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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.
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Now displaying: August, 2017
Aug 28, 2017

The 2017 Converge Conference with Keynote Speaker Hui Chen will be held October 3-5 in Denver, Colorado. More information at https://www.convercent.com/converge

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 of 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

Converge Conference October 3-5, 2017 Denver, CO https://www.convercent.com/converge

Leona Lewis www.complyethic.com

 

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

Aug 17, 2017

Ricardo Pellafone is Founder and Creative Director at Broadcat, a legal services firm making legal and compliance accessible to non-lawyers. Broadcat makes simple, graphic content that helps employees learn their legal and compliance obligations in seconds through visual content and infographics without having to sit in front of a computer or a training room. In graphics, Ricardo matches the risks with real tasks people need to perform, simplifying the message that needs to be delivered and allowing information to be quickly absorbed.

Broadcat’s new standardized compliance icons stand for the speed, efficiency, and simplicity of communication that Broadcat is known for. http://www.thebroadcat.com/products

Simplifying compliance content is not easy. It takes mastery of the legal content to tell people what they need to do to support compliance. In this interview, Ricardo explains what needs to be considered in to create effective training, in addition to enjoyable training. We also discuss governance of compliance programs and the difference between “communication” and “training.” Ricardo also gives listeners the very good advice to get out from behind their desks as much as possible to get to know the business people directly.

Broadcat can make learning about suspicious invoices simple and enjoyable.  See Broadcat’s work here http://www.thebroadcat.com/library/  Also, do not overlook Ricardo’s interview with Compliance and Ethics Professional, a copy of the interview is available here http://www.thebroadcat.com/s/March-CE-MagazineBroadcat-Cover.pdf

Ricardo Pellafone is a former Associate General Counsel WD, a Western Digital Compan,y where he built out WD's compliance investigations program and drove the content for communications and media efforts. He was also the first global compliance lawyer for the Mubadala Group, a job that was more fun than the phrase "compliance lawyer" suggests, leading investigations for a sovereign wealth company in Abu Dhabi.

 

LINKS

Broadcat http://www.thebroadcat.com/

Ricardo Pellafone ricardo@thebroadcat.com

Leona Lewis leonalewis@complyethic.com

www.complyethic.com

 

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

Aug 7, 2017

Jay Rosen is Vice President, Business Development and Monitoring Specialist at Affiliated Monitors, Inc. He has over 30 years of experience in ethics & compliance, legal, translation, business services, investment banking and entertainment industries with Fortune 50 and Global 500 companies. He utilizes his deep industry knowledge and consultative approach to provide cost effective independent assessment and monitor solutions to corporate clients as well as individual practitioners.

Before joining Affiliated Monitors, Jay headed up Merrill Brink’s FCPA Investigations and Ethics and Compliance translation group.  He has over 8-years experience in assisting his clients with cross-border investigations as well as helping them localize their code of conduct and other mission critical English documents for their global colleagues.

Jay often speaks about best practices in Ethics and Compliance.  He has contributed guest articles to Tom Fox’s FCPA Compliance & Ethics Blog and the SCCE’s Compliance & Ethics Professional magazine.  Jay has been interviewed by the SCCE’s Compliance Videos series and has appeared on NYSE Governance Services Inside Compliance series.

For over a year, Jay Rosen has co-hosted the #1 weekly FCPA podcast, “This Week in FCPA” with Tom Fox.  Jay is also a commentator on the bi-weekly podcast “Everything Compliance” with Jonathan Armstrong, Tom Fox, Matt Kelly and Mike Volkov.  He has been interviewed on the “Masters of Disaster” podcast hosted by Leona Lewis as well as the “FraudCast” moderated by Alexis Bell.  Jay contributes his Weekend Read blog on LinkedIn.

In the fall of 2016, Jay received his CCEP (“Certified Compliance & Ethics Professional”) designation from the Society of Corporate Compliance and Ethics.

 

LINKS

Jay Rosen JRosen@affiliatedmonitors.com

www.affiliatedmonitors.com

Leona Lewis leonalewis@complyethic.com

www.complyethic.com

 

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

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