By Adam TurteltaubDo you ever ask yourself, “What kind of compliance officer am I?” Netherlands-based Susan du Becker, Director, Risk & Compliance at Microsoft, thinks we all should. To her experience, there are two answers to that question.One is a regulatory compliance officer: someone who is focused on the requirements of regulators, potential f…

By Adam TurteltaubRob Tull (LinkedIn), Managing Director at Effective Compliance LLC wants every compliance officer to be both competent and able to demonstrate it. He advocates for the development of four sequential, underlying skills: Communication The ability to be aware of risks Adaptability, and Decision-making/judgementUnderlying all of them …

By Adam TurteltaubWho are you talking to? When you think about all the employees in your organization, who do you see in your mind? You probably, and should, think of several people: the person in the plant, the R&D people, the sales team. They all have different needs, maybe even different cultures.Adam Balfour, Carsten Tams and Karen Moore (Linke…

By Adam TurteltaubIt’s a complex world, we all know, and we all try to simplify it and our lives, at least from time to time. Nitish Upadhyaya, Director-Behavioral Insights at Ropes & Gray’s R&G Insights Lab and podcaster, wants compliance teams to appreciate complexity and, if not embrace it, at least understand how to work with it.For him this jo…

By Adam TurteltaubThe Health Care Compliance Association just published the 4th edition of the Research Compliance Professional’s Handbook, and to see what’s new in it we sat down with the editor, Kelly Willenberg (LinkedIn) of Kelly Willenberg & Associates.The Handbook, she explains is there to help both those who attend the HCCA Healthcare Resear…

By Adam TurteltaubIt’s one thing if a company wants to protect its trade secrets. But, what if it wants to keep its dirty little secrets from getting out? Then, the SEC may want to step in.Stephen Cohen (LinkedIn), partner at Sidley Austin, and a former senior leader in the Enforcement Division at the SEC, explain in this podcast that, to understan…

By Adam TurteltaubGreg Walters is an attorney in the Cyber Risk and Governance Branch at the SEC. But in this podcast he’s not speaking as an enforcer but as someone who has seen a lot of compliance training during his career as a government attorney across numerous agencies.He warns that while an organization may boast of 100% completion rates for…

By Adam TurteltaubThere is an expectation in many, if not most people, that at some point they will, or should be, promoted. But how do you know if you are ready? And, once you are promoted, what does it take to succeed in your new role?To find the answers we spoke with compliance veteran, Debbie Hennelly, Founder & President of Resiliti.The first …

By Adam TurteltaubWhat if you had a compliance program and nobody noticed? It’s not likely. But what if you had a compliance program, and nobody understood what it did? That, sadly, is more than a bit of an ongoing problem.To take on that challenge we spoke with Carolina Santos de Silva, Head of Ethics & Compliance EMEA for Bridgestone EMEA and Pau…

By Adam TurteltaubWith the explosion of sanctions regimes globally, and particularly in the US, most any company that exports just about anything now has to have a trade compliance effort. To understand what that entails we spoke with Julia Komarovskaya, Export Compliance Manager at MathWorks.It’s a complex challenge, she explains, with the Bureau …

By Adam TurteltaubReports are that there over 50 million people in the world living in modern slavery conditions, and, of those, 60% work in forced labor in the private economy. Ensuring that your organization isn’t sourcing from suppliers who victimize labor is both a moral and a legal obligation, with more and more jurisdictions enacting legislat…

By Adam TurteltaubThere are hundreds of Compliance Perspectives podcasts, and this is the first one that is a podcast about podcasts. More specifically, the podcasts created by the compliance team at John Deere.The compliance team there had long looked to a wide range of tools for reaching the workforce including a monthly email newsletter, channel…

By Adam TurteltaubPsychological safety is a term we hear a lot in business and elsewhere. It’s also a concept that Jen Mason, Vice President, Enterprise Compliance & Ethics at McKesson, thinks we in compliance should embrace. It means creating an environment where employees can feel comfortable expressing their thoughts, ideas and concerns without …

By Adam TurteltaubWe live, to say the least, in polarized times. While it’s easy to look to politicians as the cause, Karthik Ramanna, Professor of Business and Public Policy at the University of Oxford’s Blavatnik School of Government and author of the book The Age of Outrage: How to lead in a Polarized World, argues there are other causes to cons…

By Adam TurteltaubThe Corporate Transparence Act was a part of landmark anti-money laundering legislation passed in 2021. It was designed to shift reporting of corporate ownership from a hodgepodge of different financial institutions to the owners or the companies.As Jamie Schafer (LinkedIn), Partner at Perkins Coie explains in this podcast, the go…

By Adam TurteltaubAre employees where you work suffering from ethical burnout? What is it exactly and how can you tell?To understand more we spoke with Richard Bistrong (LinkedIn), newsletter author and CEO off Frontline Antibribery, who co-authored with Dina Denham Smith and Ron Carucci an article for Harvard Business Review, “4 Warning Signs of E…

By Adam TurteltaubBack in November 2023 on a previous podcast, Jason Meyer (LinkedIn), founder of Meyer Business Law and President of LeadGood Education, shared with us an interesting statistic: Estimates are that about 20% of the workforce has some sort of neurodiversity such as ADHD, autism, dyslexia, sensory integration and executive function is…

By Adam TurteltaubGovernments don’t only want to prosecute companies for paying bribes. Increasingly, they are looking for companies to join with them to reduce the global challenge of corruption.To learn more we spoke with Shruti Shah, Senior Policy Advisor, Office of Coordinator on Global Anti-Corruption at the US Department of State. In this pod…

By Adam TurteltaubWoo hoo! You got the interview. Now, how do you make the most out of the opportunity to determine if this is the job of your dreams or of your nightmares?Lisa Fine, Senior Director, Global Ethics & Compliance at Pearson takes a break from her Great Women in Compliance podcast to share that you need first to focus on the basics, st…

By Adam TurteltaubFair Market Value (FMV) calculations in healthcare, if done improperly, can lead you down the path to civil monetary penalties or even prison. To help understand the challenge and how to meet them, we spoke with Bob Wade, Partner at Nelson Mullins and host of the Stark Integrity Podcast Series.Calculating FMV has proven to be some…

By Adam TurteltaubSo how do you ensure the next time you’re searching for a chief or senior ethics and compliance officer that the search is successful? We put that question to executive recruiter Jamie Browne, Managing Director, Corporate Governance, Leonid Group. Jamie recently shared advice for candidates on finding their next position.In this p…

By Adam TurteltaubYes or no: Do you do investigations? Do you prepare questions in advance? Are those questions yes or no in nature? Did you know that may not be the best way to do it?In this podcast, Michael Johnson (LinkedIn), Chief Strategy Officer, Traliant, explains that closed-end questions are often unproductive. Worse, questioning the targe…

By Adam TurteltaubThe new EU General Product Safety Regulation (GPSR) replaces the previous directive of 2001. While there are many similarities between the two of them, reports Ferry Vermeulen, Co-Founder of 24hour AR, there are a few key differences. The GPSR now applies to all consumer goods sold, not just those that were not yet covered by othe…

By Adam TurteltaubThe Organization for Economic Co-operation and Development, better known as the OECD, has long played a role in the fight against corruption. It’s Convention on Combating Bribery of Foreign Public Officials in International Business Transactions has led to the proliferation of anti-corruption laws around the globe and encouraged c…

By Adam TurteltaubHealthcare lives on data. Getting it to the patient and providers is essential for delivering quality care, but that can be a challenge.As Eden Avraham-Katz (LinkedIn), Vice President, Legal and Compliance at 1upHealth explains in this podcast, the CMS Interoperability and Prior Authorization Rule helps standardize how health plan…

By Adam TurteltaubDan Longhouse, founder and president, LHT Learning, wants organizations to change their definition of successful compliance training. Rather than just being about avoiding risk, he believes the training strategy should be designed to help employees understand why compliance is critical to business success. They need to see, he arg…

By Adam TurteltaubWhat should you ask when first approached about a job by a recruiter? What should you ask during the interview to ensure that there is a cultural fit, and that the compliance program has management support? What skills do hiring managers want in compliance officers? And what’s the overall market like?To get answers to these questi…

By Adam TurteltaubWhen we think of third parties we tend to immediately think of the risks. But what if it is a third party that differentiates itself by the rigor of its compliance program?Such is the case with Swiss-based DKSH, which serves the consumer goods, healthcare, performance materials and technology industries. Tal Freilich, Vice Preside…

By Adam TurteltaubJay Anstine (LinkedIn), President of Bluebird Healthlaw Partners, recently wrote a blog post I spotted entitled How to Sell Compliance Without “Selling” Compliance. It struck home, and I asked if he cared to do a podcast about it.He said yes and explained in the interview that compliance is often seen as the “hall monitor” rather …

By Adam TurteltaubIn 2023 the US Securities and Exchange Commission adopted rules “requiring registrants to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their cybersecurity risk management, strategy and governance.”Michael Leach, Director, Global Compliance, for data sec…

By Adam TurteltaubAt Transparency International’s International Anti-Corruption Conference I had the good fortune of meeting Olusoji Apampa, CEO of Integrity Nigeria. I appreciated hearing his insights on corruption risk in Nigeria, and, to share them with a wider audience, we sat down for this podcast.The risk, of course, is real and high. Worse, …

By Adam TurteltaubMelanie Fontes Rainer recently marked the completion of her second year leading the Office for Civil Rights at HHS. In this podcast she shared some of the accomplishments over this time as well as what the health care community can expect next.She recounts the six rules that have been issued, ranging from reproductive rights to Se…

By Adam TurteltaubThere isn’t one way to handle conflicts of interest. Much depends on the research the organization is doing, its history and other systems. Hilary Kitson, Research Compliance Business Partner at Saint Luke’s Health System, reports that typically the starting point is Title 42 PART 50 Subpart F in the Code of Federal Regulations. I…

By Adam TurteltaubHere’s a terrifying thing I just learned: the average ecommerce website has 66 third-party tags on the page. That’s according to our podcast guest, Rui Ribeiro, CEO of Jscrambler. The tags, pixels and scripts control everything from the video to payment processing to the consent wall to the chat function. And, guess what: they may…

By Adam TurteltaubWhat have you done?What have you achieved?Have you forgotten?Did you succeed?What were your goals?Were they ever reached?What about your firewall?Was it ever breached?Jisha Dymond took inspiration from Dr. SeussAn annual tradition to give kids a boost.Take the time to note what you have done.It will be illuminating, and may even b…

By Adam TurteltaubIn April 2024 the US Equal Employment Opportunity Commission released an update to the Enforcement Guidance on Harassment in the Workplace. This was the first update since 1999.Stephen Paskoff, the President and CEO of ELI, explains that the guidance now treats LGBTQIA+ harassment similar to other forms of harassment.The document …

By Adam TurteltaubDocument retention is one of those persistent issues that comes with a great deal of complexity. As Michael Kearney (LinkedIn), Head Solution Architect, Redgrave Data explains in this podcast, organizations have to deal with a dizzying array of rules. HIPAA has one set of requirements, state laws for medical records another, finan…

By Adam TurteltaubData analytics is a pretty darn big deal in compliance and ethics these days, with rising expectations for compliance programs to be able to demonstrate their effectiveness using hard data. The word “data” even appears a dozen times is the US Department of Justice Criminal Division’s Evaluation of Corporate Compliance Programs doc…

By Adam TurteltaubMobile devices are terrible if you need to retrieve information from them. Employees hate handing them over and there are a ton of apps in which data disappears automatically. All in all, it’s just a nightmare.But, the government still wants you to track what employees are saying, and you may have to produce that data.Matt Rasmuss…

By Adam Turteltaub“What else should the board be asking?”It’s a good question in general and the tile of a session at the SCCE Compliance & Ethics Institute, which will be held September 22-25, 2024 in Grapevine, TX.In this podcast, the leaders of that session, Deborah Spanic, Chief Ethics & Compliance Officer of Clarios, and David Gebler (LinkedIn…

By Adam TurteltaubHow do you get employees working remotely, who may have less of a connection to the company, to make the effort and take the risk of reporting potential wrongdoing?For Evie Wentink, it starts with recognizing the need to encourage a culture of reporting for these workers. It also includes recognizing that, even though they are rem…

By Adam TurteltaubIt’s not for nothing that there’s a year in the title of this blog post and podcast. Social media risks change frequently, explains Kortney Nordrum, VP, Regulatory Counsel & Chief Compliance Officer at Deluxe. She is the author of the chapter “Social Media Compliance” in The Complete Compliance and Ethics Manual and will be leadin…

By Adam TurteltaubEveryone wants a mentor. Not everyone gets one, and not every mentor-mentee relationship works out.Sarah Couture, Principal at Couture Compliance wants to change that. She’s the author of the chapter, “Mentoring for Compliance Professionals” in the Complete Healthcare Compliance Manual.In this podcast, she offers advice for mentor…

By Adam TurteltaubMichelle Nichols (LinkedIn) from the compliance team at Farmer Mac definitely wins the prize for the most unexpected title for a session at the 2024 SCCE Compliance & Ethics Institute: “How Dating in My 50s Made Me a Better Compliance Officer.”As she explains in this podcast, the realization that people bring their past relationsh…

By Adam TurteltaubAs the risk of human trafficking and modern slavery rises on the radar, compliance teams need to start their risk assessment by looking at the map, says Sam Logan, CEO and founder of Evidencity. The number of jurisdictions with laws in this area are increasing.In addition, some countries have far greater risk than others, with lon…

By Adam TurteltaubThe annual Navex Whistleblowing, Incident Management and Benchmarking Report provides valuable insights into what’s going on across the corporate compliance landscape. To get the highlights we spoke with Carrie Penman (LinkedIn), Chief Risk & Compliance Officer for Navex.The 2023 data showed that reporting reached an all-time high…

By Adam TurteltaubRisk assessment and management is at the core of compliance and front and center on the agenda at the SCCE 23rd Annual Compliance & Ethics Institute, which takes place September 22-25 in Grapevine, TX (and virtually, too). Elizabeth Simon, Vice President of Compliance & Risk at Progress Residential will be contributing to the disc…

By Adam TurteltaubIn some ways it’s still the Wild West when it comes to AI, with developments happening faster than most can fathom and the law can respond. At the same time, though, the sheriff has begun to arrive.Gwen Hassan (LinkedIn), Deputy Chief Compliance Officer at Unisys and Adjust Professor at Loyola University Chicago School of Law expl…

By Adam TurteltaubIf you’re thinking about attending an HCCA Research Compliance Academy, take a few minutes to l to this podcast featuring Kelly Willenberg (LinkedIn), one of the faculty members and founder of Kelly Willenberg & Associates.Listen in as she explains: Who the Academy is for. Basically anyone working in or with oversight of research …

By Adam TurteltaubCorruption is a well-known risk in Latin America, but how great the risk is on a country-by-country basis is less well understood. To fill in those blanks and many more, the law firm Miller & Chevalier just released its 2024 Latin America Corruption Survey.The firm has been fielding this survey every four years since 2008, reports…