Chief Compliance Officers Ethics

News & Analysis as of

Spikes in Sales and Compliance

What is risk and how should it be evaluated? What is the data that should be reviewed to determine if an increase in sales is based on unethical or even illegal behavior? Finally, what happens when you migrate company...more

The Myths Surrounding Ethics and Compliance Programs

Chief compliance officers have a difficult job. That is a real profound grasp of the obvious. CCOs face an unending onslaught of tasks, risks and juggling of concerns and activities. On many respects, a CCO’s job is never...more

Infusing Your Compliance Program with Business Ethics

It is important to remember that companies are required to implement an ethics and compliance program. Ethics should not ever be a segregated issue carved off from a compliance program. They walk hand-in-hand, and reinforce...more

When Managing Whistleblower and Retaliation Risk, Tools are Important – Processes and People are Critical

One collection of terms I hear a lot is “tools, processes and people.” All three need to be successfully deployed to make a compliance program run properly while also creating an organizational culture that supports...more

When Tone at the Top Is Missing

We all tend to gloss over a critical requirement for an effective ethics and compliance program – tone-at-the-top. I hate to be dogmatic about the issue but, as Mel Brooks said in the Curb Your Enthusiasm (Season 4, Episode...more

Making Sure Business Ethics Has a Seat at the Table

Everyone likes to cite and talk about the list of horrible scandals. Whether it is Enron, WorldCom, Siemens, GM, VW, Wells Fargo, we pick through the details, cite failures and use it as a springboard to a discussion of...more

An Effective Manual Compliance Program is an Oxymoron

No matter how proficient a compliance professional you may be, the deck is stacked against you if you are not automating your ethics and compliance program in the same ways other functional groups are automating their...more

Will Your Ethics Hold Up Under Pressure?

Waiting to see if your organization’s ethical fabric is as bullet proof as you hope isn’t a great strategy - No executive wants to wake up and find themselves on the cover of the Wall Street Journal, exposed in some...more

When Business Supersedes Compliance – A Recipe for Disaster

When looking through the wreckage of a major corporate compliance disaster, it is relatively easy to spot the important events when business needs (or money) are consciously elevated over compliance concerns or even...more

Maurice Gilbert Discusses the Skills Companies Look for in a Chief Compliance Officer [PODCAST]

Years ago, the CCO was not seen as a facilitator or help to the business. Rather, the CCO was seen as an obstructionist role to tell the business “no.” Today, the CCO role is more of a business partnership role,...more

Risk Doesn’t Stand Still, Neither Should Your Program. It’s Time to Assess.

Considering an assessment of your ethics and compliance efforts? The question is not if but when. In the ever-changing world of business, when are you going to ensure that your compliance program is keeping pace with the...more

The Recalibration of Compliance: What is the Definition of Success?

We often hear a chorus of criticism relating to the compliance function. How do you define success? Some of this is the result of a political backlash. Chief compliance officers are the darlings in the corporate...more

Good-Bye to Arnold Palmer and Revolutionizing Compliance

The golfing world and the world of beverages lost one of their giants earlier this week. I, of course, refer to golfing and beverage legend Arnold Palmer. The legend around the beverage is that at dinner one evening Palmer...more

Wells Fargo Week: Part V – Compliance is the Answer

I want to end this week’s review of the Wells Fargo scandal by considering what is at issue and what is at stake in this imbroglio. Unlike a Foreign Corrupt Practices Act (FCPA) violation, Wells Fargo paid the relatively...more

Talking with Your Feet – The CCO’s Ethical Dilemmas

Chief compliance officers are optimistic and committed to “doing the right thing.” It is in their blood and may be at the core of their professional fabric. My guess is that there are far fewer CCOs who like to push the...more

Compliance Is Tough, Build Your Network! Roy Snell, CEO of the SCCE, Explains [PODCAST]

Compliance is a team sport, and building a network to share ideas, experience, and concerns is critical. The Society of Corporate Compliance and Ethics (SCCE) has played a big part in my growth as a professional and in my...more

Hallmark 3 – Oversight, Autonomy and Resources

I. Autonomy - The DOJ has made clear over the years the importance of this hallmark. In the FCPA Guidance it states, “In appraising a compliance program, DOJ and SEC also consider whether a company has assigned...more

Due Diligence Questions Chief Compliance Officers Should Ask In A Job Interview

The following guest post is by Maurice Gilbert, Managing Partner of Conselium Executive Search. Earlier this month I posed a question to Chief Compliance Officers around the world: “Since today’s regulatory climate means...more

Compliance is a Business

Compliance is a business. That statement should not come as a shock or even a surprise to anyone who has worked in the corporate world. Every part of a business should work towards doing business. Yet many compliance...more

Rodriguez ‘Retires’ – Lessons for the Compliance Practitioner

Alex Rodriguez announced his retirement from baseball, effective Friday, August 12. In a New York Times (NYT) article he said, “Saying goodbye may be the hardest part of the job,” “But that’s what I’m doing today. As far as...more

An Organizational Response to Global Compliance Challenges

The following is part II of a guest post by Alison Taylor and James Cohen. A consensus has emerged as to what an effective anti-corruption compliance program looks like – its components and success factors. At the same...more

Compliance Meaningfulness: Hard to Achieve, Easy to Destroy

In an article titled, What Makes Work Meaningful- Or Meaningless by Catherine Bailey and Adrian Madden (MIT Sloan Management Review, Summer 2016), the authors focus upon what makes our work meaningful, with research...more

[Webinar] How do I Keep All My Employees—From Millennials to Boomers—Engaged with Compliance Training? - June 24th, 10:30am...

Join NAVEX Global and a group of your peers for a short session where we’ll answer your questions and share solutions about Ethics & Compliance Training....more

Do Former Prosecutors Make Good CCOs?

A number of companies have adopted the requirement that a new Chief Compliance Office come from the ranks of former federal prosecutors. I am not sure exactly why companies have adopted this requirement. Perhaps company...more

GHBER Tribute to Jay Martin

This Thursday 19th May, the Greater Houston Business and Ethics Roundtable (GHBER) will hold its first Ethics and Compliance Awards Dinner in honor of the 20-year anniversary of the organization’s founding. We will award the...more

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