The Compliance Jobs Report this week has new hires at Zoominfo, Google, RxDefine, Splunk, and elsewhere. We also have a bundle of personnel news from the financial services world, a notable ex-CCO moving into consulting world, and job leads in software, aviation gear, and Wisconsin. Plus our Meme of the Week! As always, thank you…
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Ethics and compliance professionals looking for guidance about how to develop diversity efforts might want to visit the Consumer Financial Protection Bureau. The CFPB just published a report reviewing diversity efforts at financial firms and how the agency will assess those efforts in the future. Financial regulators are obligated to assess the diversity policies and…
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Let it never be said that arcane bits of academic research have no relevance to corporate compliance! A grad student at Yale has found that regional SEC offices’ robust use of Twitter correlates to reduced insider trading, customer complaints against investment advisers, and financial misreporting. I came across this study last week — on Twitter,…
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Today we have a disturbing lesson on ethics and compliance from New Hampshire, where police are frantically searching for a seven-year-old girl who apparently has been missing since 2019 — because nobody took the girl’s drug-addled mother seriously while she tried to raise alarms about her daughter for months. The girl is Harmony Montgomery. She…
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Another big week for compliance jobs! News from Georgia Tech, Truist, Facebook, Warner Music, Las Vegas Sands, and many more. We also have some compliance officers moving into the consulting world; job leads in transportation, auto parts, and city government; and our Meme of the Week goes out to internal investigators. As always, thank you…
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Here we go again: Princess Cruise Lines has pleaded guilty to a second violation of a probation deal imposed by the Justice Department in 2017 for environmental crimes, will pay another $1 million in criminal penalties, and undertake even more remedial measures to strengthen its compliance program. If all this sounds familiar, that’s because Princess…
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Another week, another interesting sanctions enforcement action from the Office of Foreign Assets Control. This time we have a Hong Kong trading company fined $5.2 million for facilitating trade with a chemicals business in Iran — but also catching a break because the company had warned its employees repeatedly to steer clear of Iranian customers.…
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The National Society of Compliance Professionals, which represents compliance officers specifically in the financial services world, has released a proposed framework to help regulators understand the threat of chief compliance officer liability and when such liability is or isn’t warranted for a compliance failure. The NSCP released its framework on Monday: a series of nine…
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Today we return to the compliance officer bookshelf. I just began reading Get It Done, a newly released book by business professor Ayelet Fishbach, that examines how people can motivate themselves to change their behavior. The first chapter alone raises excellent points about how to set goals that people want to achieve — a subject…
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Our first Compliance Jobs Report of the year! We have compliance personnel hired from Pilgrim’s Pride, Lego Group, Rivian, Bekaert, Scion Health, and lots more; plus a bundle more news from health and life science businesses. Two compliance training startups got acquired; and we have job leads in higher education, Wall Street, and waste reduction. …
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Technically, Radical Compliance is the personal blog of Matt Kelly, long-time writer and observer of the corporate compliance and GRC scene. I was a writer, editor, and publisher at Compliance Week, 2003 through 2015; some of you may know me from my career there. I also speak frequently at compliance conferences and other events, and will pretty much shoot the breeze on any compliance topic with anyone who asks.
