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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. This week, Yarin shared with me insights into compliance and risk management, his forthcoming book, and leadership. How does a compliance and risk management consultant help senior managers of large and mid-size companies? 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
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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
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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. The dominant response to this state of affairs has been — and still is — to appoint an ever-increasing number of compliance officers. 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. For example, Sharon (all names have been changed), an administrator in a compliance office, recounted an interaction with a male colleague. 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. For example, Sharon (all names have been changed), an administrator in a compliance office, recounted an interaction with a male colleague. 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. Hiring more compliance officers is not going to help. Since the financial crisis of 2008, a major question has been how banks can restore the trust of their clients. 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. It has been a year since the #MeToo movement went viral. Since then, the Equal Employment Opportunity Commission (EEOC) has experienced a 13.6% 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. It also requires that the compliance function be staffed by those with the right skills, status, authority, independence, and resources. Siemens was able to rebuild trust after a bribery scandal that reached the top of the organization, in part by implementing an effective compliance program. MORE
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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
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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.
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.
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. This week, Yarin shared with me insights into compliance and risk management, his forthcoming book, and leadership. How does a compliance and risk management consultant help senior managers of large and mid-size companies?
Harvard Business
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. It has been a year since the #MeToo movement went viral. Since then, the Equal Employment Opportunity Commission (EEOC) has experienced a 13.6%
Harvard Business
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
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. For example, Sharon (all names have been changed), an administrator in a compliance office, recounted an interaction with a male colleague. pchyburrs/Getty Images. To get ahead in the workplace, you have to be seen.
Harvard Business
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.
Harvard Business
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. It also requires that the compliance function be staffed by those with the right skills, status, authority, independence, and resources. Siemens was able to rebuild trust after a bribery scandal that reached the top of the organization, in part by implementing an effective compliance program.
Harvard Business
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. For example, Sharon (all names have been changed), an administrator in a compliance office, recounted an interaction with a male colleague. pchyburrs/Getty Images. To get ahead in the workplace, you have to be seen.
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. Hiring more compliance officers is not going to help. Since the financial crisis of 2008, a major question has been how banks can restore the trust of their clients.
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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
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. The dominant response to this state of affairs has been — and still is — to appoint an ever-increasing number of compliance officers.
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