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


 Garrett Reisman on Learning from the Risks of Spaceflight [Podcast] | File Type: audio/mpeg | Duration: 14:04

By Adam Turteltaub Garrett Reisman has spent 107 days in space.  He is the former Director of Space Flight Operations at SpaceX and is currently a Special Advisor there.  He is also a professor of engineering at USC. What does that have to do with compliance?  Surprisingly a great deal.  In this podcast, Garrett shows how three of NASA’s catastrophe’s – Apollo 1, the Challenger and Columbia – had several factors in common, and how similar they are to risks every compliance team may someday face. Those risks include: * The normalization of deviance: something that shouldn’t happen did over and over again, without negative consequences over a long period of time.  After getting away with it for a long time, it becomes normal, until something very bad happens. * Schedule pressure: while well-intentioned, it can lead to decisions that have disastrous consequences. * Discouraging dissent: by stifling criticism and telegraphing what management wanted to hear, warnings are unheeded and whistleblowers are hesitant to come forward Listen in for some fascinating insights into spaceflight, its risk, and what compliance teams can learn from them.

 Amber Mac on Artificial Intelligence and Compliance [Podcast] | File Type: audio/mpeg | Duration: 11:47

By Adam Turteltaub Everyone is talking about Artificial Intelligence (AI) these days, but in some ways, it’s a lot like blockchain and Bitcoin. It’s often talked about more than it is understood. Amber Mac is one of the people who understand what AI is.  Fortunately, she was willing to share her expertise with us via a podcast and will also be speaking on the topic at the 2018 Compliance and Ethics Institute. Take the time to listen to the podcast and you’ll learn: * What exactly AI is * How businesses are already using AI * The ethical implications and compliance risks of AI * The importance of setting goals for its use * The future of AI for business, and the compliance challenges that go along with it It’s a fascinating listen and a good way to improve your own intelligence when it comes to artificial intelligence.

 Kristy Grant-Hart on Building a Successful Compliance Career [Podcast] | File Type: audio/mpeg | Duration: 13:54

By Adam Turteltaub A compliance job is rarely easy.  And, sometimes, as was discussed in a recent podcast, you may find yourself having to leave a job.  But the chances of having a good, successful career in compliance are much better, if you spend some time planning it out. Kristy Grant-Hart of Spark Compliance Consulting has enjoyed a successful compliance career and in this podcast shares her advice on how best to enjoy one yourself. A successful compliance career, she explains, comes from the determining what you want to do, whether it’s to stay where you are, rise and grow or change industries.  Once you have a goal in mind, it’s time to get busy.  Even spending 10 minutes a month learning about an industry you want to potentially join, she argues, can be enormously helpful. Listen in as she explains the value of planning, the importance of raising your profile, what to look for when interviewing and how to negotiate a job offer.

 Katerina Tapas on Compliance, Ethics and Yoga [Podcast] | File Type: audio/mpeg | Duration: 9:26

By Adam Turteltaub Yoga and compliance have seemed to go together a lot lately.  The yoga classes at the Institutes are very full, and Scott Eblin, who keynoted at the Compliance Institute and will be speaking at the upcoming Compliance and Ethics Institute, both spoke about it and gave a startling demonstration as a part of his talk. Katerina Tapas, who is Ethics, Senior Consultant at Allstate, is convinced that compliance and ethics professionals could learn a lot from yoga, and not just how to be flexible.  In this podcast she argues that yoga offers lessons in how to be more mindful, deliberate in our thinking, more attuned to others, and more attentive. Listen in for this unusual Compliance Perspectives podcast and judge for yourself.

 Gael O’Brien on Self-Seal [Podcast] | File Type: audio/mpeg | Duration: 15:08

By Adam Turteltaub Imagine sealing yourself in a bubble in which the only ideas inside are your own, and nothing you disagree with can enter it.  In the abstract it sounds kind of great.  In practice and in business, it can be very dangerous. Gael O’Brien has given the risks of self-seal a lot of thought.  She is President of Strategic Opportunities Group, a long-time executive coach and leadership expert.  Her career includes writing The Ethics Coach Column for Entrepreneur Magazine and time at PWC and Mitsubishi Motors, and we even overlapped for a few months at one job, more than decade ago. In this podcast she warns of the risks of self-seal, how executives can fall into the trap, how to avoid it, and how to extricate yourself from it.  It’s a good listen and a good reminder of the value of hearing many voices, not just our own.

 Richard Bistrong on Learning From Live FCPA Training [Podcast] | File Type: audio/mpeg | Duration: 10:35

By Adam Turteltaub Richard Bistrong from Front-Line Anti-Bribery does a great deal of face to face training on the Foreign Corrupt Practices Act (FCPA) and anti-bribery in general. While we were both participating in an anti-corruption conference in Beijing, Richard sat down and shared his insights from time talking with and listening to compliance professionals, the workforce and management. In this podcast he observes that knowledge about the FCPA’s requirements is generally not the problem:  workers understand it’s illegal to pay bribes.  The challenge that they are facing is how to work successfully in high risk geographies where their competitors may not be playing by the rules. Many on the commercial side, he has found, believe that compliance doesn’t understand the challenges that they are up against.  To succeed, he believes, compliance needs to admit to the challenge and invite business people to share with the compliance team the risks that they face and then work together to devise an effective response. Listen in to learn more about what he has found is on the commercial team’s mind, and also the challenge when it comes to working with management.

 Carl Hahn on Metrics for Your Compliance Program [Podcast] | File Type: audio/mpeg | Duration: 16:19

By Adam Turteltaub Metrics are central for most everything in business, including compliance and ethics.  The key thing, though, is finding the right metrics.  Measure the wrong things, and you won’t know how you program is working.  Measure the right things but in the wrong way, and you can easily be just as lost. Carl Hahn, Vice President and Chief Compliance Officer of Northrop Grumman has given the topic a great deal of thought, and put his thoughts into practice.  In this podcast he shares his expertise and addresses the following topics: * What metrics are the most valuable for measuring the effectiveness of a compliance and ethics program * What data is important to collect from groups outside of compliance * The challenges in collecting the right data, and how to overcome those challenges * The key allies when it comes to developing and using metrics * Turning the data into something usable for assessing the effectiveness of your program Listen in to learn how to better improve your own metrics.

 Laura Ellis on the Measuring Compliance Program Effectiveness Resource Guide [Podcast] | File Type: audio/mpeg | Duration: 11:05

By Adam Turteltaub In January 2017 the Health Care Compliance Association worked with the Office of Inspector General at the Department of Health and Human Services to host a roundtable.  The goal was to provide content for a tool that would enable compliance officers to better assess the effectiveness of their compliance program. The result of that effort was released later that year.  Since then Measuring Compliance Program Effectiveness:  A Resource Guide has proven an invaluable aid for compliance community. Laura Ellis, Senior Counsel in the Office of Counsel to the Inspector General at HHS, explain that it is filled with questions designed to assess various parts of compliance programs and how they are functioning.  It is intended for organizations to use internally and is centered around the seven elements of an effective compliance and ethics program. Importantly, this is not designed to be a tool for enforcement to use as a yardstick.  Instead, it is for compliance professionals to use to make their programs better, whether the organization they work for is large, medium or small. Not every question in the guide is going to be relevant for every organization.  Nor could any organization possibly assess itself on every measure annually.  Rather, as she explains, it is best to be used selectively and regularly to asses various compliance program elements. Listen in to learn more about how to put this important document to work for your organization.  

 Karen Moore on When It’s Time to Leave Your Employer [Podcast] | File Type: audio/mpeg | Duration: 15:55

By Adam Turteltaub Karen Moore is a compliance officer who has worked both in Europe and in the US.  Like most people, in the course of her career she had chosen to leave one job for another. The easy changes are the ones where a great new opportunity comes out of nowhere, and you just can’t say no.  Sometimes, though, there is the opposite situation:  the job grows to be intolerable.  You dread coming in and every minute of the day. In her conversation with us, Karen talks about how to know when it’s time to leave.  She addresses the signs to watch out for, such as a lack of commitment by management.  She also discusses what to do to try and make things better, allies you can turn to, and how to know that there isn’t any hope. Finally, the conversation turns to both preserving your professional reputation and meeting professional obligations.  To learn more about the latter, be sure to check out the Code of Professional Ethics for Compliance and Ethics Professionals.

 Daniel Kahn on FCPA Enforcement and Compliance Programs [Podcast] | File Type: audio/mpeg | Duration: 18:40

By Adam Turteltaub What does the DOJ think about compliance programs?  What do they look for when meeting with a company?  What does this mean for how I think about compliance? Daniel Kahn, the Chief of the FCPA Unit at the US Department of Justice, was generous enough to share his insights into these issues and many others in this podcast.  Listen in as he addresses several topics that compliance professionals are eager to better understand.  Some highlights of his talk include: * When it comes to corruption prosecutions, don’t only think about the US government. Recognize that multiple foreign governments may be involved, and with multiple approaches.  Amongst other things, it could affect your decision of disclosing not just to the DOJ, but prosecutors from other countries as well * The DOJ’s FCPA Corporate Enforcement Policy has been formalized, and a great deal of emphasis has been placed on compliance programs. The impact of the policy can be seen in various settlements and enforcement actions. * Because compliance is risk- and company-specific, the compliance program should reflect the company’s unique situation. It’s not enough to say what the program looks like, you should be able to articulate why it looks that way and demonstrate a well-thought-out, targeted approach. * When presenting data on effectiveness, it’s not enough just to show, for example, the number of helpline calls. You need to show what happened as a result of them:  Were they investigated? What categories did they fall into?  What was the organization’s response? * While obtaining a certification for your compliance program can be perceived positively as a demonstration of a company’s good faith efforts, it is not a proxy for the Department of Justice doing its own evaluation of the compliance program Listen in to hear the full interview and all of his insights.

 Margaret Hambleton on Talking with Bank Underwriters [Podcast] | File Type: audio/mpeg | Duration: 11:45

By Adam Turteltaub Compliance officers are used to answering questions from the workforce, management, regulators and sometimes even prosecutors.  Increasingly, some are answering questions about their compliance program from bank underwriters. Margaret Hambleton, who is the Vice President for Corporate Compliance and Chief Compliance Officer for Dignity Health (and current president of the Society of Corporate Compliance and Health Care Compliance Association), is no stranger to this relatively new phenomenon.  She’s been through the process more than once and in this podcast shares her experience. Thankfully, as she reports, it’s not an interrogation and is generally a very collegial process with questions provided in advance.  Listen in as she explains how the discussions typically go, how best to prepare for them, and some of the side benefits of the process.

 Margaret Hambleton on Five Questions Every Executive Should Ask [Podcast] | File Type: audio/mpeg | Duration: 12:50

By Adam Turteltaub At the 2018 HCCA Compliance Institute, Lloyd Dean, the CEO of Dignity Health wowed the crowd as he discussed his very positive perspective on compliance and the importance of compliance programs to the organization. During his speech he shared five compliance-related questions that he always asks when evaluating a new business opportunity.  Two things were intriguing about those questions.  First, they had clearly been internalized within executive decision making.  The compliance team didn’t have to ask them;  management already did.  Second, the questions were both simple and insightful, enabling management to quickly get a sense of whether there were potential risks that would require the compliance team’s help. Margaret Hambleton, the Vice President for Corporate Compliance and Chief Compliance Officer for Dignity Health (and current president of the Society of Corporate Compliance and Health Care Compliance Association), is the author of those questions.  They are specific to healthcare, but, as she explains in this podcast, could be customized for any industry. * Does the idea/process/opportunity require an exchange of anything of value with a patient, physician or other referral source? * Does it change the way services are documented, billed, coded or reimbursed? * Are there any improper motives or conflicts for doing the planned thing, particularly those related to clinical decision making? * Does it require sharing protected healthcare information or business confidential information outside of our network? * Does it require evaluation by any other experts in the organization? Listen in as she explains the genesis of the questions, how she helped management learn them, and how the right set of questions can make a big difference in how management looks at compliance.

 Ryan Meade on Compliance and Ethics in Healthcare [Podcast] | File Type: audio/mpeg | Duration: 14:42

By Adam Turteltaub You hear a lot about compliance programs in healthcare, but not so much about ethics programs.  Sure, there are many discussions of medical ethics, but not as many conversations, at least at conferences, about the business ethics issues. Ryan Meade, Director, Regulatory Compliance Studies at the Center for Compliance Studies at Loyola University Chicago School of Law believes that the sheer volume of regulations that the healthcare industry faces tend to keep the focus on compliance.  Medicare alone, after all, has over 200,000 pages of rules. Yet, healthcare isn’t the only heavily regulated industry with lots of compliance requirements.  Defense contractors have their own mountain of regulations to climb and yet manage to maintain a strong focus on ethics. As you’ll hear in his podcast, Ryan argues that compliance has three characteristics: * The law * The organization’s policies * Ethics Organizations need to comply with the law, he explains, but also have to instill a culture of ethics so help answer tough questions:  What do you do when the law is silent and your policies are silent?  How do you want yourself and your workforce to act? Listen in to learn about the value in making ethics a more integral part of your compliance program, steps you can take to make it happen, how to overcome resistance, and the benefits you can expect.

 Cindy Matson on Rocking Your Auditing and Monitoring Plan [Podcast] | File Type: audio/mpeg | Duration: 13:56

By Adam Turteltaub Auditing and monitoring are essential elements of compliance programs and an ongoing challenge for organizations.  Many struggle with what to assess, how often and who should do the assessing. To help compliance professionals address this challenge, Cindy Matson, Senior Executive Director, Compliance, Sanford Health and two of her colleagues led a session on the topic at the 2018 Compliance Institute.  Cindy was also good enough to sit down for a podcast. Here she lays down practical advice for auditing and monitoring including: * How frequently you should assess specific elements of your program * The need to taking a risk-based approach to auditing and monitoring * The value of audit histories * Working with internal audit collaboratively * Understanding precisely what it is you are auditing Listen in, and start rocking your auditing and monitoring efforts.

 Scott Eblin on Next Level Leadership and Mindfulness [Podcast] | File Type: audio/mpeg | Duration: 13:41

By Adam Turteltaub At the 2018 Compliance and Ethics Institute (CEI) we will be joined by keynoter Scott Eblin, founder of The Eblin Group and the author of Overworked and Overwhelmed and The Next Level:  What Insiders Know About Executive Success.  He is an inspiring and thoughtful speaker who earned great praise from attendees of the Compliance Institute. In this podcast, he gives a preview of some of the concepts he’ll be presenting during his talk at the CEI.  He begins by discussing the importance of three types of presence: * Personal presence is about how you manage yourself * Team presence is about how you manage your team and move from self to team reliance * Organizational presence is about engaging your colleagues and picking up an outside-in view of your organization. Scott then addresses a tool he created known as the LifeGPS.  It asks three questions designed to help business people function more successfully. Finally, he discusses the importance of mindfulness. Listen in and then hear Scott live at the 2018 Compliance and Ethics Institute.


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