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:

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


 Unfair & Unbalanced with Tom Fox & Roy Snell - Ep 4 - Utilities & Energy Wrap-Up | File Type: audio/mpeg | Duration: 31:04

Tom and Roy got together at SCCE’s Utilities & Energy Compliance Conference in Houston last week. In this episode: * Tom rubs it in that Houston is warmer than Minneapolis; * Utilities & Energy conference wrap-up from their perspectives; * Why you should know Sam and Bill; * Opportunities for service with the SCCE; * Roy’s insider tips for getting your submissions selected for speaking at SCCE/HCCA conferences; * The scariest thing Tom heard last week; * The realization that the only thing you really have is your reputation; * Why you should invite yourself to your business associates’ family dinners; * Training for interpersonal skills and influence; * Kristy Grant-Hart bringing a positive outlook to compliance; * Wal-Mart’s bribery investigation; and * Compliance redemption; and * Why you should donate to HCCA’s Silent Auction to benefit America’s Fund – link: America’s Fund Silent Auction * More information about America’s Fund: Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division. Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics”. His second book, “Best Practices Under the FCPA and Bribery Act” was released in April, 2013. His latest work is an eBook entitled, “GSK in China: A Game Changer for Compliance”. He writes and lectures across the globe on anti-corruption and anti-bribery compliance programs. Roy Snell is the CEO of the Health Care Compliance Association (HCCA) and the Society of Corporate Compliance and Ethics (SCCE), which together now total more than 15,000 members. Roy was a co-founder and the organization’s first President. He has developed numerous partnerships with government, industry, and other professional associations, and he has facilitated collaboration between the compliance/ethics profession and the enforcement community. Roy has a Masters degree in Health and Human Services Administration. Through his work with the two associations, he has overseen the development of compliance and ethics books, manuals, videos, conferences and audio conferences. He has been a regular speaker in the compliance profession for more than ten years and has spoken internationally for the United Nations on compliance and ethics. He is a Certified Compliance and Ethics Professional (CCEP)®. Roy writes more than 25 compliance articles annually and has written for several international publications, including European CEO and The European Business Review. Roy is the co-editor of the Health Care Compliance Professional’s Manual and serves as editor, co-editor and advisory board member of several other books, magazines and newsletters. He has served as a source for many media reports, including national publications such as the Wall Street Journal, Forbes Magazineand Business Week. He has been quoted in international publications such as Financial Times and Ethical Corporation.

 Jane Mitchell on Engaging Middle Management | File Type: audio/mpeg | Duration: 19:35

Ethical and effective communications expert, Jane Mitchell and host Kortney Nordrum discuss the importance of engaging middle management, including: * Why swimming with sharks may not be a bad thing; * Why corporate communication is key for middle managers; * Whether middle management is best compared to marzipan or blancmange; * Training managers to manage; * Why everyone keeps talking about engagement; * Reaching the middle and speaking their language; * Cultural awareness; and * Storytelling for effective communication. Jane began her early professional career in UK television broadcasting at the BBC on such TV icons as Tomorrow’s World, Grange Hill and Blue Peter. She made a leap into the outside world and began producing award-winning corporate films and videos, which led into helping clients develop a strategic approach to internal communications. Her work with Rolls-Royce plc took her into the area of communicating Global Codes of Ethics where she was responsible for leading a small in-house team launching and embedding the Code across the company. Since then Jane has continued to work with organizations helping them to make the links between Codes, values, behaviours, ethical leadership, decision-making. Her focus is on encouraging people to understand their individual responsibilities in often challenging corporate environments. Subsequently, Jane worked with BAE Systems and Diageo plc on various aspects of their ethics programmes and with the Institute of Business Ethics (IBE), she helped to develop a newly formed Cable & Wireless Worldwide Company Code. Since 2005, Jane has operated JL&M Ltd., working with clients including BP, PwC, KPMG, Serco, and Schlumberger for whom she has worked on a variety of aspects of their ethics programs. She has also worked with the US-based non-profit, Graduate Management Admission Council (GMAC) advising them on the creation and embedding of their inaugural Code of Ethical Behavior. In Jane’s own words: “I advise, ‘guide’ and support (some might say challenge), leaders in organisations large and small, as they find ways to embed their ethics, values-based leadership and behaviours. At the heart of my work is the principle that people willingly take responsibility for their own behaviour and actions at work when they understand what the ‘corporate’ ambition is and how they can contribute to it, and are recognised for that effort. There is wisdom, knowledge and enthusiasm at every level of an organisation and when dots are connected effectively the insights everyone gains can be harnessed to drive real and positive change. It’s connecting the dots that is the key.” Find Jane on LinkedIn: If you have suggestion or questions for the Compliance Perspectives Podcast, please email Kortney at

 Debbie Troklus on HCCA's Founding & History | File Type: audio/mpeg | Duration: 12:28

  Taped at the 2015 Compliance Institute in Orlando, HCCA co-founder Debbie Troklus shares the history of the HCCA, including how we’ve gone from an idea on a napkin to a 10,500+ strong compliance community.  Debbie has over 30 years of experience in the health care industry and over 16 of those years have been in the compliance arena. She served as the Assistant Vice President for Health Affairs/Compliance for the University of Louisville Health Science Center from 1996 until 2011. This is a large decentralized health system, which included a large academic medical school with 73 practice entities, 550 teaching physicians and approximately 53 billing systems, the dental and nursing schools and the School of Public Health. Debbie currently serves on the board of the Health Care Compliance Association and was President in 2000. She also serves on the board of the Society of Corporate Compliance and Ethics and is the current president for the Compliance Certification Board. She is also the Dean for the Health Care Compliance Association’s and the Society of Corporate Compliance and Ethics Compliance Academies. Debbie has also co-authored two books on compliance, Compliance 101 and In Search of Compliance 2000. Here’s how HCCA co-founder and CEO Roy Snell remembers creating HCCA & SCCE: We are on the eve of our 20th anniversary and I want to share a brief history of our time.  About 20 years ago I was asked to be the compliance officer for the University of Wisconsin Medical Foundation by a forward thinking COO named Marc Dettmann.   I was given a copy of the Sentencing Guidelines and a business card of a compliance officer named Mary Dunaway.  She and I set up a one day conference for compliance officers in Minneapolis, 30 were invited… 60 showed up. At the end of the meeting I suggested we forma group. At dinner, Brent Saunders and I wrote the name and a mission statement for HCCA on the back of a napkin. Don’t ask, it’s lost, who knew a napkin would be relevant?  The next day I asked Debbie Troklus to help.  (8,600+ people from 70 countries currently hold a compliance credential she created.) Modern Healthcare Magazine called and wanted to do a story on compliance officers.  They put me and the statement “Growth Industry” on the cover. That helped the evolution of the Health Care Compliance Association (HCCA).  After some success the Board approved a proposal to have Dan Roach and Odell Guyton start the Society of Corporate Compliance and Ethics (SCCE).  At one point there were 3 members, now there are over 15,500 from about 80 countries. The problem with a short story about the evolution of an organization like SCCE/HCCA is that you have to leave out hundreds of very important people like Boehme, Murphy, Vacca, and on and on and on.  Every Board member, employee and volunteer helped to get SCCE/HCCA where it is today. Modern Healthcare seems to have made an accurate prediction, “Growth Industry.”  It may seem like an easy prediction in hindsight, but I assure you it was a leap of faith at the time.  Some said compliance would simply be another methodology like Total Quality Management and fade away.  Some thought it would be just another activity of the legal department and follow the path of preventative law. Ethicists downplayed compliance to focus on culture. Risk thought compliance was a subset of risk.  Audit thought it was their responsibility but did not commit.  Some just simply didn’t want compliance. Many people intentionally or unintentionally tried to grab the wheel and head for the ditch.  However, countless volunteers and staff created a framework called SCCE/HCCA that allowed thousan...

 Erica Salmon Byrne on Hiring for Integrity | File Type: audio/mpeg | Duration: 18:08

Host Kortney Nordrum and guest Erica Salmon Byrne discuss Managers Hiring for Integrity, including: * What does hiring for integrity mean; * What does integrity look like (hint: not Bernie Madoff); * How hiring the right person saves you money (and time, and energy, and sleepless nights); * Reasons to (and not to) trust your gut; * Why hiring for culture is really important; * Who to blame in a crisis (and what that says about you); * Why managers don’t know how to manage (it has to do with being good at their jobs); * Who your employees trust and why; * How leadership plays into nature vs. nurture; * What makes a bunch of ivy-league graduates cheat; and * The power in the reason behind the rule. For more information on the JP Morgan Chase firings click here. Erica Salmon Byrne is the EVP and Executive Director of the Business Ethics Leadership Alliance for the Ethisphere Institute and serves on the Editorial Board of SCCE’s Compliance and Ethics Blog. Ms. Salmon Byrne previously practiced with DLA Piper in Washington, DC, where she focused in the areas of internal investigations, enforcement actions, government audits, and international law. Ms. Salmon Byrne has advocated on behalf of clients in front of the Securities and Exchange Commission, the U.S. Attorney’s Office for the Southern District of New York and the Northern District of Georgia, the Antitrust Division of the U.S. Department of Justice, and the House of Representatives’ Permanent Subcommittee’ for Oversight and Investigations. In addition, she assisted multinational companies in complying with the Foreign Corrupt Practices Act and U.S. Export Controls. Erica’s Blog Articles: Effectively Training Your Managers In Case You Missed It Find Erica on LinkedIn: If you have suggestion or questions for the Compliance Perspectives Podcast, please email Kortney at

 Kristy Grant-Hart on Effective Communication | File Type: audio/mpeg | Duration: 12:14

Taped live in SCCE’s Minneapolis office, host Kortney Nordrum and guest Kristy Grant-Hart discuss Effective Communication, including: * Why communication counts; * How “mirroring” shows you pay attention to others; * Why communication without context means nothing; * The ethicality of using fear to persuade; * Psychological reasons to make your boss say no to you; and * Curried cow brains. Kristy Grant-Hart is the Managing Director of Spark Compliance Consulting (, headquartered in London, England. You can reach Kristy at Her book, “How to be a Wildly Effective Compliance Officer: Learn the Secrets of Influence, Motivation and Persuasion to Become an In-Demand Business Asset ” is available here: Find Kristy on LinkedIn:  Follow Kristy on Twitter: @KristyGrantHart Kristy will be speaking on this topic and more at SCCE’s European Compliance & Ethics Institute this March, For information on her sessions and how to register, click here. If you have suggestion or questions for the Compliance Perspectives Podcast, please email Kortney at

 Unfair & Unbalanced with Tom Fox & Roy Snell – Episode 3 | File Type: audio/mpeg | Duration: 36:29

Taped live in SCCE’s Minneapolis office, Tom and Roy discuss: * Breaking into the compliance profession; * More importantly, finding a job in the compliance profession; * How social media is your compliance-job-search friend; * Tom’s 2 favorite pieces of career advice (only one is sports-related); * Why being helpful ends up being more than being helpful; * How to become Tom & Roy’s (compliance) second-cousin; * Why you should be writing all the time, about everything (even if it’s your first day); * Tom talks synthesis (the philosophy kind, not the science kind); and * Roy’s first day of kindergarten. If you have suggestion for topics for Tom & Roy, or questions you’d like to ask them, please email

 Unfair & Unbalanced with Tom Fox & Roy Snell - Episode 2 | File Type: audio/mpeg | Duration: 27:02

Taped live in SCCE’s Minneapolis office, Tom and Roy discuss: * The terror attacks in Paris; * How compliance can combat worldwide corruption; * Why Roy dislikes the “pointer sisters” (and why Tom likes Bob Dylan); * Tom waxes philosophical (spoiler alert: the Hegelian Dialectic); * Leslie Caldwell and the Department of Justice’s decision to appoint Compliance Counsel; * Changes to the DOJ’s enforcement strategy for the Foreign Corrupt Practices Act (FCPA) to encourage organizations to cooperate and disclose; and * The “rogue employee” defense. If you have suggestion for topics for Tom & Roy, or questions you’d like to ask them, please email

 Unfair & Unbalanced Podcast with Tom Fox & Roy Snell – Episode #1 | File Type: audio/mpeg | Duration: 39:42

Taped at SCCE’s 2015 Compliance & Ethics Institute at the ARIA in Las Vegas. In this first episode, noted FCPA lawyer and blogger Tom Fox, and Society of Corporate Compliance & Ethics CEO, Roy Snell, discuss the importance of an independent compliance officer, misconceptions about compliance in general (hint: it’s not that hard), updating the Federal Sentencing Guidelines, the most important word in the Yates Memo, and some of the immediate effects of the Volkswagen scandal. If you have suggestion for topics for Tom & Roy, or questions you’d like to ask them, please email


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