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


 Laura Perkins on the Latest FCPA Enforcement Trends [Podcast] | File Type: audio/mpeg | Duration: 12:47

By Adam Turteltaub With a constant stream of enforcement actions related to the US Foreign Corrupt Practices Act (FCPA), it can be difficult to read the tea leaves and discern the patterns. Laura Perkins of Hughes Hubbard & Reed is co-author of the firm’s Annual FCPA & Anti-Bribery Alert, which gives her perspective on what all those individual cases are pointing to.  In this episode of the Compliance Perspectives Podcast she reports that the biggest trend in 2018 was the growth in international enforcement and cooperation in anti-bribery laws.   More and more it’s not just the US Department of Justice (DOJ) or the UK Serious Fraud Office prosecuting on its own.  Enforcement authorities from across multiple jurisdictions are working together. A second trend is a significant increase in individual enforcement actions.  The DOJ seems to have made good on its word to focus on the people, not just the companies they work for. Listen in as she discusses these trends, the pace of prosecutions, the state of the DOJ’s Pilot Program, and how GDPR is affecting internal investigations.

 Professor Sydney Finkelstein on Leadership and Business Success [Podcast] | File Type: audio/mpeg | Duration: 17:23

By Adam Turteltaub Sydney Finkelstein is the Steven Roth Professor of Management at the Tuck School of Business at Dartmouth.  In addition, he is the author of 20 books, including Why Smart Executives Fail, Think Again and SUPERBOSSES:  How Exceptional Leaders Master the Flow of Talent.  And, if that wasn’t enough, he is the host of his own podcast series:  SydCast. He took some time to sit down for the Compliance Perspective Podcast to share some deep and actionable insights. In our conversation we discuss: * The common causes of business and compliance failures, both start with human frailty * How to overcome the natural resistance to limits being set * Developing talent on your compliance team: think like a teacher * Building a compliance department that will survive your departure * What to expect from the next generation of business school grads. Relax, it’s good news. Listen in to gain these and other insights from a top business school professor.  

 Laura Ellis and Michael Lampert on Learning from Healthcare Corporate Integrity Agreements [Podcast] | File Type: audio/mpeg | Duration: 12:17

By Adam Turteltaub No one wants to work under a Corporate Integrity Agreement (CIA), but there are lots of good lessons that can be learned from them. Laura Ellis, Senior Counsel in the Office of Special Counsel to the Inspector General at HHS, and Michael Lampert, a partner in the Boston office of Ropes & Gray will be addressing CIAs in their session at the 2019 Compliance Institute in Boston. In this podcast they reveal some of the insights they will be sharing at the conference.  They focus on three elements now found in all CIAs: * Board members are required to pass a resolution finding that their compliance program is effective and in compliance with the corporate integrity agreement provisions. * Senior managers must sign an annual certification that they have been trained on compliance, are aware of the compliance program, have operated their department in a compliant manner, and are not aware of any improper behavior. * The company undergo an annual compliance risk assessment. These elements are designed to ensure that compliance cascades through the organization and that the compliance program remains dynamic and aligned with key risks for healthcare providers. Listen in to learn more about the OIG’s office’s approach, and then join them at the 2019 Compliance Institute.

 Robert Hunt on Conducting Internal Investigations in Asia [Podcast] | File Type: audio/mpeg | Duration: 14:29

By Adam Turteltaub For a long time corporate internal investigations in Asia tended to be anti-corruption related, reports Robert Hunt, a partner in the Hong Kong office of the law firm Herbert Smith Freehills.  These days, though, while bribery is still an area of great concern, other issues have started to gain more of the spotlight.  Of particulate note, he relates in this podcast, are sales and revenue fraud, money laundering, and sanctions. But whatever the risk area, there are multiple factors that compliance professionals need to consider when conducting investigations in Asia.  Data privacy is a growing concern, as many Asian countries either enact new or strengthen existing privacy laws in the wake of GDPR.  Adding to the complexity, the Bring Your Own Device (BYOD) phenomenon has made it harder to access employee communications.  No longer are all electronic communications backed up on the server, with workers increasingly using WeChat and WhatsApp to communicate. It’s not just employee communications that may be an issue.  Internal communications with the legal team are a risk area of their own.  Privilege laws vary greatly when conducting an investigation, something to be considered when generating or collecting documents. And, when interviewing suspects and witnesses, it’s essential to remain aware of and sensitive to the language and cultural issues.  Even an executive who speaks English regularly may prefer using the local language when in a high-stress interview. In sum, before you leap into an investigation it’s essential to look and to listen to this Compliance Perspectives Podcast.

 Jane Mitchell on Corporate Culture [Podcast] | File Type: audio/mpeg | Duration: 15:52

By Adam Turteltaub Culture is always discussed as critically important to successful compliance and ethics programs, but what is it exactly? “Culture is what happens when an individual’s behaviors meet an organization’s,” according to Jane Mitchell, the founder and director of JL&M, a consultancy.  In this podcast, Jane, a frequent speaker at SCCE international programs, offers a deep and sometimes provocative perspective on what culture is, what makes for a healthy culture and how to manage culture. Listen in as she discusses: * The key dimensions of corporate culture * The question of whether the organization is supporting the behaviors it says it wants * The interplay between a compliant culture and an ethical one * How to encourage “speak up” behavior * Organizational justice * How to use employee data effectively * The role of the CEO and leadership in shaping culture  

 Andre Bywater on the UK Modern Slavery Act [Podcast] | File Type: audio/mpeg | Duration: 10:47

By Adam Turteltaub The UK Modern Slavery Act has been law for some time now, requiring companies doing substantial business in the United Kingdom to disclose what they are doing to combat modern slavery, and to post a disclosure statement on their website. As Andre Bywater of Cordery Compliance reports in the Compliance Perspectives Podcast, the UK Government’s first annual report on the Act was disappointing.  It found that modern slavery is on the increase, and compliance with the law was disappointing, with many companies not making the necessary disclosures. In response, the government issued letters to over 17,000 CEOs, Andre reports, informing them that their firms were non-compliant.  The government will also be publishing a list of non-compliant companies. Listen in as Andre explains what the Act requires, what is likely to come next legislatively, and warning signs of forced labor for your staff to look for.

 Jonathan Rusch on Behavioral Science and Compliance [Podcast] | File Type: audio/mpeg | Duration: 15:53

By Adam Turteltaub Is it a few bad apples?  A whole barrel full of them?  Or is it the barrel that’s the problem, and not the apples? It’s a long-debated topic in ethics and compliance, and Jonathan Rusch, Principal of DTG Risk & Compliance LLC, argues that there is much that can be answered in a growing body of behavioral science. His interest in the topic began while serving as a federal prosecutor, where he noticed that many fraud victims were behaving in ways that were unexpected but explainable by social scientists.  Later, when he became an in-house compliance officer, he found this same research was useful at uncovering the mental shortcuts and other mistakes that led to bad behaviors.  These included: * The bystander effect, in which an individual sees something that seems wrong, but with no one else saying speaking up, the individual assumes that maybe he or she was the one who was wrong * Context confusion, a problem in which a person assumes the other side of the deal is thinking along similar lines with shared goals when, in fact, that person has very different and potentially illegal objectives * Ethical fading, in which ethics issues start being redefined as simply business concerns Listen in to the discussion, and start exploring how behavioral science might change the way you approach compliance and ethics challenges.

 Michael Morgan on Getting and Keeping a Seat at the Table [Podcast] | File Type: audio/mpeg | Duration: 14:10

By Adam Turteltaub It’s important for compliance to have a seat at the table when a business makes big decisions.  On a practical level, it means compliance can help the business team understand the risks and respond to them appropriately.  On a symbolic level, it’s a sign that compliance is integrated into the organization’s operations. But earning that seat, and keeping it, can be difficult.  Mike Morgan, Partner at Corsica Partners, knows this well form his years in global ethics and compliance roles. Experience has shown him that what matters isn’t just whether compliance is at the table, but what kind of influence has.  In this Compliance Perspectives podcast he identifies essential components to having influence: * Having metrics. Every other part of the organization is talking in metrics, and without them, compliance can seem less relevant. * Concern for the business. Business needs to feel that compliance cares as much about the business and how it functions as the rest of the organization, but that doesn’t mean compliance shouldn’t give up its distance. * Knowing your team, resources and self. A strong sense of your assets is essential. * Knowledge of people. That includes embracing diversity, understanding human behavior, learning the challenges groups like sales face, and leveraging personality assessments and related tools embraced by your organization. Listen in to learn more about how to get and stay at the table, and also when it’s time to push your chair back and start walking around the office, too.

 Jane Brown on a Compliance Program of One [Podcast] | File Type: audio/mpeg | Duration: 12:28

By Adam Turteltaub Sometimes the compliance department isn’t so much of a department.  It may be just one person responsible for the program, and he or she may be wearing other hats as well.  That’s the case for Jane Brown, Chief Compliance Officer and Director of Business Operations for THD America. When stepping into a solo role, the first thing she advises doing is conducting a thorough risk assessment and assessing the current program to get an inventory of the policies and procedures you have and the gaps you need to fill. Then it’s time to start on your remediation plan. Once you get started, she points out in this podcast, be prepared for both unique challenges and some surprising assets.  In a smaller organization you’re not as likely to have as many resources, including something as fundamental as an audit function.  However, you’re likely to benefit from being on a first-name basis with every key leader, greater nimbleness, and an ability to act quickly.   You’re probably also in an environment where it is easier to ask to borrow staff from other departments for projects, but just watch out for any potential conflicts of interest that staff member may have. Listen in as she discusses how to gain management support, gain resources, manage your time, and get the feedback you need.

 Robin Singh on Healthcare and General Compliance in the Gulf Cooperation Council Region [Podcast] | File Type: audio/mpeg | Duration: 14:58

By Adam Turteltaub Robin Singh isn’t that much different from most healthcare compliance professionals.  He works for a healthy system with 12 hospitals, 20,000 employees and over 60 clinics.  What’s different, at least for most of the readers and podcasts listeners, is he does all this Abu Dhabi.  Although the healthcare system in the United Arab Emirates is far different than the one in the US, compliance officers are still needed and appreciated. They also face a number of challenges.  His advice for navigating compliance issues in the Gulf Cooperation Council region includes: * Recognize that risks are country-specific, but there are many commonalities * Be aware of the political situation: the countries are stable, but they are also young and the regulatory environment is still developing * Watch the microeconomic factors that can have a macro effect, specifically oil & gas price volatility * Accept the cultural nuances, including that the optics of how you do things: reputation and honor are very important. * Conflicts of interest are an ongoing issue because of the gift-giving culture. Listen in to learn more about navigating compliance risks in the Gulf.

 Carolyn Barton on the State of Managed Care Compliance [Podcast] | File Type: audio/mpeg | Duration: 11:06

By Adam Turteltaub It’s a busy time in the managed care industry, reports Carolyn Barton, the Vice President Compliance and Regional Compliance Officer for Kaiser Permanente Washington.  There are new entrants, evolving models of care and more communication with patients than ever before.  At the same time, she notes in this podcast, regulators are actively calling for more affordability, focusing on quality and service improvements and driving for more transparency and accountability. But, focusing on these issues, as important as they are, is not enough, Carolyn points out.  One other issue is as critical for managed care today as it is for many other industries:  the #MeToo movement.  Healthcare is not immune and has been dead center of some of the larger cases.  Managed care entities need to focus on building or strengthening a speak-up culture, understand how their third parties are acting, educate themselves and address this issue. At the same, they can’t lose sight of other risk areas.  HIPAA is still a significant concern and requires strong data governance.  To help stem the opioid crisis managed care compliance professionals need to both stay on top of fast-changing requirements, and help ensure that the clinical, leadership and operations teams are all working together to meet these new obligations. Tune in to hear more.

 Gerry Zack’s 2019 Update [Podcast] | File Type: audio/mpeg | Duration: 16:23

By Adam Turteltaub In November 2018 Gerry Zack assumed the CEO role of the Society of Corporate Compliance and Ethics and Health Care Compliance Association.  It was the culmination of a well-choreographed and seamless transition between Gerry and long-time CEO Roy Snell. Now that Gerry fully has the reigns of the organization he sat down in the podcast to discuss what he has learned about the association, the state of the compliance profession, vision for the next few years, and what the association will be bringing our members.  He also shares what not to expect from SCCE and HCCA:  a decrease in our commitment to customer service. Listen in to learn about what he has seen and what he sees coming as we strive to meet the needs of the fast-changing and very diverse compliance and ethics community, including changes to the magazines and websites, new digital publications and more.

 Alexandra Wrage on Gifts and Facilitation Payments [Podcast] | File Type: audio/mpeg | Duration: 14:10

By Adam Turteltaub In many parts of the world, the giving and receiving of gifts is a normal business practice.  The challenge is that gift giving can pose significant risk and constitute a violation of the US Foreign Corrupt Practices Act (FCPA) or UK Bribery Act. There is also great risk in the paying of facilitation payments for routine services.  They may be permissible under the FCPA but not under the Bribery Act. So, what to do? Alexandra Wrage, the founder and President of TRACE International advises extreme caution, for one.  Both gift giving and paying facilitation payments are better avoided. If gifts must be given, she recommends developing simple, clear-cut guidance and to make it available online 24/7 so that employees have the policy direction they need at the time that they need it.  Pre-approved gifts can help make things even simpler and safer. When it comes to facilitation payments, simpler is better and the simplest rule of all – don’t pay them, period – is likely best.  If the company has been making payments, stopping abruptly may be problematic, she warns.  It can be better to give everyone involved advanced warning to enable a smoother transition. Listen in to her podcast to learn more about these two risky areas for global operations.

 Christian Focacci on Artificial Intelligence in Compliance [Podcast] | File Type: audio/mpeg | Duration: 13:33

By Adam Turteltaub We hear a lot these days about Artificial Intelligence (AI), machine learning and all that it can do.  But it’s hard to understand what’s real and what isn’t. Christian Focacci, Vice President, Offering Management at Steele Compliance Solutions, sat down and demystified AI for compliance professionals.  In this conversation he explains: * What AI is, and does so in easy-to-understand terms * The limits of AI: it’s more about making a lot of simple decisions quickly than a few, nuanced decisions * The challenges of gathering sufficient data to fuel an AI initiative and how to overcome them * How to use AI to detect patterns, in third-party vetting and even in reviewing your policies * What to watch out for when a vendor promises you that AI can solve your problems The podcast is full of good advice for compliance and will help you better understand the broader conversation about the role of AI. Listen in to raise your intelligence about Artificial Intelligence.

 Beth Socoski on Disclosures and Culture [Podcast] | File Type: audio/mpeg | Duration: 11:14

By Adam Turteltaub When considering whether or not to make a disclosure to a regulator, legal considerations typically dominate.  Beth Socoski, Senior Manager at WellCare Health Plans, argues that one other key factor needs to be considered:  the impact on corporate culture. In this podcast, she argues that disclosures are an opportunity to demonstrate to employees the organization’s commitment to a culture of integrity.  It’s an opportunity to demonstrate that the company doesn’t just talk the talk; it also walks the walk. There are also enormous benefits to disclosures, she explains, when working with regulators.  Given that incidents are bound to occur in any business, regulators are likely to be skeptical if you have none to report.  By reporting issues and what you have done to resolve them, you prove to regulators your organization’s commitment to compliance. Of course, just making the disclosure is not enough.  It’s essential to conduct a root cause analysis and address the underlying issue.  It’s also essential, especially for larger issues, to think through the communications plan to the staff and the timetable for implementing any changes to policies and procedures. Spend some time listening to what she has to disclose about disclosures.


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