Trekking Through Compliance

In this episode of Trekking Through Compliance, we consider the episode The Trouble with Tribbles which aired on December 29, 1967, Star Date 4523.3.

Compliance Takeaways:

What is the financial health of your suppliers?What happens when management controls are too siloed?Are you engaging in social media monitoring?

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Compliance Takeaways:

Does your Board engage in active oversight of your compliance function?Do you perform due diligence on potential senior management hires?What should be the length of a suspension?

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In this episode of Trekking Through Compliance, we consider the episode Obsession which aired on December 15, 1967, Star Date 3619.2.

Compliance Takeaways:

Sometimes a CCO must make a stand and speak truth to power.How is a root cause analysis different than an investigation?Why you should train for crisis management.

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In this episode of Trekking Through Compliance, we consider the episode The Deadly Years which aired on December 8, 1967, Star Date 3478.2.

Compliance Takeaways:Just because research is discontinued does not mean it is invalid.Training-Why was Chekov’s reaction like that of a schoolboy?How do you show the quality, ability and competence of your compliance team?

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In this episode of Trekking Through Compliance, we consider the episode Friday’s Child which aired on December 1, 1967, Star Date 3497.2.

Compliance Takeaways:1.     The three C’s of leadership.2.     How do you react when the leader goes off the deep end?3.     Train your employees what to do when faced with a bribe demand. 

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In this episode of Trekking Through Compliance, we consider the episode Journey to Babel which aired on November 20, 1967, Star Date 3842.3. 

Compliance Takeaways:

HR is key ally of the compliance function.Dynamic tensions between employees must be resolved.Be careful in freewheeling banter.

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In this episode of Trekking Through Compliance, we consider the episode Metamorphosis which aired on November 13, 1967, Star Date 4513.3.

Compliance Takeaways:

As a CCO you may have a lawyer background but you must act as a compliance professional.Prejudice has no place in today’s corporate cultureHow do you evaluate your senior leadership from the business perspective?

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In this episode of Trekking Through Compliance, we consider the episode I, Mudd which aired on November 13, 1967, Star Date 4513.3.

Compliance Takeaways:

Why continuous monitoring is a mandatory part of any compliance program.Will AI take over compliance? (Answer: No)As a CCO, you are only limited by your imagination.

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In this episode of Trekking Through Compliance, we consider the episode Catspaw which aired on October 27, 1967, Star Date 3018.2.

Compliance Takeaways:

Why ego is part of Jonathan Mark’s Fraud Pentagon.Fraudsters need a dupe and the term ‘Catspaw’ describes a person who is used as a dupe.How much can you do with the tools you have at hand?

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In this episode of Trekking Through Compliance, we consider the episode The Doomsday Machine which aired on October 20, 1967, Star Date 4202.9.

Compliance Takeaways:

How do you terminate a third party?How do you evaluate your risk assessment?How does your organization respond to findings in an investigation?

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