General
Getting Started on Compliance Incentives
Last week I had the privilege of moderating a webinar on how to structure and use incentives in an ethics and compliance program. This is good, because incentives are one of those ideas that we all know should be in your program somehow, but using them smartly and at scale is tricky. My notes are…
Read MoreAn Intriguing Whistleblower Award Case
We haven’t talked about whistleblower awards in a while, but a recent spat over one such award from the Securities and Exchange Commission might be worth our attention. It raises some interesting questions about whether the SEC’s whistleblower award policies might squelch employees’ incentives to first report misconduct concerns on internal hotlines. The SEC issued…
Read MoreImportance of ‘Feeling Heard,’ Yet Again
By now most people have heard that grand juries in Washington and Chicago are declining to indict people arrested for anti-ICE protests. The political subtext here is that juries in Democratic regions won’t indict people arrested by the Trump Administration. What does that tell us about the breakdown in cultural norms within large organizations? That…
Read MoreKeeping Humans in the AI Loop
I spent this week in Lithuania attending a conference for compliance officers in Eastern Europe, and this being Europe, of course that meant artificial intelligence and data privacy were all over the agenda. So it’s rather poetic that European regulators also just published fresh guidance on human oversight of automated decision-making systems. The guidance was…
Read MoreOct. 30: Compliance Career Forum
Readers of Radical Compliance know that we love to talk about the compliance job market around here. So I’m delighted to announce that we are co-hosting a virtual Compliance Officer Career day on Oct. 30, to discuss what the job market looks like for compliance officers these days and how you can keep positioning yourselves…
Read MoreAI and Policy Chatbots, Part II
Today I want to return to the idea of using an AI-driven chatbot as a compliance policy adviser for employees. On one hand, the potential gains for your compliance program are clear; but are we miscalculating some of the potential risks that AI chatbots might bring to your program too? This particular bee crept into…
Read MoreParty Alert! Boston Compliance Meetup
Calling all compliance, audit, and risk professionals around Boston: we’ll be hosting another after-work cocktail party on Wednesday, Oct. 15. All are welcome to attend, meet colleagues, and talk shop. A merry band of compliance enthusiasts in Boston (me included) try to hold these networking events every few months. Boston doesn’t have nearly as much…
Read MoreAI Chatbots and Policy Management
Compliance officers talk all the time about how artificial intelligence has the potential to transform the programs you run. Today I want to unpack an example of how that might work, courtesy of a case-study I saw last week involving AI and policy management. The company in question is a global IT services firm (23,000…
Read MoreNotes on Future of SOX Compliance
This week I’m attending the annual user conference for Workiva, maker of software for internal audit and GRC teams. This means, of course, that artificial intelligence is all over the agenda and everyone is talking about how AI will transform internal control and SOX compliance. Let’s review the notes I took. One point that came…
Read MoreWhat If Your AI ROI Fails?
We interrupt everyone’s ceaseless march into an AI-enhanced future to note a recent study which found that using artificial intelligence actually slowed down the performance of experienced software developers rather than enhanced it. For corporations itching to roll out AI tools at scale, these findings raise several questions worth pondering. The study itself comes from…
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