Risk Mitigation Chief Compliance Officers

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Your Questions: Let’s Talk Risk - A Q&A Session about How to Achieve a Risk-based Approach to Compliance Management

Risk is at the heart of every compliance program. But that’s sometimes easier said than done. In January 2015, Kwamina Williford, Partner at Holland & Knight; Chris Caron, Compliance Director at Kiewit; and Joe LeBas of...more

Breaking Down Compliance: The Keys to Creating a Successful Compliance Program—As Told through the Letters of COMPLIANCE

Still being a young role and profession, many people are working to define what makes a successful compliance professional and program, and what can help them improve. After traveling the country for the past few months at...more

4 Key Benefits of Compliance Technology: How to Build the Business Case for Investing in Modern Compliance Technology

Let’s face it, we live in a technological world where we expect to get more intelligent information faster than ever before. Yet compliance functions are still spending a disproportionate amount of time collecting data with...more

Best Practices for Auditing & Monitoring Your Ethics & Compliance Program

To be defensible, it’s not enough to implement a strong ethics and compliance program. Regulators expect that companies are continually auditing and monitoring their programs and internal controls. Many companies with...more

[Webinar] How EU Companies Can Implement & Demonstrate Effective Anti Bribery Compliance in Emerging Markets - July 9, 9:00 am EST

European companies subject to FCPA jurisdiction or comparable European jurisdictions, and doing business in emerging markets such as the BRIC nations, face a rigorous compliance standard. Firms must have compliance processes...more

Survey Finds Companies More Prepared to Combat Global Corruption

The international community has made significant strides in combating corruption, with a proliferation of anti-bribery laws putting companies under pressure to ensure they — and their business partners — are able to detect...more

Estimating the Impact of Employee Engagement in Compliance and Ethics Training

In this on-demand webcast, The ROI of Compliance Training, David Houlihan, Principal Analyst of Blue Hill Research discusses the underlying business needs and dynamics related to the role of employee engagement in the...more

8 Strategies for Compliance Risk Management: How to Fortify Your Efforts, Reduce Risk and Increase Confidence in Your Program

As a compliance practitioner, your goal is to design and oversee a program that’s comprehensive enough to mitigate risk, strong enough to address issues that occur (because they always can, and will) and robust enough to...more

Encouraging Employees to Break the “Rules” to Do the Right Thing

Laws and regulations draw black lines in often-gray areas. That is their purpose; they exist to make it easier to tell what is “wrong” and what is “right” (as defined by whoever made the law). The U.S. government has...more

Corporate Risk Ownership: When There are Multiple Teams Involved, Who Owns What?

“We have a enterprise risk management team. Where does their role end and ours begin?” That’s a common question as compliance teams mature their programs into risk-based approaches. The truth is, compliance risk...more

Wall Street and Ethics

I have to confess that there is a part of me that was skeptical about a new survey released last week finding that banks and other financial institutions have not embraced a culture of integrity. Indeed, the survey found...more

Tea Leaves from AAG Caldwell on An Effective Compliance Program

The government is on a public relation campaign. Department of Justice and SEC officials have been making the rounds and giving important speeches on criminal prosecutions, cooperation and voluntary disclosure and ethics and...more

Why Reputation Risk is Quickly Climbing the Ethics and Compliance Priority List, Part 3 | Beyond Compliance Training

So far in this series, we’ve discussed why companies are adopting a more public focus on ethics and compliance, how reputational risk can impact a company and its brand, and the first three elements of a five-part framework...more

Boeing Kickback Case Underscores Critical Importance of Compliance Programs - Government Contractors Must Be Proactive in...

In the words of F. Scott Fitzgerald, "Show me a hero and I'll write you a tragedy." When the hero of the day is a company's compliance program, it's almost a surefire bet that that a tragedy is being written. But at the same...more

Front-Line Video: An Interview with Jane Ellis, Anti-Bribery and Compliance Expert [Video]

On March 13th, 2015, GRC Solutions hosted a Round-Table discussion with compliance and legal professionals from some of the largest firms in Australia. I was invited as an Anti-Bribery, Compliance and Ethics consultant via...more

A Neglected Compliance Task: Program Assessments

The secret of life is honesty and fair dealing. If you can fake that, you’ve got it made. – Groucho Marx - Sometimes compliance practitioners miss the forest from the trees. They can get lost in the details of their...more

FCPA Compliance and Ethics Report-Episode 147-Prof. David Orozco on the use of compliance as a business strategy [Video]

In this episode I visit with Florida State University Professor David Orozco about his recent article on the use of corporate legal as a business strategy and its implications for the compliance practitioner. ...more

Compliance Reponses to Economic Downturns: A Focus On The Energy Sector

I. The Problem - As I write, oil is hovering around $50 per barrel. The price will inevitably rebound, but all compliance officers need to be prepared for responding to economic downturns in their respective industries...more

Practical Advice on Risk and Compliance Program Assessments

Sometimes the compliance industry makes things harder than they really need to be. As a result, Chief Compliance Officers are left to modify and transform practices and tools to fit the real world. I understand why CCOs do...more

Fleet-Footed Investigations and Prompt Remedial Action: The New Normal

Does your company respond to all internal concerns immediately, investigate them thoroughly and remediate them with unmatchable speed? What if the concern comes from an officer, director, lawyer, compliance professional,...more

Making the Case for Compliance Training for Third Parties

How to make the case for implementing third party compliance training in your organization. A recent article in the San Francisco Chronicle profiled Jay Jorgensen, the new Global Chief of Compliance at Walmart. The...more

COSO and Internal Controls – Part V

This post concludes my exploration of internal controls and how companies can demonstrate compliance with the internal controls requirement under the Foreign Corrupt Practices Act (FCPA) by adhering to the Committee of...more

COSO and Internal Controls – Part III

This post continues my exploration of internal controls and how companies can demonstrate compliance with the internal controls requirement under the Foreign Corrupt Practices Act (FCPA) by adhering to the Committee of...more

Catching Up on the False Claims Act

From a corporate risk perspective, if your company is in the financial industry, healthcare, or defense industry, your greatest legal and compliance risk has to be the False Claims Act....more

Time To Apply A Risk-Based Approach To Information Security Training

Digital warfare seems to be the name of the game these days. Terrorists attack our database infrastructures and wreck havoc by making personal information public. Look at the most recent attacks on Sony, Chick-Fil-A and...more

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