Chief Compliance Officers Ethics

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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

Corporate Law Governance Update - May 2016

The following developments from the past month offer guidance on corporate law and governance law as they may be applied to nonprofit health care organizations: EXPANDING ROLE OF GENERAL COUNSEL The April 12 survey...more

Mother Maybelle and Effecting Change in an Organization

Today we celebrate great American music and honor one of its founders, Mother Maybelle Carter who was born on this day in 1909. Now known more as the mother of June Carter Cash, the wife of Johnny Cash, Mother Maybelle was a...more

Your Company’s Compliance Program is Finished – April Fool's

Happy April Fool’s Day! Could you ever imagine coming to work one day and realizing that you have “finished” your ethics and compliance program? There is nothing left to do. You can go home. Ohhhh, if only it was so....more

Good-Bye to Captain Hocken and Scaling Up Your Compliance Program

George Kennedy died this week. He was one of the few actors who went from playing tough guys to being a hit in comedies. According to his obituary in the New York Times (NYT), Kennedy played “vicious killers, bumbling lawmen,...more

Embedding the Compliance Message in Middle Management

Chief compliance officers and senior executives wrestle with strategies to spread and embed important compliance messages. A CEO and senior executives can spread a compliance message but they are always battling competing...more

What Good Compliance Looks Like: Part III

I concluded Part II of “What Good Compliance Looks Like” with “compliance and tone at the top are more than stated values, it’s about operational and unspoken values. It’s about a seat at the table of business strategy.”...more

What Does Good Compliance Look Like?

At a corporate summit, the CEO of a Fortune 500 company started his talk by asking “what does good look like?” Good question. “Rules often inspire legalism and minimalism,” he said. “But they don’t govern behavior.” He...more

Ethics and Compliance Predictions for 2016

The New Year brings new promise for compliance professionals. I always sympathize with compliance officers because of their inevitable conflict – their idealism often is confronted by corporate realities – a CEO who...more

Four Compliance Trends and Challenges for 2016

As we close out the year, it is now time to begin the retrospective reviews and predictions for the New Year. I will try to keep them to a minimum but I find it important to reflect and look forward to new challenges....more

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