News & Analysis as of

Human Resources Professionals Chief Compliance Officers

Day 11 of One Month to Better Investigations and Reporting-Investigative Challenges

by Thomas Fox on

Today, I want to consider some of the challenges you may well face during an investigation. I am once again joined by Jonathan Marks, a partner at Marcum LLP and well-known investigations expert. Beyond the basics, a company...more

Day 9 of One Month to Better Reporting and Investigations-The Investigation Team

by Thomas Fox on

Beginning with the Department of Justice’s (DOJ’s) Yates Memo, its Foreign Corrupt Practices Act (FCPA) Pilot Program and then the release of the Evaluation of Corporate Compliance Programs (Evaluation), I believe the DOJ has...more

Compliance into the Weeds-Episode 40, COSO ERM Framework Update

by Thomas Fox on

In this episode Matt Kelly and I take a deep dive into the revisions to the COSO ERM Framework, which were based on comments by practitioners. We consider the role of culture and risk, the integration of the COSO ERM...more

Day 21 of One Month to Better Compliance Through HR-the HR Gap Analysis for Compliance

by Thomas Fox on

How can you determine if Human Resources (HR) can meet the needs of a best practices compliance program? One place to start is with a gap analysis to determine what HR has in place that can facilitate your company’s...more

Day 20 - Compliance Leadership from the Bottom

by Thomas Fox on

The key concept from the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Program (Evaluation) is operationalization. For instance, under the query Shared Commitment is the following question - “How is...more

Operationalizing Compliance: Part III – Human Resources

by Thomas Fox on

This week I am engaging in a week-long series on how a Chief Compliance Officer (CCO) or compliance practitioner might think about operationalizing a compliance program with other corporate functions and disciplines. I am...more

Hallmark 6-Incentives and Disciplinary Measures

by Thomas Fox on

The FCPA Guidance states, “In addition to evaluating the design and implementa­tion of a compliance program throughout an organization, enforcement of that program is fundamental to its effec­tiveness. A compliance program...more

A Trip to the Dentist for Some Compliance Insight

by Thomas Fox on

I had to go to the dentist yesterday. I went for what I thought was filling repair but I had somehow forgotten that it was a wisdom tooth removal and a filling repair. I know you are thinking either (1) why does someone his...more

The Challenge of Hiring Anti-Bribery Compliance Leaders

A few weeks ago I had the pleasure of meeting Maurice Gilbert, Managing Partner of Conselium Executive Search in Dallas. I have been a contributor to his other organization, Corporate Compliance Insights for quite some time,...more

Hiring In Compliance, Part V: The Offer and Conclusion

by Thomas Fox on

I conclude my series of blog posts on the hiring process in the compliance field, which have been based on a series of interviews with Maurice Gilbert, the Managing Partner at Conselium Partners LP. Today, I want look at the...more

Hiring In Compliance, Part III – Presentation of Job Opportunity to Potential Candidates

by Thomas Fox on

This week I am presenting a series on hiring in the compliance industry based on interviews I did with Maurice Gilbert, the Managing Partner at Conselium Partners LP. Today, I want look at the presentation of the job offer to...more

Hiring In Compliance – Part I: Developing the Job Profile and Criteria

by Thomas Fox on

A couple of weeks ago, I had a guest post from Maurice Gilbert, the Managing Partner at Conselium Partners LP entitled “Why is it so hard to hire compliance practitioners?”. There were many questions posed to me based upon...more

The Necessary Ingredient to Compliance Success: Interpersonal Skills

by Michael Volkov on

We always bandy the phrase around of “people skills,” or the old trendy phrase of “emotional intelligence.” Hopefully, this posting can create some ideas around new approaches to these old concepts and trendy terminology....more

BNY Mellon and Lessons Learned In Hiring Family Members – Part II

by Thomas Fox on

In yesterday’s post I reviewed the Securities and Exchange Commission (SEC) Foreign Corrupt Practices Act (FCPA) enforcement action involving the Bank of New York Mellon Corporation (BNY Mellon) around its hiring of sons and...more

Why Is It So Hard to Hire People in Compliance?

by Thomas Fox on

Ed. Note-I recently asked Maurice Gilbert, founder and CEO of Conselium Executive Search if he would share some thoughts as to why and how a company should use an executive search firm when recruiting a C-Suite level...more

Great Structures Week III – The Roman Arch and Resourcing Your Compliance Program

by Thomas Fox on

I continue my Great Structures Week with focus on structural engineering innovations from ancient Rome. I am drawing these posts from The Teaching Company course, entitled “Understanding the World’s Greatest Structures:...more

Perspectives: Trends and Topics in Not-For-Profit Management - May 2015

by Benesch on

In this Issue: - Not-for-Profit Spotlight - IP and IT Procurement for Not-for-Profit Organizations - Starting Off Right: Recruiting, Training and Retaining Fundraising Staff - Guidance Released...more

Economic Downturn Week, Part II – The Golden Gate Bridge and Employment Separation – Hotlines and Whistleblowers During Layoffs

by Thomas Fox on

I use the Golden Gate Bridge as an entrée to my continued discussion on the series on steps that you can use in your compliance program if you find yourself, your company or your industry in an economic downturn. Whether you...more

Episode 155-Mara Senn on FCPA Investigations and the Decision to Self-Disclose

by Thomas Fox on

In this episode I visit with Mara Senn, a partner at Arnold & Porter on how to think through a FCPA investigation and she provides a decision making calculus on how to make a decision...more

Blog: OIG Releases New Guidance for Board Oversight of Corporate Compliance Programs

by Cooley LLP on

Yesterday, the U.S. Department of Health and Human Services Office of Inspector General (OIG), in conjunction with the American Health Lawyers Association (AHLA), the Association of Healthcare Internal Auditors (AHIA) and the...more

Want to Drastically Improve Your FMLA and ADA Expertise? Attend These Can't Miss FMLA/ADA Compliance Conferences

by Franczek Radelet P.C. on

Throughout the year, HR professionals and attorneys ask me for my recommendations on the very best conferences to learn more about the FMLA and ADA. The “best,” of course, is in the eye of the beholder. In my humble...more

Good Bye to Mr. Cub, the Siege of Vienna and Doing More Compliance with Less

by Thomas Fox on

Let’s play two! That was perhaps the most famous maxim from Ernie Banks, who died this past weekend at the age of 83. As for a sobriquet, it does not get much better than being known as ‘Mr. Cub’ from any baseball fan from 9...more

Avenues for Reporting Employee Concerns

by Michael Volkov on

We all like to make things more complex or difficult than they need to be. Consider that a life lesson that we can share with our children, assuming they are even listening to us these days....more

Hiring and Promotion in Compliance – Wait for Great

by Thomas Fox on

The role of Human Resources (HR) in anti-corruption programs, based upon the Foreign Corrupt Practices Act (FCPA) or UK Bribery Act, is often underestimated. I come from a HR background and practiced labor law early in my...more

Use of HR in Your FCPA Compliance Program

by Thomas Fox on

In this episode of the FCPA Compliance and Ethics Report, I discuss how HR can help to facilitate your compliance program. ...more

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