Compliance Perspectives

Post By: Adam Turteltaub

NOTE: This podcast was recorded prior to the conversion of the Compliance & Ethics Institute to a virtual program. Some of the sessions and their tracks may have changed.  Be sure to visit the website to see the latest agenda.

Compliance is about much more than understanding the law.  It requires a great many other skills, which is where the Professional Skills track at the Compliance & Ethics Institute comes in.

The track chairs are Ellen Hunt, Chief Ethics & Compliance Officer and Chief Audit Executive at AARP and Walter Johnson, Assistant Privacy Officer at Inova Health System.  As they explain in this podcast being a strong compliance professional requires emotional intelligence, the ability to build relationships, create change, negotiate and provide value to an organization.  All of these skills are transferable to other positions at well.

As they selected sessions for the track they worked to balance out training in these areas and help foster the mental agility so important to success.  Here are some of the sessions:

* Clear, Concise, and Captivating – Tips on How to Communicate with the C-Suite and Board of Directors

* Considering Consulting or Starting Your Own Compliance Business? What to do NOW to Prepare for Success

* The 7 Habits of an Effective Compliance & Ethics Professional

Listen in as they preview some of the sessions and share their efforts to improve their own professional skills.

Post By: Adam Turteltaub

The amount of data collected by organizations has skyrocketed over the last two days and with it, notes Dean Gonsowski, Chief Revenue Officer at Active Navigation, has come a change in the equation. Instead of creating more value, more data is creating more risk.

In this podcast he encourages companies to change from a collect all you can mode to one in which organizations start by asking “Why are we collecting this data?”

The next questions to ask: what data do we already have and where is it stored? Too often, he explains, data is stored in unstructured formats such as in file sharing sites and shared drives. That makes data difficult to track and easy to go astray.

It’s time, he argues, to starting thinking about purposeful, intentional and minimal collection of data. Then, for the data you have, audit and monitor to make sure that the data is being collected, housed and used properly.

Post By: Adam Turteltaub

NOTE: This podcast was recorded prior to the conversion of the Compliance & Ethics Institute to a virtual program. Some of the sessions and their tracks may have changed.  Be sure to visit the website to see the latest agenda.

When Lisa Gross, Ethics Senior Manger at Lockheed Martin and Art Weiss, Chief Ethics and Compliance Officer at Tamko Building Products set to work as co-chairs of the Ethics Track for the 2020 Compliance & Ethics institute, their objective was both simple and ambitious:  to select a broad selection of topics that would cover the issues that are pressing today and the needs across the spectrum of compliance and ethics professionals.

Looking at the agenda, you can see that they succeeded. They also ended up demonstrating that the core of ethics management is largely the same, whether in stable times when they set the agenda, or the more troubling present. As they explain in this podcast, the organization’s values must stay the same and serve as the foundation for decisions and actions. That’s especially true these days when so much is unstable and businesspeople are learning new ways to work together.

No matter the change, though, compliance professionals and business leaders have to keep watch on the corporate culture. Here, too, the values are essential, but, also, practical matters are important, such as ensuring that lines of communication are open and accessible.

Listen in to gain more of their insights and a preview of what to expect on the Ethics Track at the 2020 Compliance & Ethics Institute.

Post By: Adam Turteltaub

Jordan Goldrich works with bullies for a living. He is an executive coach and author of Workplace Warrior: People Skills for the No-BS Executive, which is available for free on his website.

As an executive coach, he’s come to know many people with a reputation as a bully, and leverages his own past where he was also perceived as being too aggressive. His take on workplace bullies, not surprisingly is different, seeing them as warriors who have to be taught a different way of working.

In this podcast he argues that bullies don’t want to hurt people. They should be seen, he believes, as people who have an uncommon desire to succeed and, due to a variety of factors, including cultural and familial ones, do so in ways that many find abrasive at the least and well over the line at most.

So, what should you do when encountering a bully? For one, not shy away from the issue.  Instead, you need to be direct, describe their behavior and the impact of it, including the potential liabilities it is creating.

Listen in to learn more about how to confront and work for bullies, and what to do if you are one yourself.

Post By: Adam Turteltaub

NOTE: This podcast was recorded prior to the conversion of the Compliance & Ethics Institute to a virtual program. Some of the sessions and their tracks may have changed.  Be sure to visit the website to see the latest agenda.

The only thing better than a good compliance case study is eighteen of them, and that’s what you’ll find at the 2020 Compliance & Ethics Institute, taking place September 14-16.

Compliance veterans Marjorie Doyle and Louis Perold served as co-chairs of the track, and, as they explain in the podcast, sought to find cases that covered all seven elements of an effective compliance program.  They also looked for presentations that had rich stories to tell, including what worked and what didn’t.  In addition, they sought to balance the cases among topics that were suitable for beginning, intermediate or advanced compliance professionals.

Listen in to learn more about the sessions and also benefit from their insights into compliance programs and how to navigate the current challenges.

Post By: Adam Turteltaub

NOTE: This podcast was recorded prior to the conversion of the Compliance & Ethics Institute to a virtual program. Some of the sessions and their tracks may have changed.  Be sure to visit the website to see the latest agenda.

In 2020 the SCCE will again be proud to offer the Compliance Law track at the Compliance & Ethics Institute. The meeting will take place September 14-16.

Rebecca Walker (Partner at Kaplan & Walker) and Kasey Ingram (General Counsel and Chief Compliance Officer at ISK Americas, Inc.) served as co-chairs of the track and explain in this podcast that what animated the session selection process was an understanding that law and compliance are exceedingly intertwined. They sought to select the best sessions for increasing expertise in the laws that impact organizations and their compliance programs.

The track includes sessions addressing a wide range of legal issues and, it will do so from a practical rather than a strictly legalistic perspective. No J.D. required.

Listen in to learn more about the issues and what to expect at the Compliance Law track at the 2020 Compliance & Ethics Institute.

Post By: Adam Turteltaub

Internal investigations rarely proceed on a straight line. There are twists and turns, and sometimes a need for a switch, or even two. First, from an in-house investigation to one conducted using an outside resource. And, at times, there may be a need to even switch outside investigators.

Scott Moritz, Senior Managing Director at FTI Consulting, explains in this podcast what to consider when making a transition. He discusses when the time is right to bring in an outside firm, or maybe switch the firm you are using.

He also provides insight into what it takes to get an outside investigative firm up to speed. That includes not just a recap of the facts on hand. Corporate cultural factors and internal policies are important to share as well to ensure that the investigation flows smoothly and doesn’t cause problems of its own.

In addition, it is critical, as always, to be mindful of the impact an investigation can have on productivity and morale.

Listen in to learn more about how to make your investigation transitions as smooth as possible.

Post By: Adam Turteltaub

The Court of Justice of the European Union (CJEU) sent shockwaves through the privacy community last week. As Jonathan Armstrong of Cordery explains in this podcast, it put an effective end to the Privacy Shield because of concerns about US government surveillance. As a result, what had been an essential element of compliant data transfers between the US and EU is no more.

Organizations relying on Privacy Shield must now look to standard contractual clauses and other measures for moving data. They may even want to revisit whether there are ways to work without transferring data outside of the EU at all.

Listen in as we discuss these issues and others including developing consistent messaging for the staff, privacy due diligence of vendors, what impact the CJEU’s decision may have on a post-Brexit UK, and the possibility of dawn raids.

Post By: Adam Turteltaub

Why do people find it hard to come forward when they see behavior that is clearly wrong?  According to Catherine Sanderson, the Poler Family Professor and Chair of Psychology at Amherst College, it gets down to fundamental psychological principles. People are wired to worry about the personal consequences of their actions. In addition, when we are in a group setting we are less likely to come forward because if we see others not react we tend to think that there may not be a problem.

Another challenge: we often make the wrong assumption about what other people are thinking. For example, remember back when you were in college and a professor asked if you had any questions? You were confused, had a question, but no one else was raising their hand and you thought, “Gee, I must be the only one who is confused.” It doesn’t dawn on us that others in the class also might be afraid to show how confused they are, too.

In this podcast, Professor Sanderson, who is the author of Why We Act: Turning Bystanders into Moral Rebels and will be speaking at the SCCE 2020 Compliance & Ethics Institute, explains the psychological factors that can inhibit or encourage people to speak up. She addresses the personality traits of people who are more likely to be “moral rebels”: individuals willing to point out moral failures and respond to bad behavior when others won’t. She also explains what can be done to encourage more people to come forward. Fortunately, there are skills and strategies that can inspire our inner moral rebels.

Listen in to learn more about why we need moral rebels and how to foster them in your organization. Then plan on gaining additional insights from her at the virtual Compliance & Ethics Institute.

Post By: Adam Turteltaub

DHL Supply Chain is, as you would expect, a large and geographically dispersed organization, and so too is its compliance team. As Bruno Drummond, Global Compliance Director reports, they were set up with a relatively small group at HQ, with most compliance officers aligned on a regional or country basis.

In 2018, the compliance team decided to try a different approach by setting up a center of excellence. The idea was to build a back-office team that would enable efficiencies and help manage central processes, providing a hub to serve all the spokes around the globe.

In this podcast Bruno shares how the center of excellence was created as well as the considerable benefits it provided, including:

* Increased efficiency

* Standardization of processes

* An improved risk assessment process

* Better reporting and analytics

* Enhanced tools to serve both the compliance team and the workforce

Listen in to learn more about this intriguing approach, as well as their plans for taking it to the next level.