Compliance Perspectives show

Compliance Perspectives

Summary: Podcast featuring the top Compliance and Ethics thought leaders from around the globe. The Society of Corporate Compliance and Ethics and the Health Care Compliance Association will keep you up to date on enforcement trends, current events, and best practices in the compliance and ethics arena. To submit ideas and questions, please email: service@corporatecompliance.org

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  • Artist: SCCE
  • Copyright: Society of Corporate Compliance & Ethics

Podcasts:

 Patrick Kelley on Creating a Compliance Program and the Special Challenges in Governmental Entities [Podcast] | File Type: audio/mpeg | Duration: 15:31

By Adam Turteltaub adam.turteltaub@corporatecompliance.org In 2007 the Federal Bureau of Investigation embarked on the formation of its compliance program.  It was a first for the FBI and, at the time, one of the few compliance programs in the entire Federal Government. Patrick W. Kelley was selected to serve as Chief Compliance Officer in the brand new Office of Integrity and Compliance, and it fell to him to turn the vision into a reality.  Over the last decade the program has matured and grown very sophisticated.  Members of the FBI compliance team have now become regular attendees and speakers at SCCE events, sharing their considerable expertise. In this podcast Pat shares what he learned from the program’s launch and the lessons for compliance professionals in both government and the private sector.  Listen in to discover: * How the challenges of starting a compliance program at a governmental entity are often similar to those at a private sector company: where are you going to get staff, what’s the infrastructure look like, what the org chart look like, for example * There is added complexity in the Federal government since, depending on how the compliance office is set up, Congress may need to be notified * In governmental entities even a new program already likely has some elements already in place such as a written code of individual conduct * While this is an asset, part of the challenge for a new program is determining how to integrate existing elements into a true compliance program * The importance of top management support * The need to get the general counsel’s office on board given that in government entities often they control the standards of conduct and ethics program * Getting the infrastructure offices on board, especially finance, facilities and HR * The important role played by the executives who manage the “business lines” of the agency * Where the compliance office is put physically in the office can speak volumes and allows for greater informal interactions with leadership * The difference in the roles of the Inspector General and the Compliance team * How the FBI rolled out its program * The importance of patience and the need to expect things to go slower than you might like * Not being too wedded to a plan and being willing to revise when absolutely necessary

 Meet Gerry Zack, Incoming CEO of The Society of Corporate Compliance and Ethics & Health Care Compliance Association [Podcast] | File Type: audio/mpeg | Duration: 15:23

By Adam Turteltaub adam.turteltaub@corporatecompliance.org On October 16, 2017 at the Compliance & Ethics Institute, Roy Snell, the CEO of the SCCE & HCCA, announced that the association’s Board of Directors had selected Gerry Zack as the incoming CEO.  He will take command of the association upon Roy’s retirement in 2019. Gerry was selected after an extensive selection process that began with a 60-day period soliciting applications through the SCCE and HCCA websites.  Multiple rounds of interviews by members of the board’s succession committee then followed, ultimately leading to his selection as the next CEO. Gerry has been Managing Director – Global Forensics at BDO for 3 years and CEO of Zack P.C. for 24 years.  He has over 30 years of experience in the prevention, detection, investigation and remediation of fraud, corruption, and noncompliance. He has served on multiple non-profit and for-profit boards. His Association background includes 11 years as Academy Faculty for and serving as a Board of Regents member at the Association of Certified Fraud Examiners.  He has also held positions as the Chief Operating and the Compliance Officer at the Optical Society, a global organization that is more than 100 years old. Gerry has been a loyal SCCE member since 2009 and even attended an SCCE Basic Compliance & Ethics Academy. In this podcast, Gerry shares his experiences with SCCE, what led him to apply for the position as well as his extensive background in compliance and with professional associations.  He also shares how the transition process will proceed over the next year and a half, and his eagerness to further the work of the SCCE and HCCA.

 Eric Havian on Whistleblowers: Perspectives of a Qui Tam Attorney [Podcast] | File Type: audio/mpeg | Duration: 10:52

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Why do employees go outside the company to blow the whistle?  Are they in it for the money?  Out for revenge?  Or, did someone just not listen to them? Eric Havian, partner in the San Francisco office of Constantine Cannon, offers his perspective based on years of qui tam cases.  In this podcast he discusses: * The impact of the SEC program on the number of whistleblowers * Why the SEC whistleblower program is leading more people to come forward * The increased belief by whistleblowers that their identity will be protected and they will not be retaliated against * Money is rarely the motivating factor for blowing the whistle * Frustration is much more of a factor: the employee has seen and reported something wrong, but no one has acted, they believe * Thinking of whistleblowers as people who can’t do the wrong thing or walk away when they see something wrong * Whistleblowers typically exhaust internal mechanisms before going to outside counsel * Staying inside the company is largely driven by which compliance programs are trusted and which aren’t * Why people are resistant to being told that they are doing something wrong or illegal * The criticality of protecting employees from retaliation.

 Caroline McMichen on Making Compliance a Part of How the Company Does Business [Podcast] | File Type: audio/mpeg | Duration: 10:19

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Take a look at the Molson Coors compliance program, and you quickly notice that there is something special about it:  from start to finish it is integrated with the way and language of how the company does business. The company, as part of business conversations, talks about its brew, which is not surprising given that it’s in the beer business.  But it may be surprising to see that the compliance and ethics program is about “living our brew.”  Listen in as Caroline McMichen, Vice President of Global Ethics and Compliance at Molson Coors, discuss how the compliance team worked to integrate corporate values and compliance with a broader corporate strategic approach. You’ll hear how the compliance team used common values to join together behind the overall vision for the company.  This included keeping common language and graphics front and center throughout, as well as tying into the corporate branding for compliance, instead of having their own. She also discusses the role of compliance in the company’s performance process, and the importance of making compliance messages a part of how employees work together as one company, not just a set of internally imposed requirements. The net result is a workforce that is much more likely to see being compliant as possessing a skill that helps them in their work. It’s worth a listen, with or without a beer.

 Al Gagne on Responding to an Initial Incident Report [Podcast] | File Type: audio/mpeg | Duration: 11:48

By Adam Turteltaub adam.turteltaub@corporatecompliance.org Internal investigations are always a hot topic, and this year they were the subject of a two-day, dedicated SCCE conference.  Al Gagne, the former Director of Ethics and Compliance of Textron Systems Corporation formed half of the pair of presenters that led the program. In this podcast, Al shares his insights into how to handle the initial report of potential wrongdoing.   Handle it well, and the investigation begins on the right foot.  Handle it poorly, and the risks of missing something are significant. Listen to Al as he shares advice on: * How to handle the initial report in general * Obtaining in the reporter’s own words and as descriptively as possible their concern about the alleged misconduct they report * The importance of finding out whether the reporter was a witness or heard about the alleged incident second hand * Assessing the credibility of the report * The importance of knowing how recently the action occurred * Determining if there were there other witnesses * The desirability of having the reporter give his or her name * What you should and shouldn’t promise the person making the report * Understanding what the reporter wants, which is typically to have the misconduct stop * How to discuss possible retaliation * Keeping the reporter in the loop, and the advantage of being able to ask more questions of the reporter later * The importance of advising the reporter not to share that they reported the incident with others * Keeping control of the investigation * The value of bringing in other internal experts and teams (internal audit and HR) judiciously * Letting management know that an investigation is pending * The risk of over-communicating the extent of an investigation * Avoiding unnecessary harm

 Terence Stechysin on the Canadian Competition Bureau [Podcast] | File Type: audio/mpeg | Duration: 10:09

By Adam Turteltaub adam.turteltaub@corporatecompliance.org At the 2017 SCCE Washington, DC regional meeting we were fortunate to be joined by Terence Stechysin, the Acting Director of Compliance of the Canadian Competition Bureau.  In a podcast recorded there, Terry provides a good reminder that when thinking internationally, US compliance officers need to remember that, as close as Canada is, it does have its own regulations and regulators. In this podcast Terry explains: * What the role of the Competition Bureau of Canada is * Its similarity in role to the US FTC and the DOJ’s Antitrust Division and even state Attorney Generals offices * Their commitment to innovation and competition * The importance of focusing on business behavior, especially with partners, suppliers, and competitors * The need to be aware that, when engaging in a business relationship, the organization needs to be aware of competition law * Common problems such as agreeing to set prices, and who will bid on each contract * The risks of trade association meetings * The Competition Bureau’s guidelines on compliance programs, which are available here * The importance of “shared compliance” — business, government and law firms working together * The Bureau’s outreach to the community, including at the incubator stage. Listen in to get better prepared to meet anti-competition challenges in Canada.

 Marsha Ershaghi Hames on Adult Learning and the Role of Leadership in Organizational Culture [Podcast] | File Type: audio/mpeg | Duration: 13:49

Marsha Ershaghi Hames is the Managing Director for strategy and Development at compliance solution provider LRN.  She also holds a Doctorate in Education Technology.  She earned her Ph.D. studying the role leaders play in enabling organizational culture. It’s an important field of study.  Tone at the top is something that compliance professionals discuss, but it’s about much more than compliance.  Culture permeates an organization in countless ways, and leadership very much drives that culture. In this podcast, Marsha covers a large swatch of cultural and training ground including: * Taking the time to understand the audience before training * The importance of thinking about core priorities in terms of risks and themes for training * Designing a curriculum based on your desired outcomes * The importance of reminder messages * The risks of too many reminders * Thinking about a cadence to your training strategy: how frequently you train over the next 18 months or so, and the arrangement of longer and shorter messages * How leaders can more effectively support training * The importance of leaders being in alignment with the training and modeling the right behavior * How leaders can help by discussing the nexus between the organization’s values and actions * Hallmarks of how behavior change happens * The importance of middle managers in affecting behavioral change * Motivating rank and file employees around learning

 Brandon Spooner on Compliance in Brazil [Podcast] | File Type: audio/mpeg | Duration: 10:30

When compliance professionals think of Brazil, they tend to focus, rightly, on the corruption challenge.  Many may miss the fact, thought that it is also a very large economy, in fact it is one of the world’s ten largest. In addition, the country has a very sophisticated business community and a substantial investment in compliance.  So much so that it is the SCCE’s second largest country by membership. At the 2017 SCCE Basic Compliance and Ethics Academy in Sao Paulo I wat down with Brandon Spooner, the founder of Spooners Consulting to discuss the challenges.  In this conversation he shares his insights on a wide range of topics: * How far from hopeless the corruption is in Brazil * The challenges of cross-border compliance * The scope of the Brazil Clean Companies Act * The challenges of multiple enforcement authorities within Brazil * The need to fully understand the culture before diving in, including the importance of personal connections [clickToTweet tweet=”Brandon Spooner on Compliance in Brazil [Podcast]” quote=”Brandon Spooner on Compliance in Brazil [Podcast]” theme=”style3″]

 Bruce Anderson on Working with A Geographically Dispersed Compliance Team [Podcast] | File Type: audio/mpeg | Duration: 11:57

We’re all familiar with the challenges of a distributed workforce, but there are challenges, too, with a distributed compliance team.  It can be difficult working with colleagues who are hundreds, if not thousands, of miles away.  How do you work together as a team?  How do you know if your colleague is truly on board, or just saying yes to get off the phone?  And how do you ensure everyone understands their responsibilities? Bruce Anderson, Plan Compliance Officer from Anthem, shares what he’s learned leading a compliance team that is spread out across California.  Learn from him as he discusses: * Effective techniques for recapping what is agreed to * How to communicate effectively * How to encourage others to communicate with you * Making video conferencing work, and * Etiquette for working with colleagues in very different time zones

 Stephen Paskoff on Civility in the Workplace [Podcast] | File Type: audio/mpeg | Duration: 11:27

Civility in the workplace is something most, but not all, would agree makes for a better work environment.  But, what about the impact on compliance? In his book Civility Rules, long-time labor and employment attorney Stephen Paskoff, who is a former trial attorney for the EEOC, argues that civility plays a critical role in ensuring ethical, compliant behavior. He observes, “The path from the merely disruptive to outright abusive behaviors is a well-traveled route to illegal actions.” In this podcast Stephen discusses: * The dangers of incivility * Watching for incident reports that may not be uncovering illegality but are nonetheless troubling * The impact of incivility on business * The importance (and surprising ease) of making the business case for better behavior * The role of leadership in affecting behavior * Tone at the top * Tying behaviors to values, and * The importance of candor

 Debbie Troklus on Preparing for the Certification Exams [Podcast] | File Type: audio/mpeg | Duration: 4:26

Few things provoke more stress in the compliance and ethics community than preparing for one of the certification exams:  CHC, CCEP, CCEP-I, CHRC, CHPC.  Even those attending the Academies are fearful, often unduly. For some it’s just the challenge and fear of taking their first test, other than for a driver’s license renewal, in years.  For others it’s the question of how to be prepare for the exam. To help solve the latter problem we turned to, Debbie Troklus, President of the Compliance Certification Board.  Debbie leads the SCCE and HCCA Academies, and, in addition, works as Managing Director of Aegis Compliance and Ethics Center. In this podcast Debbie explains what the certification exams cover and what they don’t.  Critically, the focus of the exams is on practical experience and application in given scenarios.  It is not about memorizing nuances of specific laws.  Instead the focus is on the concepts of compliance and the seven elements of an effective program.  As a result, the best preparation is experience working in compliance. She also provides insight into the value of attending an SCCE or HCCA Academy and reading the book Compliance 101 as well as reviewing the content outlines for each exam.  By spending time with the outline, candidates can have a better sense of both what is covered by the test as well as areas where they may be stronger or weaker. Finally, she discusses the benefits and pitfalls of creating or joining a study group. Listen in.  It won’t guarantee that you will pass the exam, but it may make preparing for it a little less stressful.

 Jason Lunday on Compliance Training and Leadership [Podcast] | File Type: audio/mpeg | Duration: 13:12

Most of the discussion around getting people to complete their compliance training focuses on the rank and file employee.  Yet, getting management to complete the training, and making it relevant for them is an equally important challenge. Without management on board, it’s hard to gain their support for the compliance program, and, at the same time, the management team may have very different training needs. In this podcast Jason Lunday, Vice President of Product Development, Advisory Services at Syntrio provides insights in how your training can better serve the needs of leadership, and gain their support for workforce training.  Jason addresses: * Making the most of your time with leadership * Communicating effectively the value that comes from compliance training * The pain that comes from not being properly trained and lacking essential compliance skills * Discussing compliance from the perspective of its effect on strategy * The importance of making sure that leaders understand their role in influencing employees * Determining the best method for training * Challenging perspectives, and * Avoiding the mistakes that can turn off leadership.

 Ronnie Feldman on Training, Communications, Humor and Message Length [Podcast] | File Type: audio/mpeg | Duration: 12:22

Despite the fact that compliance training has been around for years now, there is still much debate around topics such as the use of humor and how long each piece of training should be. In this podcast Ronnie Feldman, the founder of Learnings & Entertainments, provides his insights into these topics.  He discusses how training should be considered part of an overall communications program.  In addition, he touches on the role of live training, and what makes it work more effectively.

 Marjorie Doyle on Working with the Board [Podcast] | File Type: audio/mpeg | Duration: 12:14

For many compliance professionals, working with the board is a relatively new and stress-filled endeavor. To learn how to make the most out of this very important relationship we turned to veteran compliance professional Marjorie Doyle, who has worked extensively with several companies and their boards on compliance issues. Marjorie is an expert practitioner and leader in the field of ethics and compliance. She works with all organizational levels including Chief Ethics & Compliance Officers, CEOs, Boards of Directors, and any others responsible for the implementation of effective ethics and compliance programs.  A member of the board of the Society of Corporate Compliance and Ethics and Health Care Compliance Association, Marjorie was EVP, Chief Ethics & Compliance Officer at Vetco International where she was responsible for a newly formed organization of compliance officers, directors, and specialists. She reported directly to the Compliance Committee of Vetco’s Board of Directors. Before Vetco, Marjorie was the first Chief Ethics & Compliance Officer at Dupont, where she founded and led the Ethics & Compliance Central organization, the first dedicated team of compliance officers chartered with furthering the company’s  global ethics and compliance objectives. In this podcast, Marjorie addresses: * The importance of demonstrating to the board that its responsibility for compliance oversight has changed and expanded * The new DOJ evaluation questions and the importance of compliance expertise on the board * Recording when the board discusses and reviews ethics and compliance issues * What you need to tell the board and how to help them know what to ask * Tying into the risk assessment * The value of metrics and demonstrating effectiveness * Showing the board how it can affect culture * Pitfalls to avoid when working with the board

 Caroline Hailey & Cecilia Fellouse-Guenkel on the new French Anti-Corruption Law [Podcast] | File Type: audio/mpeg | Duration: 17:17

Anti-corruption prosecutions are far from a US-only effort these days.  More and more countries are adding legislation and enforcement. France’s Lois Sapin II is one of the more recent government efforts.  In this podcast, you will hear from two experienced compliance professionals who explain what the law does.  This includes the creation of the AFA, A French Anti-Corruption Agency with greater resources, budge and administrative powers. Listen in to learn more about when the law goes into effect, requirements for French companies and subsidiaries, eight required aspects under the new law, code of conduct requirements and more. The guides providing an overview and insight into the new law are: Cecilia Fellouse-Guenkel.  Cecilia is a passionate consultant who started working on compliance matters in the healthcare industry in 2008. She now helps companies in various industries with their compliance programs, corruption risk assessments, trainings and the coaching of new compliance officers. Originally trained as an attorney is France, she has worked in Asia (Vietnam), Africa (Nigeria and Gabon) and the UK.  Cecilia makes a point of alternating between in-house and outside missions in order to keep abreast of the day-to-day challenges facing compliance officers. Her consultancy is called Compliance For Good because she believes that through a pragmatic and operationalized approach, compliance helps companies be stronger, more profitable and sustainable… for good. Caroline Hailey. Caroline’s work focuses on promoting ethical business practices. She currently serves as senior counsel to a major energy company, advising on anti-corruption matters, and also serves as Vice Chair of the International Bar Association’s Committee on the Drivers of Corruption. Previously, she spent eight years with a leading international law firm advising corporate issuers and financial institutions on cross-border transactions as well as boards of directors on corporate governance matters.  She has held consulting roles with the United Nations and various not-for-profit organizations and is admitted to practice law in New York and Paris.

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