INDUSTRY INSIGHTS YOUR PEERS ARE READING
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. MORE
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. MORE
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 MORE
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. MORE
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. MORE
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. MORE
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. MORE
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. MORE
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. MORE
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. MORE
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. MORE
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. MORE
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.” MORE
Compliance Officer Related Topics HR Digest
APRIL 27, 2019
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.
First Friday Book Synopsis
FEBRUARY 1, 2011
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.
Eric Jacobson
OCTOBER 23, 2014
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
Harvard Business Review
NOVEMBER 14, 2018
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.
Harvard Business Review
MARCH 3, 2015
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.
Harvard Business Review
NOVEMBER 14, 2018
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.
Harvard Business Review
AUGUST 28, 2018
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.
Harvard Business Review
SEPTEMBER 17, 2018
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.
Harvard Business Review
MAY 18, 2015
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.
Harvard Business Review
AUGUST 23, 2012
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.
Harvard Business Review
AUGUST 28, 2018
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.
Harvard Business Review
DECEMBER 29, 2016
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.
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