compliance Officer Burnout, Why You Should Draft a Compliance Mission Statement, and more!   Show Notes: https://wiki.securityweekly.com/SCWEpisode13 Visit https://www.securityweekly.com/scw for all the latest episodes!   Follow us on Twitter: https://www.twitter.com/securityweekly Like us on Facebook: https://www.facebook.com/secweekly

This week, we welcome Ben Rothke, Senior Information Security Specialist for Tapad, to talk about the Multiple Personalities we encounter during Compliance and Audit Engagements! In the Security and Compliance news, A Risk Assessment Path to Real-Time Assurance, Culture, Integrity and the Board's Role in Guarding Corporate Reputation, Skills For the Compliance Professional in the 2020s, Four Compliance Insights For 2020 and Beyond, Compliance Officer Burnout, Why You Should Draft a Compliance Mission Statement, and more!   Show Notes: https://wiki.securityweekly.com/SCWEpisode13 Visit https://www.securityweekly.com/scw for all the latest episodes!   Follow us on Twitter: https://www.twitter.com/securityweekly Like us on Facebook: https://www.facebook.com/secweekly

In an international podcast, Tom rings in from São Paulo Brazil where he has been speaking and training to hear Jay mourn the Patriots first loss of the season. They then reflect on some other of this week’s top compliance and ethics stories which caught their collective eyes.  1.     The Hoskins trial goes to the jury. Dylan Tokar and Clara Hudson report. 2.     What are the implications from the Unaoil guility pleas? Tom takes deep dive and Mike Volkov provides his always insightful former DOJ prosecutor perspective.  3.     Will the Supreme Court do away with profit disgorgement? 4.     CCI starts a great new section, New Voices focusing on the young Compliance Professional. The first piece is by Margarita Derelanko.  5.     Management repution risk does not have a start or end date. Jonathan Marks explains.  6.     More fallout from the Connelly decision. Frederick Davis.  7.     Planning a post acquisition integration. Jay explores. 8.     Spain brings a corruption prosecution. Jonathan Rusch.   9.     New DOJ taskforce on procurement fraud. Matt Kelly delivers sharp thinking.  10.  What about the other FCPA trial going on? Matt Bernardi reports. 11.  Tom and Ronnie Feldman celebrated Corporate Compliance and Ethics week with a 5-pasrt series of podcasts on creative things you can do to communicate compliance; all on their Creativity and Compliance Podcast on the CPN. Check out the following lineup: Monday-the Petting Zoo;  Tuesday-Talk Shows; Wednesday-Contests and Games; Thursday-Keynotes and Speakers; Friday –Going Forward.  Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is       Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com. For more information on how an independent monitor can help improve your company’s ethics and compliance program, visit our sponsor Affiliated Monitors at www.affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Roy Snell must have written a book’s worth of material each year as the CEO of The Society of Corporate Compliance and Ethics and Health Care Compliance Association, but it wasn’t until recently that he wrote an actual book.  The Accidental Compliance Professional is the first, of potentially several, from Roy. He sat down for a podcast, along with the book’s editor, Karen Latchana Kenney to discuss how the book was developed and written.  It started out, they explained, with the idea of giving some history of compliance but quickly evolved into a vehicle to tell stories and share what Roy had learned along the way. Listen in as they discuss: How even accidental compliance professionals may have ended up in the job for very good reasons The genesis and purpose of Roy-isms and Roy’s rules The value in learning from mistakes The importance of compliance officer independence How conflicts of interest can get in the way of preventing, finding and fixing problems

What to Expect: HCCA’s 22nd Annual Compliance Institute   Welcome to another Episode of Think Compliance. In this episode, we are talking about the upcoming the HCCA’s 22nd Annual Compliance Institute. The event is in Las Vegas from the 15th of April to the 18th of April.   Join in our discussion with Ahmed Salim, a Compliance Professional, and Dagmar Austin of Compliatric.   For our new listeners, ComplyGuys & Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.   In this episode, we will discuss: • What to expect at this year's HCCA • How to prepare for new attendees • Pre-registering for the speed mentoring and speed mentoring • Taking advantage of Networking breaks  • Local Las Vegas tips on where to eat and what shows to attend!   For questions or information- hit us up on Twitter: @ThinkComply. For Information about ComplyGuys, please contact ahmed.salim@complyguys.com. For questions or information about Compliatric please contact info@compliatric.com    

Conducting an Internal Compliance Investigation Hot off the press, our latest Podcast is now available!   For our 14th episode of Think Compliance, we are diving deep into “Conducting an Internal Compliance Investigation." With the changing landscape of healthcare, increasing governmental regulations, and the need to have an effective compliance program, it is extremely important for your organization to conduct and document investigations when potential issues arise. This episode features Ahmed Salim, a Compliance Professional, and Dave Monaghan, Co-Founder of Compliatric.  For our new listeners, ComplyGuys & Compliatric created this podcast series to assist healthcare and compliance professionals in building their programs. In each Podcast, we discuss a new compliance topic and provide insight on how to ensure your organization is following best practices.In this episode, we will discuss: Attorney-client privilege (ACP) issues What kind of issues could be privileged
 When to reach out to external counsel if you do not have an in-house legal department
 Incidents which require ACP, and the processes involved
 Creating a central database for all information gathered during an investigation
 Case study discussion to understand how an investigation could have helped MediSys Health Network Inc.
 For questions or information- hit us up on Twitter: @ThinkComply. For Information about ComplyGuys, please contact ahmed.salim@complyguys.com. For questions or information about Compliatric please contact dmonaghan@compliatrc.com.  

Non-Monetary Compensation Exception to Stark Law   Hot off the press, our latest Podcast is now available! Please join us as we discuss the importance of Non-Monetary Compensation Exception to Stark Law. This episode features Ahmed Salim, a Compliance Professional, and Dave Monaghan, Co-founder of Compliatric, an integrated compliance program management solution. For our new listeners, ComplyGuys & Compliatric have created this podcast series in order to assist compliance professionals in building their program. In every Podcast, we will discuss a new compliance issue and provide insight on how to ensure your organization is following best practices. In this episode, we will cover: Physician payments and compensation: Stark rules and exceptions What falls under the Non-Monetary Compensation 
 What you should do if you go over the annual allowed amount
 NMC vs. MSIB: Differences between NMC and the Medical Staff Incidental Benefit Exception 
For questions or information about please contact: ahmed.salim@complyguys.com. For questions or information about Compliatric please contact: info@compliatric.com or go to www.compliatric.com. To learn more about Non-Monetary Compensation and tools to help to track, check out this quick video:   .   Listen to the Podcast Here!    

Business Associate Agreements Hot off the press, our latest Podcast is now available! Please join us as we discuss the importance of Business Associate Agreements. BA Agreements are required for all associates of an entity who access some form of Protected Health Information (PHI). HIPAA and the HITECH Act require BAAs. Listen as we discuss some of the problems facing Business Associate Agreements, and how to ensure your organization is following compliance standards. The episode features Ahmed Salim, a Compliance Professional, and Brad Phillips, Director of Sales for Compliatric. For our new listeners, Comply Guys & Compliatric have created this podcast series in order to help compliance professionals build their program. Every podcast we will discuss a new compliance issue and provide insight on how to ensure your organization is following best practices.   In this episode, we will cover: • The definitions of a Business Associate Agreement • How to determine when you need a BAA • Government regulations that apply to BAAs • Problems organizations have identifying contracts that need a BAA  
For questions or information about please contact: ahmed.salim@complyguys.com. For questions or information about Compliatric please contact: bphillips@compliatric.com or go to www.compliatric.com.

Breaking down the HCCA-OIG Resource Guide Hot off the press! Our latest Podcast is available, join us as we break down the HCCA-OIG Resource Guide. The resource guide was put together with a number of compliance professionals and staff from the department of Health & Human Services. The goal was to discuss ways to measure effectiveness within a compliance program. The episode features Ahmed Salim, a Compliance Professional, and Brad Phillips, Director of Sales for Compliatric. For our new listeners, Comply Guys & Compliatric have created this podcast series in order to help compliance professionals build their program. Every podcast we will discuss a new compliance issue and provide insight on how to ensure your organization is following best practices. In this episode we will cover: Opportunities to measure an organization’s effectiveness How to identify areas of weakness within your program Conducting surveys of employees understanding to measure effectiveness How to use the guide to help improve any issues your organization may have Direct link to the guide: https://oig.hhs.gov/compliance/101/files/HCCA-OIG-Resource-Guide.pdf  For questions or information about please contact: ahmed.salim@complyguys.com. For questions or information about Compliatric please contact: bphillips@compliatric.com or go to www.compliatric.com  

Think Compliance: Responding to Detected Problems Hot off the press! Our latest Podcast is available, join us as we the last and most important Element of an Effective Compliance Program: Responding to Detected Problems. The episode features Ahmed Salim, a Compliance Professional, Dave Monaghan, Co-Founder of Compliatric and Brad Phillips, Director of Sales for Compliatric. For our new listeners, Comply Guys & Compliatric have created this podcast series in order to help compliance professionals build their program. Every podcast we will discuss a new compliance issue and provide insight on how to ensure your organization is following best practices. In this episode we will cover: Investigation Procedures The importance of a timely response Safeguarding your organization from external investigation Possible ramifications from mis-management How to avoid missing a reported concern For questions or information about ComplyGuys please contact: ahmed.salim@complyguys.com or go to www.complyguys.com, or for questions or information about Compliatric please contact: bphillips@compliatric.com or go to www.compliatric.com. 

Enforcing Standard through Well-Publicized Guidelines An important element to any Compliance Program is Enforcing Standards through Well-Publicized Guidelines. The episode features Ahmed Salim, a Compliance Professional, and Brad Phillips, Director of Sales for Compliatric. For our new listeners, Comply Guys & Compliatric have created this podcast series in order to help compliance professionals build their program. Every podcast we will discuss a new compliance issue and provide insight on how to ensure your organization is following best practices. In this episode we will cover: How to Communicate Standards Training Employees on Standards Keeping employees up to date on any changes Implementing Corrective Actions Maintaining Consistency For questions or information about Complyguys please contact: ahmed.salim@complyguys.com or go to www.complyguys.com, or for questions or information about Compliatric please contact: bphillips@compliatric.com or go to www.compliatric.com. 

In a speech before the SIFMA Compliance and Legal Society New York Regional Seminar in November 2015, then Assistant Attorney General Leslie Caldwell laid out metrics the Department of Justice would consider in evaluating a corporate compliance program around third parties. Caldwell began with the following question, “Does the institution sensitize third parties like vendors, agents or consultants to the company’s expectation that its partners are also serious about compliance?” This inquiry was brought forward into the Justice Department’s Evaluation of Corporate Compliance Programs.  Management of a Third Party Relationship Recognizing that most Chief Compliance Officers (CCOs) and compliance practitioners understand the need for a business justification, questionnaire, due diligence and compliance terms and conditions in a contract, I was gratified to see the DOJ focusing on the final step in the lifecycle of a third party relationship as a key metric for its new Compliance Counsel to evaluate. This is because it is the management of third party relationships that continues to be a source of trouble and heartburn for many companies. As Caldwell noted in her remarks, the management of a third party relationship, “means more than including boilerplate language in a contract. It means taking action – including termination of a business relationship – if a partner demonstrates a lack of respect for laws and policies. And that attitude toward partner compliance must exist regardless of geographic location.”  While the 2012 FCPA Guidance itself only provides that “companies should undertake some form of ongoing monitoring of third-party relationships”. This means that you must have an experienced compliance and audit team, actively engaged in the corporate office and in the business units, to ensure that financial controls and compliance policies are followed and that remedial measures for violations or gaps are tracked, implemented and rechecked, as additional detection and prevention. Caldwell noted it is a more encompassing “sensitization” to anti-corruption compliance that is needed. There are several ways for you to do so.  Relationship Manager for Third Parties  The starting point for the management of a third party, is your Relationship Manager for every third party with which your company does business. The Relationship Manager should be a business unit employee who is responsible for monitoring, maintaining and continuously evaluating the relationship between your company and the third party. Some of the duties of the Relationship Manager may include:  Point of contact with the Third Party for all compliance issues; Maintaining periodic contact with the Third Party; Meeting annually with the Third Party to review its satisfaction of all company compliance obligations; Submitting annual reports to the company’s Oversight Committee summarizing services provided by the Third Party; Assisting the company’s Oversight Committee with any issues with respect to the Third Party.  Compliance Professional  Just as a company needs a subject matter expert (SME) in anti-bribery compliance to be able to work with the business folks and answer the usual questions that come up in the day-to-day routine of doing business internationally, third parties also need such access. A third party may not be large enough to have its own compliance staff so I advocate a company providing such a dedicated resource to third parties. I do not believe that this will create a conflict of interest or that there are other legal impediments to providing such services. They can also include anti-corruption training for the third party, either through onsite or remote mechanisms. The compliance professional should work closely with the Relationship Manager to provide advice, training and communications to the third party.  Oversight Committee  I advocate that a company should have an Oversight Committee review all documents relating to the full panoply of a third party’s relationship with the company. It can be a formal structure or some other type of group but the key is to have the senior management put a ‘second set of eyes’ on any third parties who might represent a company in the sales side. In addition to the basic concept of process validation of your management of third parties, as third parties are recognized as the highest risk in FCPA or Bribery Act compliance, this is a manner to deliver additional management of that risk.  After the commercial relationship has begun the Oversight Committee should monitor the third party relationship on no less than an annual basis. This annual audit should include a review of remedial due diligence investigations and evaluation of any new or supplemental risk associated with any negative information discovered from a review of financial audit reports on the third party. The Oversight Committee should review any reports of any material breach of contract including any breach of the requirements of the Company Code of Ethics and Compliance. In addition to the above remedial review, the Oversight Committee should review all payments requested by the third party to assure such payment are within the company guidelines and is warranted by the contractual relationship with the third party. Lastly, the Oversight Committee should review any request to provide the third party any type of non-monetary compensation and, as appropriate, approve such requests.  Audit  A key tool in managing the affiliation with a third party post-contract execution is auditing. Audit rights are a key clause in any compliance terms and conditions and must be secured. Your compliance audit should be a systematic, independent and documented process for obtaining evidence and evaluating it objectively to determine the extent to which your compliance terms and conditions are followed. Noted fraud examiner expert Tracy Coenen described the process as (1) capture the data; (2) analyze the data; and (3) report on the data, which is also appropriate for a compliance audit. As a baseline I would suggest that any audit of a third party include, at a minimum, a review of the following:  the effectiveness of existing compliance programs and codes of conduct; the origin and legitimacy of any funds paid to Company; books, records and accounts, or those of any of its subsidiaries, joint ventures or affiliates, related to work performed for, or services or equipment provided to, Company; all disbursements made for or on behalf of Company; and all funds received from Company in connection with work performed for, or services or equipment provided to, Company.  If you want to engage in a deeper dive you might consider evaluation of some of the following areas:  Review of contracts with third parties to confirm that the appropriate FCPA compliance terms and conditions are in place. Determine that actual due diligence took place on the third party. Review FCPA compliance training program; both the substance of the program and attendance records. Does the third party have a hotline or any other reporting mechanism for allegations of compliance violations? If so how are such reports maintained? Review any reports of compliance violations or issues that arose through anonymous reporting, hotline or any other reporting mechanism. Does the third party have written employee discipline procedures? If so have any employees been disciplined for any compliance violations? If yes review all relevant files relating to any such violations to determine the process used and the outcome reached. Review employee expense reports for employees in high-risk positions or high-risk countries. Testing for gifts, travel and entertainment that were provided to, or for, foreign governmental officials. Review the overall structure of the third party’s compliance program. If the company has a designated compliance officer to whom, and how, does that compliance officer report? How is the third party’s compliance program designed to identify risks and what has been the result of any so identified? Review a sample of employee commission payments and determine if they follow the internal policy and procedure of the third party. With regard to any petty cash activity in foreign locations, review a sample of activity and apply analytical procedures and testing. Analyze the general ledger for high-risk transactions and cash advances and apply analytical procedures and testing. Tying it all Together  In addition to monitoring and oversight of your third parties, you should periodically review the health of your third party management program. The robustness of your third party management program will go a long way towards preventing, detecting and remediating any compliance issue before it becomes a full-blown FCPA violation. As with all the steps laid out herein, you need to fully document all steps you have taken so that any regulator, and most specifically the DOJ Compliance Counsel, can test your metrics. Caldwell’s remarks around the metrics portended the Evaluation and what the DOJ will be reviewing and evaluating going forward so that it is clear will be expected from your company’s compliance program. You should also use these metrics to conduct a self-assessment on the state of your compliance program.  Three Key Takeaways It all starts with a Relationship Manager. Have company oversight of all third parties. Audit, monitor and remediate on an ongoing basis. This month’s podcast series is sponsored by Opus. Opus helps free your business from the complexity and uncertainty of managing the risks associated with your customers, vendors, and third parties. By combining the most innovative Third-Party Risk Management and Know Your Customer Compliance SaaS platforms with unparalleled data solutions, Opus turns information into action so your business can thrive. Opus solutions include Hiperos 3PM accelerator, the leading platform for third party risk management. To learn more, go to www.opus.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Department of Justice Evaluation of Corporate Compliance Programs states, in Prong 10, Third Party Relationships:  Management of Relationships – How has the company considered and analyzed the third party’s incentive model against compliance risks? How has the company monitored the third parties in question? How has the company trained the relationship managers about what the compliance risks are and how to manage them? How has the company incentivized compliance and ethical behavior by third parties?  If you do not manage the relationship it can all go downhill very quickly and you might find yourself with a potential FCPA violation. Now the DOJ has explicitly adopted this approach as a key determination of whether you have operationalized your compliance program. There are several different ways that you should manage your post-contract relationship.  Relationship Manager  There should be a Relationship Manager for every third party which the company does business with through the sales chain. The Relationship Manager should be a business unit employee who is responsible for monitoring, maintaining and continuously evaluating the relationship between your company and the third party. Some of the duties of the Relationship Manager may include:  Point of contact with the Third Party for all compliance issues; Maintaining periodic contact with the Third Party; Meeting annually with the Third Party to review its satisfaction of all company compliance obligations; Submitting annual reports summarizing services provided by the Third Party; Assisting the company’s compliance function with any issues with respect to the Third Party. The Relationship Manager can be the Business Sponsor who prepared the Business Rationale discussed on Day 17. By using the Business Sponsor as the Relationship Manager, your company will further operationalize compliance by continuing to have the business unit lead the front-line relationship, communications and contact with the third party. As noted compliance commentator Scott Moritz has said, “This puts the onus on each stakeholder.” Compliance Professional  Just as a company needs a subject matter expert (SME) in anti-bribery compliance to be able to work with the business folks and answer the usual questions that come up in the day-to-day routine of doing business internationally, third parties also need such a resource. A third party may not be large enough to have its own compliance staff so any company using third party representatives should provide a dedicated resource to third parties. This will not create a conflict of interest nor are other legal impediments to providing such services. They can also include anti-corruption training for the third party, either through onsite or remote mechanisms. The compliance practitioner should work closely with the relationship manager to provide advice, training and communications to the third party.  Third Party Oversight Committee  A Third Party Oversight Committee further operationalizes compliance. It review all documents relating the full panoply of a third party’s relationship with a company. It can be a formal structure or some other type of group but the key is to have the senior management put a ‘second set of eyes’ on any third party who might represent a company on the sales side. In addition to the basic concept of process validation of your management of third parties, as third parties are recognized as the highest risk in anti-corruption compliance, this is a manner to deliver additional management of that risk.  After the commercial relationship has begun the Third Party Oversight Committee should monitor the third party relationship on no less than an annual basis.  This annual audit should include a review of remedial due diligence investigations and evaluation of any new or supplement risk associated with any negative information discovered from a review of financial audit reports on the third party. The Third Party Oversight Committee should review any reports of any material breach of contract including any breach of the requirements of the Company Code of Ethics and Compliance.  In addition to the above remedial review, the Third Party Oversight Committee should review all payments requested by the third party to assure such payment are within the company guidelines and are warranted by the contractual relationship with the third party. Lastly, the Third Party Oversight Committee should review any request to provide the third party any type of non-monetary compensation.   Audit A key tool in operationalizing the relationship with a third party post-contract is auditing the relationship. You should secured audit rights, as that is an important clause in any compliance terms and conditions. Your audit should be a systematic, independent and documented process for obtaining evidence and evaluating it objectively to determine the extent to which your compliance terms and conditions are followed. Noted fraud examiner expert Tracy Coenen described the process as one to (1) capture the data; (2) analyze the data; and (3) report on the data, which is also appropriate for a compliance audit. As a base line, any audit of a third party include, at a minimum, a review of the following:  the effectiveness of existing compliance programs and codes of conduct; the origin and legitimacy of any funds paid to Company; books, records and accounts, or those of any of its subsidiaries, joint ventures or affiliates, related to work performed for, or services or equipment provided to, Company; all disbursements made for or on behalf of Company; and all funds received from Company in connection with work performed for, or services or equipment provided to, Company. Three Key Takeaways Management of the third party relationship is the key step in determining the effectiveness of your compliance program in this risk area. By using non-compliance functions, such as the Business Sponsor or Relationship Manager you more fully operationalize your compliance program. Never forget to put a second set of eyes on all third party relationships. This month’s podcast series is sponsored by Oversight Systems, Inc. Oversight’s automated transaction monitoring solution, Insights On Demand for FCPA, operationalizes your compliance program. For more information, go to OversightSystems.com. Learn more about your ad choices. Visit megaphone.fm/adchoices

The Fifth Element of an Effective Compliance Program: Conducting Internal Monitoring and Auditoring. The episode includes Adam Bunnell, a Compliance Professional in Northern California who specializes in Monitoring. Also we have Ahmed Salim, Co-Founder of Comply guys, and Brad Phillips, Director of Sales for Compliatric. This episode covers what an audit consists of, what Monitoring looks like in accordance with AHIA. Recource: https://www.ahia.org/assets/Uploads/pdfUpload/WhitePapers/DefiningAuditingAndMonitoring.pdf For questions or information about Complyguys please contact: ahmed.salim@complyguys.com or go to www.complyguys.com, or for questions or information about Compliatric please contact: bphillips@compliatric.com or go to www.compliatric.com.