Voice of Experience: DiAnne Calabrisotto, (The Williams Capital Group, L.P.)

First Friday Book Synopsis

Here is an excerpt from a profile of DiAnne Calabrisotto (Chief Operating Officer and Chief Compliance Officer, The Williams Capital Group, L.P.) written by Elizabeth Harrin (London) for The Glass Hammer, an online community designed for women executives in financial services, law and business. Visit us daily to discover issues that matter, share experiences, and [.]. Bob's blog entries A Girl's Guide to Project Management PMI as well as a staff ss.

Employees Don’t Trust Anti-Retaliation Statutes

HR Digest

Corporate compliance officers already know that violation of anti-retaliation statues is an unjustifiable risk. The Government Accountability Office (GAO) recently published a report on whistleblower operations at the Department of Defense (DoD). Corporate compliance officers need to re-evaluate the process they follow to investigate calls to the internal ethics hotline.

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Compliance And Risk Management In Today's Business World

Eric Jacobson

Dave Yarin is a compliance and risk management consultant to senior management and directors of large and mid-size companies, and author of the soon to be published book, Fair Warning – The Information Within. Compliance Dave Yarin Fair Warning Leadership Risk Management

Why Our Trust in Banks Hasn’t Been Restored

Harvard Business Review

To address this concern, banks have been hiring an increasing number of compliance officers. For example, JP Morgan has hired an additional 13,000 people in the area of compliance since 2012. Banks might be better served by focusing less on compliance and more on benevolence.

Convincing CEOs to Make Harassment Prevention a Priority

Harvard Business Review

The suggestions and tips in that report still stand, but the past year has shown us just how difficult it is for HR directors, general counsel, compliance officers, and D&I directors to make the business case for harassment prevention to their leadership. Caspar Benson/Getty Images.

Research: Whistleblowers Are a Sign of Healthy Companies

Harvard Business Review

In our discussions with compliance officers at firms, many executive leadership teams stated a “goal” to have zero reports. Barbara Chase/Getty Images. Some of the worst corporate disasters of the past two decades were heralded by whistleblowers: Sherron Watkins raised the red flag internally at Enron, Cynthia Cooper let management know of major accounting problems at WorldCom, and Matthew Lee brought problems to his management team at Lehman Brothers.

Is Your Company Using Employee Data Ethically?

Harvard Business Review

Typical IG committee members include the general counsel, the chief risk officer, the chief compliance officer, the chief information officer, the chief information security officer, and the chief data officer. Potter Stewart, justice of the U.S. Supreme Court, once said , “Ethics is knowing the difference between what you have the right to do and what is right to do.”

How Companies Can Take a Stand Against Bribery

Harvard Business Review

External standards can also be a powerful tool in support of those efforts, helping companies strengthen ethics and compliance practices by offering a clear framework for action. Bloomberg Creative Photos/Getty Images.

Compliance Alone Won’t Make Your Company Safe

Harvard Business Review

In 2012, a JP Morgan Chase & Co trader, nicknamed the London Whale , led the Chief Investment Office to lose $6.2 These examples make clear that companies often do not know what’s going on in their own offices, which can severely damage their reputation.

Social Media Compliance Isn't Fun, But It's Necessary

Harvard Business Review

Firms can be held liable for tweets fired off from an employee's iPhone, outside the office, and after working hours. Go to LinkedIn and do a search for people currently employed by your enterprise," says social compliance strategist and financial industry veteran Mike Langford. without any compliance process or technology in place.". The good news is that implementing an effective social media compliance process isn't rocket science.

What You Can Do to Improve Ethics at Your Company

Harvard Business Review

They gave examples like closing a sales office in Japan, breaking a verbal promise made during after-work drinks in China, or ignoring “sleeping” business partners in a Saudi Arabian deal, all of which have cultural and ethical components. Perhaps people are promoted according to unwritten rules that will ensure compliance with the status quo. Work with advisory functions such as legal, compliance or human resources? Enron. Wells Fargo. Volkswagen.

Why Women Stay Out of the Spotlight at Work

Harvard Business Review

Instead, they opted for a risk-averse, conflict-avoidant strategy in the office. Women in our study recognized that being less visible in the office could hurt their odds of promotion. pchyburrs/Getty Images. To get ahead in the workplace, you have to be seen.