Great Women in Compliance

This episode is a rare opportunity for #teamgwic to catch up in person at one of the key Ethics & Compliance events, the SCCE Compliance & Ethics Institute (CEI). CEI was in Grapevine, Texas, and, as usual, was a great experience.

In this episode, Lisa, Hemma, Ellen and Sarah discussed their highlights from the event. The first keynote was from Principal Deputy Assistant Attorney General Nicole M. Argentieri, who announced revisions to the Evaluation of Corporate Compliance Programs, and the group touches on this and the significance of the changes and having them announced at SCCE. There will be much more to come on this topic. Each of the women discusses their favorite panels and some of the key takeaways they had, including discussions of DEI, controls, and how to work with Boards, as a few examples. They also sent their well-wishes to Nick Gallo, who was missed but, more importantly, is on the road to recovery.

One of the best parts of the conference is the opportunity to network and share best practices, and the whole group thought this year’s exhibit hall, and the format of the conference with longer breaks, allowed people to make great connections and have some in-depth discussions that don’t always happen when you are moving so quickly to not make a panel or event. And the second morning keynote from Matt Friedman discussing his work in fighting human trafficking and modern slavery was moving and inspirational, a reminder of the importance of what we do every day with our due diligence and knowing our customers.

All in all, it was a great week of connections, learning and providing so much optimism for the contributions that ethics and compliance professionals make, and to connect (or reconnect) with the amazing people in our community. If you were not able to attend, the team hopes this gives you a sense of the event.

#GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards. This is a people’s choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting closes October 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164

Resources:

Join the Great Women in Compliance community on LinkedIn here.

The recent Boeing plea agreement has led to many discussions about the role of victims in negotiated settlements, and today we have one of the top academic experts on the SEC and financial securities regulation, Karen Woody. Karen is an associate professor at Washington & Lee School of Law. Karen and Lisa discuss why the Boeing case is a good example of who the victims are because the victims suffered a tragedy. However, many other white-collar cases (we hope) are not as clear - especially in the FCPA bribery context, and what avenues of relief that others have, particularly in the international context. 

Lisa and Karen also follow on the prior episode's discussion of internal controls, particularly in light of the Solarwinds case. They talk about whether internal controls are the appropriate way for the SEC to pursue certain claims, such as cybersecurity or in a bribery case, and whether they should be limited to accounting provisions and whether other controls would be more appropriate, and if they don't exist, should they?

Karen also shares her journey into academia and gives some practical tips for those who are interested in teaching and how to be resilient when one hits roadblocks.#GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards.  This is a people’s choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164

Resources

Join the Great Women in Compliance community on LinkedIn here.

We emphasize the importance of "understanding the business," in Ethics & Compliance, which is absolutely critical to our success. One of the topics we discuss less frequently is how to work with other control functions, one of which is internal controls.  Lisa is speaking about this topic at the SCCE CEI with Matt Kelly from Radical Compliance. In advance of the conference, Lisa and Ellen Hunt co-hosted a roundtable discussion with Matt Kelly from Radical Compliance, and Sarah Lawrence, Sr. Director of Internal Controls at Pearson. 

In this episode, they discuss the history and purpose of internal controls and SOX, how they evolved and how they work today. In particular, they focus on what is financial materiality vs what E&C sees as areas for controls.

The whole group agreed that open lines of communication and coordination are fundamental to both of these control functions working together, and Sarah and Lisa discuss how they have built a collaborative relationship so that both the finance and compliance sides understand each other's objectives and keep an open line to the benefit of both functions.

#GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards.  This is a people’s choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164

Resources

Join the Great Women in Compliance community on LinkedIn here.

In this episode of Great Women in Compliance, Hemma and Sarah visit with Roxanne Petraeus and Susan Frank Divers to talk about intentionally building a “Listen Up” culture. Tune in to hear the powerful origin stories of two great women in compliance who have been moved to drive significant impact in this space, from enterprising business solutions, to innovative learning and development strategies, to thoughtful approaches to measuring culture and employee sentiment as a measure of success.

Highlights include the ways in which listening builds trust, how to measure impact, not activity, how to achieve integrated risk management, how to design your employee training with employee experience and employee sentiment in mind, and despite our aspirational claims to be building a strong speak up culture, how our employees will always be the actual arbiter of our success.

You can learn more about Roxanne and Susan’s work at www.ethena.com.

Biographies:

Roxanne Petraeus is the CEO and Co-Founder of Ethena, a compliance training platform startup with intuitive and powerful admin tools that make required training easy, engaging, and effective.

Roxanne previously consulted for McKinsey, and before that, she was an officer in the US Army. She found that no matter the setting, whether consulting or in the military, there remained an opportunity to make compliance training better. She started Ethena in 2019 with Co-Founder Anne Solmssen.

Ethena enjoys incredibly positive word of mouth within the HR community, and is trusted by thousands of companies like Figma, Notion, Noom, Pinterest, and Carta to provide actionable training. And the employees love it: Ethena has a 93% positive rating, and over 2M positive reviews. Roxanne is a natural leader, and her eagerness to question and reinvent old paradigms is at the heart of Ethena’s ascendance.

Susan Frank Divers serves as an advisor to Ethena, Inc., an all-in-one compliance training platform that helps companies create more ethical and inclusive work cultures. Prior to joining Ethena, she was the director of thought leadership and best practices for LRN Corporation for seven years.

She has 30+ years’ accomplishments and experience in the ethics and compliance arena. This expertise includes building state-of-the-art compliance and training programs, designing user-friendly means of engaging and informing employees, fostering an embedded culture of compliance, and sharing substantial subject matter expertise in anti-corruption, export controls, sanctions, and other key areas of compliance.

Prior to joining LRN, Ms. Divers served as AECOM’s Assistant General for Global Ethics & Compliance and Chief Ethics & Compliance Officer. Under her leadership, AECOM’s ethics and compliance program garnered six external awards in recognition of its effectiveness and Ms. Divers’ thought leadership in the ethics field. In 2011, Ms. Divers received the AECOM CEO Award of Excellence, which recognized her work in advancing the company’s ethics and compliance program.

#GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards.  This is a people’s choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164

Resources:

Join the Great Women in Compliance community on LinkedIn here.

In this Great Women in Compliance episode, Hemma visits Andrea Goulet, host of the Empathy in Tech podcast and one of the industry’s foremost experts on software team communication and collaboration. Andrea has developed a practical framework for teaching empathy as a technical skill for machines and humans through that work.

Highlights include a research-backed exploration into empathy as a technical skill, not just a psychic ability. Andrea reminds us that the most important first step for empathy is a pause and reappraisal, and she invites us to mirror the process by which we communicate through software: Collect, Connect, Communicate. In this way, she explains that every domain has a technical and human element. Given that empathy drives decision-making, Andrea shows how empathy, as a technical skill, is inextricably linked to ethical decision-making.

About Andrea:

Andrea Goulet is one of the software industry’s foremost experts on software team communication and collaboration. She has delivered keynotes and training worldwide and empowered over 75,000 people to create better software by approaching empathy as a technical skill.

Andrea served as the Co-Founder and CEO of Corgibytes, a software consultancy specializing in modernizing mission-critical software systems for over a decade. Her approach of using empathy to maintain healthy software systems and corporate culture has had an industry-wide impact. In 2017, LinkedIn named her one of the Top 10 People in Software Under 35, and her work has been featured in prominent industry publications.

Andrea is currently working on her first book, Empathy-Driven Software Development, through Pearson Publishing. She is the founder of the online community and podcast Empathy in Tech.

#GWIC is proud to announce that it has been nominated for the Women in Podcast Awards.  This is a people’s choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164

Resources:

Join the Great Women in Compliance community on LinkedIn here.

In this Great Women in Compliance episode, Hemma visits Andrea Goulet, host of the Empathy in Tech podcast and one of the industry’s foremost experts on software team communication and collaboration. Andrea has developed a practical framework for teaching empathy as a technical skill for machines and humans through that work.

Highlights include a research-backed exploration into empathy as a technical skill, not just a psychic ability. Andrea reminds us that the most important first step for empathy is a pause and reappraisal, and she invites us to mirror the process by which we communicate through software: Collect, Connect, Communicate. In this way, she explains that every domain has a technical and human element. Given that empathy drives decision-making, Andrea shows how empathy, as a technical skill, is inextricably linked to ethical decision-making.

About Andrea:

Andrea Goulet is one of the software industry’s foremost experts on software team communication and collaboration. She has delivered keynotes and training worldwide and empowered over 75,000 people to create better software by approaching empathy as a technical skill.

Andrea served as the Co-Founder and CEO of Corgibytes, a software consultancy specializing in modernizing mission-critical software systems for over a decade. Her approach of using empathy to maintain healthy software systems and corporate culture has had an industry-wide impact. In 2017, LinkedIn named her one of the Top 10 People in Software Under 35, and her work has been featured in prominent industry publications.

Andrea is currently working on her first book, Empathy-Driven Software Development, through Pearson Publishing. She is the founder of the online community and podcast Empathy in Tech.

#GWIC is proud to announce that it has been nominated for the Women in Podcast Awards.  This is a people’s choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164

Resources:

Join the Great Women in Compliance community on LinkedIn here.

In this Great Women in Compliance episode, Hemma Lomax interviews Shruti Shah, a Senior Policy Advisor for Anti-Corruption in the Office of the Coordinator on Global Anti-Corruption at the U.S. Department of State. Shruti and Hemma explore how the US government builds partnerships with the private sector and civil society globally to implement the US Strategy on Countering Corruption.

Highlights include personal stories about the unstoppable power of informed and passionate individuals, the acknowledgment that corporate executives working in compliance are part of a global community, and the recognition that persistence pays off. Learn more about the benefits of a public-private partnership and collaboration, including some key initiatives run by the Department of State, USAID, and several multilateral organizations, and discover how you can learn more or get involved. Shruti is a beacon of inspiration who reminds us all to take pride in the part we can play in a movement toward eradicating global corruption.

Key Resources mentioned in the episode:

About Shruti:

Shruti is a Senior Policy Advisor for Anti-Corruption in the Office of the Coordinator on Global Anti-Corruption at the U.S. Department of State. In this role, she plays a key role in implementing the U.S. Strategy on Countering Corruption, helping to integrate anti-corruption measures into U.S. foreign policy and global engagement. She also coordinates initiatives to build partnerships with the private sector and civil society, enhancing collaborative efforts to combat corruption on a global scale. As a representative of the State Department, Ms. Shah frequently speaks at international conferences focused on anti-corruption, ethics, and integrity, promoting U.S. Government objectives and fostering global collaboration

#GWIC is proud to announce that it has been nominated for the #WomenInPodcastAwards. This is a people’s choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164

Resources

Join the Great Women in Compliance community on LinkedIn here.

🎙 📣 🎙 It’s #GWIC Roundtable Wednesday, and Lisa Fine & Ellen Hunt are talking with two experts, Diana Kelley and Gwen Hassan, about putting AI to Use for Ethics & Compliance Teams.

Tune in to learn about:

Listen now at Corporate Compliance Insights at https://lnkd.in/d9VGcfw or wherever you hear podcasts.

If you are using AI in your Ethics & Compliance function in a way we didn’t mention, please tell us in the comments.

#GWIC is proud to announce that it has been nominated for the #WomenInPodcastAwards. This is a people’s choice award, and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164

#EthicalLeadership #AI #Ethics #Compliance #WomenLeaders #WomenPodcasts

In today’s episode, Lisa Fine speaks with Jane Norberg, a partner at Arnold & Porter. Jane is also the former Chief of the Office of the Whistleblower at the SEC, and she is one of the people who built that office into what it is today, both as Chief and before that, Deputy Chief. She is one of the leading voices on the whistleblower process, and an advisor to organizations in building best practices for organizations to address concerns.

In March, Deputy Attorney General Lisa Monaco announced a pilot program to compensate whistleblowers who report “significant corporate or financial misconduct” of which the DOJ was not aware. Jane talks about the SEC program and how it has succeeded. She also explains the similarities and differences between the not-yet-enacted DOJ program and the SEC program. Jane provides her perspective and insight as to why she thinks there is a delay from the DOJ as the initial 90 days have passed and how funding, staffing and other factors may contribute.

Jane and Lisa also discuss the SEC reporting process, how tips come in globally from over 100 countries, and the importance of the Whistleblower program to deter and stop wrongdoing. This goes along with the statistics that indicate that 80% of whistleblowers raise concerns internally, most frequently to the person’s manager most often go to management, not to the Ethics and Compliance teams or the helplines. To that end, Jane provides practical advice to make sure that E&C teams are providing the right training for managers to identify issues and raise them appropriately.

Supporting ethical decision-making is critical for every organization, but providing training to those who may hear concerns is a key component of that. While practitioners think about this for company culture, Jane provides insight on the larger picture of how our internal work is related to the larger scope of whistleblower reporting.

Topics Include:

Resources

Join the Great Women in Compliance community on LinkedIn here.

While marketing professionals typically operate “behind the curtain,” Amy Hanan is taking center stage these days. As a chief marketing officer for LRN, she’s recently been a keynote speaker at a headline session for a major compliance event and is traveling the globe leading roundtables that connect top compliance & ethics professionals with the latest research trends. Hanan’s career path has included the Associated Press (when the internet was in its infancy), along with B2B and legal marketing positions when marketing automation technology was brand new. Honing her professional skills – and her people skills – along the way, Hanan has blazed a trail in a niche where her passion for compliance and ethics serves her well. Listen in as she talks about the things she’s learned along the way. 

Highlights:

·      How raising your hand can change the trajectory of your career

·      The value of “relentless curiosity” in both life and work 

·      Curating a leadership style

·      Learning from mistakes – and the power of exercise, tea & fuzzy socks

Resources

Join the Great Women in Compliance community on LinkedIn here.