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Thoughts on Compliance Career Risk


Last week I had a chat with a mid-career corporate audit professional. She was a terrific person — good experience, thoughtful professional, well-spoken — but also out of a job, and somewhat out of sorts.  We’ll call my friend Jane. She had been working at a tech company that had raised an impressive amount of…

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Compliance Role in Operational Resiliency

operational resiliency

“Operational resiliency” is one of those phrases in corporate compliance and risk  management that, let’s be honest, sounds boring as hell when you first hear it.  Like so much else in this field, however, it’s not boring once you consider what operational resiliency actually means — which is exactly what several dozen compliance professionals did…

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CCOs Serving on Corporate Boards


This week I had the privilege of moderating a forum in New York for ethics and compliance officers who wanted to talk about an idea that makes tremendous sense: CCOs serving on corporate boards.  After all, regulators increasingly want companies to embrace a culture of compliance that avoids corporate misconduct in the first place, or…

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Random Thoughts on Compliance… 


Radical Compliance is in London this week, tending to a few speaking events and some much-needed pub visits. That means fewer timely posts than usual, so here are some random thoughts to keep you entertained while we wait in the immigration arrivals line at Heathrow Airport.  Washington should hurry up and pass legislation to extend…

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AI, Getting Ahead of Us Again


Well here’s a creepy example of artificial intelligence racing ahead of our ability to govern it wisely: a tech startup that uses AI to study job applicants’ facial expressions, speaking style, and word choice to generate an “employability score” for people and then filter out low-ranking candidates.  The startup in question is HireVue, and you…

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Mylan’s Lessons on Silos & Risk


Compliance officers often worry about the threat of siloed risk management, where one part of the enterprise is addressing a risk without keeping other parts fully informed. The Securities and Exchange Commission recently served up a good example of how that threat comes to pass, in the case of Mylan and its improper charges for…

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Compliance and Careers Amid Corporate Upheaval


This week I was in Denver attending the Converge 2019 conference hosted by Convercent, and as one might expect, lots of the sessions there focused on how to apply technology to compliance programs.  For my money, however, the most interesting session explored something quite different: how compliance officers can navigate their careers amid upheaval at…

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Some Points on Why People Stay Silent


Ethics and compliance officers often need to consider the psychology of whistleblower retaliation and the culture of silence around corporate misconduct. Why do groups of people tolerate things they know are wrong? Why do people punish those who sound the alarm, rather than join them in defense of what’s right?  As you ponder those questions,…

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Building Compliance at Georgia Tech

Today we have another Radical Compliance podcast interview, this time talking with Ling-Ling Nie about how she is trying to build the first formal ethics and compliance function at Georgia Tech. Nie joined Georgia Tech last March after a distinguished career in the corporate sector. Her objective since then has been to build a formal,…

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Professional Development on No Budget


Professional development is crucial for every compliance officer. Either you need it yourself, to better understand the issues in our field; or you need to provide it to your team, since that’s part of your job as chief compliance officer.  So how does one devise professional development opportunities under what we’ll call an “extremely limited”…

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