Posts by Matt Kelly

Radical Compliance: Vacation This Week

The title says it all, Radical Compliance followers: we are on vacation this week, which means no posts until Friday. We will have the Compliance Jobs Report as usual on Friday, July 28. (If you have any personnel moves, vendor news, or other industry gossip to report, send it along to mkelly@radicalcompliance.com.) You can also…

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Compliance Jobs Report: July 21

Compliance jobs

Topping this week’s Compliance Jobs Report: the University of California has a new chief compliance officer, plucked from the LAPD; the head of financial crimes compliance at Deutsche Bank is leaving; and a new SEC commissioner may be nominated soon. We also have plenty of news in the GRC vendor world, and a few work…

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Podcast: Implementing ISO 37001

ISO 37001

Compliance officers have heard a lot in the last year about ISO 37001, the new standard for managing anti-bribery programs published by ISO in 2016. Microsoft and Walmart both say they plan to implement it, as a formalized structure to manage their FCPA risks. Then again, Italian oil company ENI announced in January that it…

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SEC Chair Clayton Talks Compliance Costs

New SEC chairman Jay Clayton gave his first speech last week, to the Economic Club of New York—a wide-ranging address that touched on a litany of topics, from cybersecurity to enforcement to Clayton’s favorite subject, “capital formation,” which is code for relaxing rules for IPOs. We could spend days dissecting all 3,865 words of his…

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Compliance Jobs Report: July 14

compliance jobs

This week’s Compliance Jobs Report includes compliance personnel news from LexisNexis, Trinity Health, and WPP Health & Wellness. We have a new CEO at SAI Global, a few personnel moves in the audit world, a well-deserved promotion at the AICPA, and a compliance job opening at Smith & Nephew. Read on… I gather these bits…

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Compliance Thoughts on My Mind

compliance

Random thoughts about corporate compliance and ethics while waiting for Russian operatives to set up a meeting with me rather than Donald Trump Jr… A compliance officer in financial services recently suggested to me that AML compliance functions should be merged with cybersecurity. After all, he said, both groups seek to identify the true intentions…

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Another Vague FCPA Enforcement Action

fcpa

The good news for compliance officers, as you may have already heard, is that we have another FCPA enforcement action under the Trump Administration— and yet again it’s a decision not to prosecute, because the company in question met all the criteria of the FCPA Pilot Program. The company is CDM Smith, a privately held…

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Compliance Jobs Report: July 7

compliance jobs

This week’s Compliance Jobs Report starts with the resignation of the government’s top ethics officer. We also have compliance officer appointments at Shire and SNC-Lavalin, and internal control news at the Haier Group and at Melco— plus a slew of moves among the vendors and service providers catering to GRC customers. Read on! I gather…

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Tone at Top Gone Wrong: The Christie Example

Nothing says “America!” these days like righteous indignation at a fellow American doing something we don’t like. So as we return from our Fourth of July holiday, let’s all give thanks to one American who cultivates that spirit and gives chief compliance officers a great example to cite next time you’re talking with the CEO…

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Compliance Jobs Report: June 30

Compliance jobs

Another busy Compliance Jobs Report this week! New compliance and risk officers at Humana, Bank of the West, and Funding Circle; promotions at Tata Motors, Teva Pharmaceuticals, and Standard Chartered; and lots of other move around the industry. This week’s jobs report was delayed one day to make room for our outstanding interview with Hui…

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