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.

Chief Operating Officer 76

Chief Operating Officer Compliance Officer Compliance Operations 76

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.

Compliance Officer 28

Compliance Officer Compliance Benchmarking Ethics 28

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

Compliance 97

Compliance Risk Management Compliance Officer Due Diligence 97

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.

Absenteeism 12

Absenteeism Compliance Officer Reputation Report 12

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.

Compliance 11

Compliance Compliance Officer Crisis Banking 11

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.

Compliance 10

Compliance CPA Due Diligence Supply Chain 10

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.

Report 9

Report System Compliance Officer Compliance 9

Harvard Business Review

MARCH 13, 2017

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.”

Committee 9

Committee Compliance Officer Chief Information Officer Analysis 9

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.

Compliance Officer 10

Compliance Officer Compliance Policies Leadership Styles 10

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.

Compliance 12

Compliance Compliance Officer Pharmaceuticals Letter 12

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.

Compliance 13

Compliance Compliance Officer CFO Pharmaceuticals 13

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.

Compliance 11

Compliance Automotive Incentives Compliance Officer 11