Info

Masters of Disaster

Stories of Risk, Ethics & Compliance. Host Leona Lewis interviews people about leadership, managing risk, ethics and compliance strategies for businesses, government, academia or society.
RSS Feed Subscribe in iTunes
Masters of Disaster
2017
May
April
February
January


2016
December
November
October
September
August
July
June
May
April
March
February
January


2015
December
November
October
September


All Episodes
Archives
Now displaying: Page 1
May 22, 2017

Amy McDougal is a Founding Director and Corporate Secretary for the International Association of Independent Corporate Monitors. She is an attorney certified by the Society of Corporate Compliance and Ethics as a Corporate Compliance and Ethics Professional (CCEP). After graduating from Johns Hopkins University and Vanderbilt School of Law, she served as a Special Assistant United States Attorney and an Air Force Judge Advocate General, attaining the rank of Major. In her civilian career, she has served as in-house Associate General Counsel and General Counsel for mid-sized and small government contractors, respectively.

In 2013, Ms. McDougal established her company, CLEAResources, LLC, a Woman- Owned and VA-certified Veteran-Owned Small Business. “CLEAR” stands for “compliance, legal, ethics, and risk.” She assists organizations with development of the compliance and ethics infrastructure required by the Federal Sentencing Guidelines, Federal Acquisition Regulations, and other ethics and compliance statutory frameworks. Her team functions as out-sourced Chief Ethics and Compliance Officers for several companies.

 


LINKS

Amy McDougal  amy.mcdougal@clearesources.com

International Association of Independent Corporate Monitors  http://iaicm.org/

Leona Lewis www.complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

May 15, 2017

Eric J. Conn is a founding partner of Conn Maciel Carey and Chair of the firm’s national OSHA Workplace Safety Practice Group. His practice focuses exclusively on issues involving occupational safety and health law.

Before founding Conn Maciel Carey, Mr. Conn was Head of an OSHA practice group that was honored as the “Occupational Health & Safety Law Firm of the Year” by Corporate INTL Magazine in its 2014 Global Awards. In 2013 and 2014, he was named a "Rising Star" by Washington, DC Super Lawyers, and was included in the Washington Post's Top Rated Lawyers list in Washington, DC.

Mr. Conn is also a popular speaker on OSHA and related legal issues and is often quoted as a leader in the field. He created the OSHA Defense Report Group on LinkedIn and can be found on Twitter as @OSHA_Guy.


LINKS

Eric Conn econn@connmaciel.com

Conn Maciel Carey http://www.connmaciel.com/

The OSHA Defense Report https://oshadefensereport.com/

Leona Lewis www.complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

May 1, 2017

Katie Smith serves as EVP and Chief Compliance Officer for Convercent. Bringing nearly 20 years’ experience from the high tech, energy, insurance and financial services industries, Katie has implemented ethics and compliance programs for multinational companies. Her professional passion flourishes in building compliance programs from the ground up and raising awareness throughout the company on the importance of proactive compliance and ethics management. 

Before joining Convercent, Katie most recently held the position of Assistant Vice President and Chief Ethics Officer at Texas-based Fortune 500 financial services group USAA. At the firm, she was primarily responsible for promoting ethics and strategic business initiatives; overseeing the development and implementation of ethics communications, policies, guidelines, and training. She served as a trusted internal consultant to leadership on matters pertaining to corporate ethics and investigation of suspected and reported violations of USAA’s Code of Conduct, related policies, and standards.



LINKS

Katie Smith  katie.smith@convercent.com  www.convercent.com

Leona Lewis www.complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Apr 24, 2017

Scott Moritz is the Global Leader of Protiviti Forensic overseeing all event-driven white collar crime, misconduct and bribery investigations across Protiviti's 25 country footprint; anti-corruption (FCPA, UKBA etc. ) advisory, auditing and program remediation and fraud risk management advisory services. He has more than 30 years of investigative and regulatory compliance experience working with a variety of organizations, government and regulatory agencies to identify, triage, investigate and remediate a wide variety of risks. With extensive experience investigating transnational crime, corruption and money laundering, Scott is widely regarded as a leading authority on white collar crime, corruption and the evaluation, design, remediation, implementation and administration of corporate compliance programs, codes of conduct, training and internal audit programs.



LINKS

Scott Moritz  scott.moritz@protiviti.com

Leona Lewis www.complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Apr 17, 2017

Kristy Grant-Hart is an expert at transforming compliance departments into in-demand business assets.  She's the author of How to be a Wildly Effective Compliance Officer and Managing Director of Spark Compliance Consulting, a boutique consultancy focusing on the creation, energizing and optimization of corporate compliance and data privacy programs.  She is also an adjunct professor at Delaware Law School, Widener University, teaching Global Compliance and Ethics. 



LINKS

Kristy Grant-Hart www.compliancekristy.com

Leona Lewis www.complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Apr 10, 2017

Danielle Ewalt works with small businesses to improve results through better policies, procedures, and metrics.  Her experience has shown that documenting policies and procedures allows businesses be more nimble and able to improve financial results.

Documentation can be painful; it is not glamorous, does it pay off?  Managing business risk means being clear about the operations of your company.  Clarity requires writing stuff down in policies and procedures.  Both large and small companies justify skipping this step in the name of “freedom,”  but failing to write down procedures can lead to a lot of waste and organizational inflexibility.

Danielle is a Business Strategist that helps entrepreneurs take their business to the next level, decrease the overwhelm and give you back your freedom.  She has been an entrepreneur for over a decade and now gives you the compassionate kick in the pants you need to create the big, bold business and life you want.  You can find her at www.danielleewalt.com.

 

LINKS

Danielle Ewalt www.danielleewalt.com

Leona Lewis www.complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Feb 20, 2017

For 40 years, Joe Murphy, CCEP, has been a tireless champion of compliance and ethics in organizations and has done compliance work on six continents. Joe has published over 100 articles and given over 200 presentations in 19 countries.  Joe is author of 501 Ideas for Your Compliance & Ethics Program and A Compliance & Ethics Program on a Dollar a Day. He is a Certified Compliance & Ethics Professional and a member of the board of the Society of Corporate Compliance & Ethics. Joe was named one of The National Law Journal’s 50 Governance, Risk and Compliance Trailblazers and Pioneers 2014 and was a recipient of the SCCE Compliance and Ethics Award.

Joe and Rutgers Professor Jay Sigler wrote the first book on compliance programs, Interactive Corporate Compliance, in 1988, 3 years before the Sentencing Guidelines were issued. He was a founder of one of the world’s top online compliance training firms, Integrity Interactive (now part of SAI Global).  In 2010 Joe wrote the authoritative white paper on incentives as part of compliance programs, Using Incentives in Your Compliance & Ethics Program http://tinyurl.com/heaw3sl , which was cited in the DOJ/SEC FCPA guidance document. He is also Chair of the Advisory Board of the Rutgers Center for Government Compliance and Ethics.

 

LINKS

Joe Murphy JMurphy@compliancestrategists.com

http://compliancestrategists.com/pro/our-team/joseph-e-murphy/

Leona Lewis leonalewis@complyethic.com

www.complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Feb 6, 2017

Tom Fox is back on Masters of Disaster® to discuss how the chaos of the Trump Administration towards foreign nationals and governments poses new risks to business in the United States.  Further, how Trump’s Executive Orders have been rolled out quickly and with little vetting has created a new level of uncertainty and risk. We also discuss what business can do to prepare for uncertain senarios.

Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance and international transaction issues. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. Previously he served as division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division. 

Tom is the author of the award winning and syndicated FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. His second book, “Best Practices Under the FCPA and Bribery Act” was released in April, 2013. He recently released his first eBook, “GSK In China: A Game Changer in Compliance”.

 

LINKS

Tom Fox tfox@tfoxlaw.com

www.fcpablog.com

Advanced Compliance Solutions http://www.advancedcompliancesol.com

Leona Lewis leonalewis@complyethic.com

www.complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Jan 31, 2017

Jonathan Armstrong and Leona Lewis discuss the impact that the Trump Administration can have on Privacy Shield.  Privacy Shield is the agreement between the U.S. and the EU facilitates the international flow of data between the U.S. and the EU.  International business between the U.S. and the EU would potentially slow to a crawl or halt in some cases without a method for to transfer data.  The Trump Administration's recent behavior throws doubt on the current viability of Privacy Sheild.

Jonathan Armstrong, jonathan.armstrong@corderycompliance.com

+44 (0) 207 075 1784

http://www.corderycompliance.com/

 

Leona Lewis, leonalewis@complyethic.com

612-695-8890

www.complyethic.com

Jan 30, 2017

When stakes are high when an organization needs to communicate with the media, they call Blois Olson.  How an organization handles communicating the public can diffuse public concern or blow up into a reputation firestorm.  An outside perspective can mean a lot in crisis situations. Human nature will often lead people involved in a crisis to communicate in ways that are simply not helpful.

A good example of the impact of poor communications strategy with the public is the recent case of food safety issues at Chipotle.  Poor strategy and problems incongruous with the Chipotle brand lead to compounding damage to Chipotle’s brand, customer relationships and stock price.

Blois Olson is Principal of Fluence Media, a consultancy specializing in high stakes media communications. In 2012, he founded Fluence Media in the belief that the silos of marketing and media have crashed. Fluence provides clients with high-level media and communications strategy, data visualization and insights, content creation and distribution, and marketing. 

Olson was recognized as a “Top Marketer” by Minnesota Business magazine in 2012, and named one of “200 Minnesotan’s You Should Know” by Twin Cities Business magazine in 2011. He regularly speaks on topics of political volatility, corporate reputation, media change and social media strategies.

His morning take daily tip sheet and radio segment are a must read and listen for business and political leaders in the Midwest. His analysis and clients has been featured in the Wall Street Journal, Politico, the New York Times, MSNBC, CNN, and numerous other national and local media outlets. 

 

LINKS

Blois Olson bolson@fluence-media.com

Fluence Media http://www.fluence-media.com/

Leona Lewis leonalewis@complyethic.com

www.complyethic.com

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Jan 23, 2017

Talking about privacy is always a good thing.  Linnea Solem is Chief Privacy Officer and Vice president for Risk & Compliance for the Deluxe Corporation.  Over 20 years, Linnea has lead a mature and strong program at Deluxe.  Both in electronic records and on factory floors, employees at Deluxe have contact with sensitive information producing checks and business marketing materials.  Across geographies and technologies, Deluxe has risen to the challenges of keeping sensitive information private.

There needs to be more context about information governance and use as the sheer quantity of data explodes exponentially with further advances in technology. Understanding how data is collected and what it will be used for can be a strategic issue for many company putting resources in to collection of data that they are not sure they can use.  In some companies a lack of information governance prevents using important data due to privacy concerns but also due to technical barriers that were unwittingly setup in an uncontrolled environment.

As Chief Privacy Officer and Vice President for Risk & Compliance for Deluxe, Linnea Solem is responsible for developing, implementing, and managing the data privacy, business risk & compliance strategy and governance framework for Deluxe Corporation.  High-energy and confident, Linnea is a frequent speaker at industry associations, including the International Association of Privacy Professionals and Shared Assessments Program events.

Linnea entertains and engages audiences with insights that stem from her more than 25+ years in regulated industries managing cross-functional areas such as privacy program management, regulatory compliance, marketing compliance, risk management, due diligence, and consumer protection compliance.  She sets vision and direction for organizational readiness for compliance, including management reporting for executives, risk committees, including board of director reporting.  

Linnea currently represents Deluxe on the Shared Assessments Program Governance having served as past Steering Committee Vice Chair and Chair of its Steering Committee and is currently co-chairing the Program’s Privacy committee & Regulatory Awareness Group.  She is a Certified Information Privacy Professional for the U.S. and Canada, maintains her Certified Privacy Manager certification and is a Certified Third Party Risk Professional.

 

LINKS

Deluxe Community Blog http://fi.deluxe.com/community-blog/

NCSA information on International Data Privacy Day https://staysafeonline.org/data-privacy-day/about

International Association of Privacy Professionals www.iapp.org

 

Leona Lewis leonalewis@complyethic.com

www.complyethic.com

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Jan 9, 2017

Kate Bischoff is back on the Masters of Disaster® podcast to give us useful information on employee training on compliance. Kate wants to employees to recognize compliance red flags and know who to go to when they see them. One of Kate’s favorite training tools is role playing and using real-life examples. Using these examples, Kate can cultivate empathy with her audience regarding the parties in the compliance scenario.

We also discuss how to make training more interactive, and wonder if “Candy Crush” can be made into an effective training tool.

Kate Bischoff, JD, SHRM-SCP, SPHR, is the Managing Principal of tHRive Law & Consulting.  She understands compliance as a balancing act between finding what works for a business and what is compliant.  During her career, Kate has seen people do and say some goofy and inappropriate things in the workplace. Regardless, she remains inspired by the many people doing their best to make an organization great. Kate is a frequent speaker on compliance topics. She also works with some of the most innovative companies using the best in cutting-edge techniques and technology to grow.

 

LINKS

Kate Bischoff kbischoff@thrivelawconsulting.com

tHRive Law & Consulting https://thrivelawconsulting.com/

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting, LLC in the United States.

Leona Lewis, host of Masters of Disaster, can be reached at leonalewis@complyethic.com

Dec 5, 2016

As Ron Carucci describes, “Take four walls, a roof and fill it up with people, and you are attempting to organize human endeavor.” Organizations can get into ethical problems when we fail to look at incentivized behavior holistically.  When people are faced with goals that conflict, out of frustration, people often try to resolve the conflict with “band-aid” solutions that lead to ethical and reputational problems for companies. 

Ron Carucci is owner of Navalent. Navalent provides a powerful platform for working with organizations in their noblest pursuits to set strategy, organize their critical capabilities, build their leadership capability, and create cultures that make people fall in love with their work. Ron is privileged to design global organizations that work, and working with executives to make them better leaders. 

 

LINKS

Navalent www.navalent.com

Twitter @roncarucci

Nov 21, 2016

Matt Kelly discusses the emerging pressures on compliance professionals. Being able to demonstrate of what the compliance and ethics activities within the company, is the compliance emerging challenging.  We also discuss how monitoring compliance can be a lot like losing weight.

How information can be extracted out of company systems and reporting to leadership is an ongoing struggle. He distinguishes the benefits of an ethical culture from compliant business operations. Many things need to come together for controls to work well.

Matt Kelly is founder of Radical Compliance, which provides consulting and commentary on corporate compliance, audit, governance, and risk management. Radical Compliance also serves at the personal blog for Matt Kelly, the long-time (and now former) editor of Compliance Week.

Matt writes and speaks frequently on corporate compliance, audit, and governance, and now works with various private clients to understand those fields and to develop go-to-market strategies or provide other assistance in reaching audiences of compliance professionals.

 

LINKS

Matt Kelly mkelly@radicalcompliance.com

Radical Compliance http://www.radicalcompliance.com/

Nov 7, 2016

Ronnie Feldman is the President & Creative Director of Learnings & Entertainments, a creative service and content provider focused on improving employee engagement through the power of fun!  Ronnie explains how to bring fun to compliance training.  No, really, it’s true!

  • Infuse training with creativity to be interesting
  • Use content to make critical information memorable
  • Be aware of how the training experience reinforces the brand of the compliance team
  • Use empathy to make training more effective
  • Do not be afraid that not everyone will like your creative vision
  • Surprise and delight is powerful

 

Ronnie has an MBA in Entrepreneurial Management and an improv comedy background and has spent the better part of the past 25 years playing in the entertainment and learning space. Ronnie believes that the philosophies of improvisation can help make you a better person, that the Chicago Cubs will win a world series in 2016, and that napping should be an Olympic sport.  He takes great pride in finding creative ways to solve business problems using humor, improvisation and fun. 

 

LINKS

info@learningsentertainments.com

http://learningsentertainments.com/

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.  Leona Lewis can be reached at leonalewis@complyethic.com

Oct 31, 2016

Stephen Kasloff is Director and Senior Advisor of Compliance & Ethics Solutions LLC and an expert in how continuous improvement is vital to compliance programs. As Stephen explains, continuous improvement is essential to identifying, assessing and managing risks over time. Without continuous improvement, an organization cannot effectively assess or react to the facts as they change over time. 

 

Continuous improvement is essential as a:

  1. Legal Requirement
    • The Federal Sentencing Guidelines requires periodic review of compliance and ethics programs to identify new risks and correct deficiencies.  The action items that come out of the assessment process is continuous improvement.
    • Continuous improvement creates a way to make the program more effective by addressing risks that arise over time. 
    • A compliance program that includes a continuous improvement process is more credible.
    • Continuous Improvement is proactive, avoiding and managing risks.
  2. Insurance Policy
    • The more risk intelligent the business is to risk the stronger the business can be in reaching its goals.
  3. Business Benefit
    • Continuously showing ethical and compliant behavior strengthens a culture of compliance.
    • Greater opportunities for employee buy-in to an ethical and culture of compliance through action with continuous improvement.
  4. Cultural Benefit

 

STEPHEN I. KASLOFF, ESQ. is Director and Senior Advisor of Compliance & Ethics Solutions LLC, which provides consulting services in compliance and ethics risk assessment and program development. Mr. Kasloff has been working in the field of organizational ethics for more than two decades, having served as the ethics officer of one of the world’s largest security services firms and leading that company’s nationally recognized, award winning corporate ethics program. He directed the organization’s industry-leading quality management program registered to the global gold standard ISO 9001:2008, the international benchmark for quality.

Mr. Kasloff has played an active role in national ethics organizations, and has taught and lectured on business ethics at Pennsylvania State University and the Philadelphia Bar Association – where he has served as CLE instructor in business ethics and Bridge the Gap – the Wharton School of the University of Pennsylvania, the University of Memphis and other venues.

He has been a judge of the American Business Ethics Awards and the Better Business Bureau Jerry Myers Best Practices Award; been honored by the Ethics Resource Center – the nation’s oldest ethics advocacy NGO – for his service in its leading edge Fellows Program, a roundtable of senior ethics practitioners representing the corporate, academic, government and non-profit sectors; and served the private security industry as Board Member and First Vice Chair of the National Association of Security Companies, NASCO.

Previously Mr. Kasloff served as Counsel to the Rules Committee of the City Council of Philadelphia and Special Counsel to a member of that body. He earned his baccalaureate degree from the University of Pennsylvania and his J.D. from the University of Pennsylvania Law School. He is a member of the Pennsylvania Bar and of the Philadelphia and Pennsylvania Bar Associations.

 

LINKS

Stephen Kasloff sikasloff@gmail.com

Compliance & Ethics Solutions LLC http://www.callces.com/

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States

Leona Lewis, host of Masters of Disaster and Founder of ComplyEthic, can be reached at leonalewis@complyethic.com

Oct 24, 2016

Kate Bischoff worked for the State Department in the Middle East during the Edward Snowden and Chelsey Manning scandals. Kate also conducted training for the State Department for employees on information security.  Kate describes what happens during a scandal of a security breach magnitude.  The swiftness of the State Department response to the scandal showed the organization's intense planning for security breaches.

Kate emphasizes the human risk in information security. It is hard to understate the importance of training people need for handling sensitive information in their job.  Experiential, ongoing training is critical for employees to internalize good information security practices.  Employees also need to exercise good judgement in many ambiguous security situations, so training on what good judgment looks like is critical for information security.

Kate Bischoff, JD, SHRM-SCP, SPHR, is the Managing Principal of tHRive Law & Consulting.  She understands compliance as a balancing act between finding what works for a business and what is compliant.  During her career, Kate has seen people do and say some goofy and inappropriate things in the workplace. Regardless, she remains inspired by the many people doing their best to make an organization great. Kate is a frequent speaker on compliance topics. She also works with some of the most innovative companies using the best in cutting-edge techniques and technology to grow.

 

LINKS

Kate Bischoff kbischoff@thrivelawconsulting.com

tHRive Law & Consulting https://thrivelawconsulting.com/

Masters of Disaster® is the registered trademark of ComplyEthic Consulting, LLC in the United States.

Leona Lewis, host of Masters of Disaster, can be reached at leonalewis@complyethic.com

Oct 17, 2016

Alexis Bell, CEO of Fraud Doctor LLC, discusses challenges in fraud investigation overseas.  At least 5 different ways your fraud investigation can be impacted when it is conducted internationally:

Political Instability. Anytime when a new regime takes over in politically unstable countries it disposes of the legal system wholesale, and recreates it.  The resulting legal uncertainty can throw into fraud investigations in the jurisdiction.  

Cultural Norms. Actions that are taken for granted as fraudulent in the United States may be acceptable overseas.  

Gaps in the Legal Process. In some countries, fraud investigators must work directly community leaders to find solutions due to the absence of local applicable law.

Third Party Risk.  Fraud investigations can take you to countries you do not expect. Even small companies need to understand the operations of the third parties they work with to understand the geographic exposure to fraud.  

Understanding Legal Nuances. It is important to understand the nuances of the applicable law in the countries in which your company may be exposed to fraud. For example, challenges in EU privacy laws impacts a fraud investigators’ access to information in the EU that is usually readily available in the United States.  

 

Alexis C. Bell, CFE, PI is a pioneer in the international antifraud industry. She helps companies address their fraud management concerns by designing brand new programs or assessing and enhancing their existing antifraud structure. She is passionate about her work and engages others to align with the company’s vision.

Fraud Doctor LLC is a consulting firm offering proprietary products and services such as global program design & implementation for fraud management and global fraud risk assessment. Additional services include antifraud & investigative training, private investigation services, cell phone & small device digital forensics, cyber intelligence investigations, technical surveillance countermeasures (TSCM), transaction level data analysis project plans for antifraud and SOX.

 

LINKS

Fraud Doctor LLC https://fraud-doctor.com/

Alexis C. Bell, CFE, PI: alexis.bell@fraud-doctor.com

 

Leona Lewis is the host of the Masters of Disaster podcast leonalewis@complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Oct 10, 2016

Years ago, the CCO was not seen as a facilitator or help to the business. Rather, the CCO was seen as an obstructionist role to tell the business “no.”

Today, the CCO role is more of a business partnership role, educator, and facilitator. The skills that companies look for now support a collaborative role. Companies are asking candidates for CCO about how they collaborate and lead. They are not just focusing on the candidates’ knowledge of regulatory subjects.

Maurice Gilbert is Managing Partner of Conselium Executive Search. Maurice brings deep expertise to the compliance conversation. He enables best in class hiring solutions for companies in need of compliance officers. The ease with which he delivers value, as well as his access to the best available talent around the globe, is unmatched.

As the publisher of Corporate Compliance Insights, Maurice manages a growing community of informed compliance and ethics professionals. He provides a forum through which compliance and ethics professionals can share best practices, hiring trends, and forecasts.

 

LINKS

maurice@conselium.com

http://conselium.com/

See Corporate Compliance articles at www.corporatecomplianceinsights.com

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Leona Lewis is the host and producer of Masters of Disaster, and she would like to hear your ideas, suggestions, and comments.

Leona can be reached at leonalewis@complyethic.

Oct 3, 2016

Fresh from the SCCE International Academy in Brazil, Adam Turteltaub joins me on the Masters of Disaster® podcast.  Despite the fact that the Brazilian currency has devalued relative to the dollar, the Academy in Sao Paulo was packed!  In Brazil, compliance professionals feel that they are in the middle of things.

It is interesting seeing compliance go global, not just by large multinationals, but also down the supply chain to smaller companies outside the United States.  Today, large businesses expect that their vendors and suppliers have compliance program to protect their customers, the large businesses, from compliance risk.  Companies are concerned about losing business by selling compliance problems to their clients.

Brazil’s history of corruption is not sustainable, and Brazil is one of the top ten economies of the world.  Business located in Brazil are aware that to be players on the global stage, corruption needs to go.

Over recent years during the activity of the SCCE International Academy, Adam Turteltaub sees more hope and less skepticism.  The Academies supports the networking that goes on during the Academies where compliance professionals disco very how they are not alone in the job.

Adam advises that attending an international conference can help U.S. compliance professionals understand international perspectives on compliance and what issues are hot overseas.  The growth and change in issues that compliance departments address that Adam has seen over the years also shows the value of attending conferences to understand what is likely to be the focus in compliance in the future.

Adam Turteltaub is Vice President of Strategic Initiatives and International Programs at the Society of Corporate Compliance and Ethics (SCCE) and the Health Care Compliance Association (HCCA)

 

LINKS

adam.turteltaub@corporatecompliance .org

SCCE Events Calendar (including International events) http://www.corporatecompliance.org/Events/AllEvents.aspx

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Sep 26, 2016

In a fun interview about a dry topic, I talk with Rob Warmack, CEO of Compli, on all the ways that automation helps companies and compliance programs. We even discuss how automation can make your General Counsel like you more.

Rob and I get into the nitty-gritty of why automated systems help compliance programs.  He explains several the advantages automation brings to a compliance program. Benefits that range from better employee training to greater assurance for stakeholders.  

Automation can also allow the company to do things that they could not achieve manually.   For example, reliance on manual systems with live training will mean that training will happen less often, and take an hour or two of each employee's time.  Automation allows more frequent and shorter training activity.  Automation also allows a better employee experience.  Improving employee’s interactions with compliance, improves employee's willingness to listen to the messages that they need to hear.

Rob Warmack is CEO of Compli, providing more than just software and compliance reports.  Compli helps businesses assemble actionable information that inspires confident operations. Compli’s mission is to simplify compliance by creating persistent Governance, Risk and Compliance (GRC) monitoring tools, and real-time reporting and transparency.

 

LINKS

https://www.compli.com

Masters of Disaster® is a registered trademark of ComplyEthic Consulting LLC in the United States.

www.complyethic.com

Sep 19, 2016

Donna Boehme is back on the Masters of Disaster® podcast to discuss what it takes for compliance to succeed. Donna often refers to the new approach for the architecture of Compliance 2.0. Fundamentally, Compliance 2.0 starts with subject-matter experts with experience in compliance and how compliance is designed and managed. The most important hallmark of Compliance 2.0. is having a leader who is able to lead the operations toward compliant behavior.

The five elements of the Compliance 2.0 model are described by Donna in an infographic found on her website here http://compliancestrategists.com/upgrade/wp-content/uploads/2016/05/Compliance-2.0-Infographic-1.pdf. The first two elements we discuss in more depth on today’s podcast are:

  1. Empowerment

The Chief Compliance Officer (CCO) must have a clear mandate to design and manage “effective compliance programs” as described in the Federal Sentencing Guidelines. The CCO also has the support of the Board of Directors with unfiltered Board access.

       2.Independence

Under Compliance 1.0, compliance was not independent from businesses and decision-making was high-jacked by business incentives. Compliance must have independent power to make decisions separate from the incentives of other departments.

Recently, Donna Boehme released a very popular article on the Five Signs that Compliance 2.0 is the New Normal (http://www.fcpablog.com/blog/2016/8/3/donna-boehme-five-signs-that-compliance-20-is-the-new-normal.html). We discuss the five signs and what about them points to a greater understanding and implementation of Compliance 2.0 today compared to twenty years ago. The five signs we discuss are paraphrased below:

  1. Compliance is more often defined as a separate function from legalities. Over the last two decades, the compliance profession has successfully defined itself as a new and subject matter expertise that is separate from the legal department.
  2. Both regulators and prosecutors publicly acknowledge the importance of independence, empowerment and compliance subject matter expertise, which are all elements of Compliance 2.0. 
  3. The DOJ embraces the elements of Compliance 2.0 in the FCPA Pilot Program. 
  4. Compliance professionals understand the importance of the elements of a Compliance 2.0 and how it supports their success in their role and are being very selective about the CCO jobs they take. 
  5. Studies show that the next generation of compliance is more likely to be positioned for success. 

Donna Boehme will attend the SCCE annual meeting in Chicago on September 26-28.  If you are in Chicago at the event, please take the opportunity to meet her personally.

 

Donna Boehme is a principal of the firm Compliance Strategists (www.compliancestrategists.com), and a recognized leader in the field of compliance and ethics who brings a powerful mix of being a compliance officer, in-house legal and corporate secretariat perspectives, transactional experience, and deep global expertise. Donna is a compliance and ethics expert who helped develop the compliance and ethics best practices in use today by a wide spectrum of companies in the US and globally.

 

LINKS

Compliance Strategists’ Compliance 2.0 resource site http://compliancestrategists.com/upgrade/

Previous Interview with Donna Boehme on the Masters of Disaster podcast: http://www.complyethic.com/podcast/2016/6/23/is-your-compliance-program-built-to-succeed-not-if-it-is-compliance-10-donna-boheme-explains

Masters of Disaster® is the registered trademark of ComplyEthic LLC in the U.S.

The Masters of Disaster podcast is available on iTunes.

Sep 12, 2016

Jon Gonzalez and I discuss a few scandals from recent news when top leaders bend (or break) the rules and tell “white” lies.  The reputation and financial impact can be big, even when the indiscretions seem small.

Jon Gonzalez is Senior Legal Counsel at Syntrio, Inc., an online compliance and ethics training courses to companies, organizations, and government entities of all sizes.  He is also owner of VIP Fan Experiences LLC

As Senior Counsel for Syntrio, Jon utilizes his experience in ten plus years as a management-side labor and employment attorney to provide legal support and content expertise for the company and its sales team on courseware content and legal issues.  After presenting over 100 live employment discrimination and harassment prevention (and other employment law related) training courses, Jon uses this experience to evaluate and refine new and existing content for Syntrio.

 

LINKS

Syntrio Inc. http://www.syntrio.com

Masters of Disaster® is the U.S. registered trademark of ComplyEthic Consulting LLC

Sep 5, 2016

Eric Feldman, Senior Vice President at Affiliated Monitors, Inc. discusses with me why third party assessments are essential to meeting the obligations outlined by the Federal Sentencing Guidelines.  We also discuss the barriers to making a decision to conduct third-party assessments that executives sometimes create for themselves. 

Third-party assessments can bring to leaders attention information that internal auditors or departments would rather not emphasize.  What you don’t know can hurt you.  Business leaders are held responsible for bad actors (or bad actions or facts) within their organizations that they do not personally know. 

It is human nature to look at the world with an optimistic bias.  Business leaders often unconsciously assume that not knowing about bad facts within their organization means that these facts do not exist.  Leaders sometimes make the mistake of believing they cannot be held responsible for bad actions they do not know. 

The line between what a business leader is held responsible for is not whether or not they had a knowledge of bad facts, but whether he or she could have known the facts using common techniques to find out.  Federal Sentencing Guidelines state this expectation in Section 8.2.B.1(a)(1), an organization shall exercise due diligence to prevent and detect criminal conduct.

The DOJ wants to see companies have an evolving, continuously improving compliance program, not a perfect one. The Federal Sentencing Guidelines includes the requirement of periodic assessment of compliance programs as part of program of continuous improvement in Section 8.2.B.19(c)(1):

[T]he organization shall periodically assess the risk of criminal conduct and shall take appropriate steps to design, implement, or modify each requirement set forth in subsection (b) to reduce the risk of criminal conduct identified through this process.

Companies need to identify whether various parts of compliance programs are working, and how the programs are impacting corporate culture.  It is important to have a third party to take a look to see whether what you are doing to make sure the company is getting accurate and complete information.

Eric R. Feldman, CFE, CIG retired from the Central Intelligence Agency (CIA) in 2011 with over 32 years of experience in Inspector General oversight and federal auditing, in both the Executive and Legislative branches of government.  He has served in executive positions with Offices of Inspector General at the Department of Defense, Defense Intelligence Agency, and CIA, and was the longest serving Inspector General of the National Reconnaissance Office (NRO) from 2003-2009. At the NRO, he presided over a highly successful procurement fraud prevention and detection program, widely recognized by the Department of Justice as a model throughout the federal government.

While serving as a Federal Inspector General, Mr. Feldman was an active member of the National Procurement Fraud Task Force at the Department of Justice and chaired the Private Sector Outreach Committee. In this role, he was a driving force behind the amendments to the Federal Acquisition Regulations requiring the mandatory disclosure of contractor fraud and the implementation of business ethics and conduct programs for federal contractors.

Mr. Feldman is a frequently sought-after speaker and author on the topics of procurement fraud detection and prevention, corporate business ethics and compliance, and managing an Inspector General function. During the last year, he has given presentations at national conferences of the Association of Certified Fraud Examiners, the Society of Corporate Compliance and Ethics, and the Association of Inspectors General.

LINKS

Eric Feldman, CFE, CIG 

Affiliated Monitors, Inc. 

The Federal Sentencing Guidelines 

Aug 29, 2016

Compliance is a team sport, and building a network to share ideas, experience, and concerns is critical. The Society of Corporate Compliance and Ethics (SCCE) has played a big part in my growth as a professional and in my knowledge of the current state of the struggles and achievements of compliance practitioners.

I got the chance to talk with Roy Snell, CEO of SCCE and HCCA (Health Care Compliance Association), on the role the annual meeting plays in the careers of compliance professionals. When SCCE started, it was important to form relationships and forward the sophistication and effectiveness of compliance professionals. SCCE created every possible forum for people to share information and educate each other, allowing a framework for the profession of compliance to grow.

Personally, I am looking forward to the 2016 annual SCCE meeting, held in Chicago next month. Send me an email at leonalewis@complyethic.com if you would like to meet in Chicago at SCCE!

The Society of Corporate Compliance and Ethics (SCCE) is a member-based association for regulatory compliance professionals. SCCE was established in 2004 and is headquartered in Minneapolis, Minnesota. SCCE provides training, certification, networking, and other resources to thousands of members. Our members include compliance officers and staff from a wide range of industries. The need for guidance in meeting regulatory requirements extends to a wide range of sectors, including academics; aerospace; banking; construction; entertainment; government; financial services; food and manufacturing; insurance; and oil, gas, and chemicals. The following observation from Roy Snell is found on the SCCE/HCCA website:

One often wonders why HCCA, and then SCCE, all worked. It’s hard to know. Is it being in the right place at the right time or getting the right people involved? To me, it’s obvious that it is both. What has kept it going is a simple truth, that people who face significant challenges need to communicate with others facing similar challenges. Compliance professionals face huge challenges. The reason we continue to meet in ever-larger numbers is the very same reason the first call to Mary Dunnaway was made—to share compliance war stories and learn from each other.

LINKS

roy.snell@corporatecompliance.org

2016 SCCE Chicago Conference Information http://www.complianceethicsinstitute.org/

SCCE official site http://www.corporatecompliance.org/

Masters of Disaster® is the U.S. registered trademark of ComplyEthic Consulting LLC

1 2 3 4 Next »