Ethics Lessons in Trump Tweets

Occasionally President Trump raises some thought-provoking points for ethics and compliance officers. Not the usual stupid stuff showcasing the ethical decay of the Trump Administration, mind you — but rather, genuinely relevant issues about corporate ethics and compliance programs, that don’t always have clear answers. Trump did that twice this week, which is two times…

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Review: The Accidental Compliance Professional

Roy Snell, long-time director of the Society of Corporate Compliance & Ethics who retired last year, has published a book, The Accidental Compliance Professional — one part compendium of advice for fellow compliance officers, one part love-letter to the profession, and all of it bundled with the folksy, friendly tone Snell has been using for…

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Five-Part Series on Compliance Technology


Corporate compliance and risk officers work under tremendous pressure today — not necessarily to do more with less, but to do better with what the compliance function has, amid increasingly complex regulatory and business environments. Clearly technology is the answer to that call, but astute use of technology remains challenging. How can risk and compliance…

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Making Compliance Analytics Work


Compliance officers spend more and more time these days thinking about data — how to collect it, how to study it, how to report it. So while I attended the Global Ethics Summit in New York this week (excellent event), I dropped into a panel discussion about how compliance officers can build more effective, data-driven…

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Dissecting the Ethics Premium


Earlier this month Ethisphere published is 2019 list of World’s Most Ethical Companies. As always, Ethisphere was also quick to call out what it has dubbed the Ethics Premium: the better stock performance of WME companies compared to large companies overall. Over the last three years, WME firms have outperformed their peers by 10.5 percent.…

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Podcast: CCOs Facing Retaliation


Today we return to a subject of high importance to compliance officers: how to handle retaliation against yourselves — which, for better or worse, is a reality in this line of work. Several weeks ago I wrote a post recounting the tales of the compliance professionals now suing their former employers, alleging retaliation after those…

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Discrepancies in Corporate Disclosure


Several weeks ago we had an update here about the SEC’s idea to relax quarterly reporting rules, perhaps in favor of letting companies disclose more via their earnings release. Today let’s explore two practical challenges with that notion: companies can omit unwelcome numbers in their earnings releases, and change what those numbers are by the…

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Northam and Ethical Accountability


Another week, another challenging example of executive misconduct that ethics and compliance officers should consider. Our star this time around: Virginia governor Ralph Northam. Last week photos surfaced from Northam’s medical school yearbook, published in 1984. On one side of the page is Northam. On the other side is a photo of two unidentified men,…

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Compliance Jobs Report: Jan. 25

compliance jobs

Another Compliance Jobs Report full of news. We have compliance officers on the move at Wex, ON Semiconductor, Conduent, and a few biotech firms. The controller at Vertex Pharmaceuticals got promoted because the CFO got sacked. Uber is recruiting for its compliance function, as is the NFL. And our Meme of the Week goes out…

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Two Insights on Investigations


On Wednesday I had the privilege of moderating an executive forum in Philadelphia on corporate governance and investigations. Roughly 40 compliance and audit executives were there, hosted by audit firm Baker Tilly and law firm Morgan Lewis. Our goal: hash out some of the current challenges in managing complex investigations. Granted, you could talk about…

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