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

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

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

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

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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

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

Okay, okay, I know that the mere mention of federal regulations is enough to make many of you assume a fetal position on your office floor and begin chanting passages from Atlas Shrugged but there are HR people who read this blog. MORE