Dispatches From IIA Conference

conference

The Institute of Internal Auditors held its global annual conference this week in Chicago, drawing together more than 1,700 audit professionals for its first in-person conference since 2019 to talk about internal controls, audit reports, working with boards, and lots more. Yours truly was on the scene, and I’ve pulled together some dispatches from social…

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Conflicts, Part II: A Process Perspective

conflicts

Last week we had a post on managing conflicts of interest that proved quite popular with compliance officers. Today I want to circle back to that subject because I also heard from several internal audit leaders, who had quite a different perspective on how to handle this challenge. Essentially, their view was that an organization…

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Compliance Jobs Report: July 15

compliance jobs

The Compliance Jobs Report is back, and with another big report! We have new hires at Leidos, HireRight, Wesco Distribution, McKinsey, and elsewhere; departures at MGM Grand and a few other places; promotions at Activision Blizzard and Allianz; and job leads in law firms, semiconductors, and more semiconductors.  As always, thank you to all the…

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Lawyer Busted on Fake Complaints Scam

Unbelievable story today from the annals of Compliance Professionals Gone Wild: the former lawyer for a Tennessee trucking company has been disbarred for fabricating employee complaints, which he then used to launch sham remediation hearings and pocket the settlement money himself by forging the employees’ signatures.  The lawyer in question is one Glen Ray Fagan,…

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Compliance Jobs Report: July 1

compliance jobs

This week the Compliance Jobs Report has updated on compliance professionals either coming or going from Dell, Yelp, Nissan, Conifer Health, McKesson, and many more. We also have some work anniversaries to celebrate; job leads in the Chicago region; and our Meme of the Week goes out to privacy breaches. As always, thank you to…

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E&Y, the SEC, and ‘Gatekeepers’ 

ernst

The saying in Washington is that it’s not the crime that ruins you; it’s the coverup. Ernst & Young is learning this week how true that is, with the Securities and Exchange Commission’s $100 million fine against the firm for cheating on CPA exams and then failing to be forthcoming about the breadth of that…

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New York Fines Carnival $5M on Cyber Fails

carnival

Financial regulators in the state of New York just served up quite the example of cybersecurity enforcement, with a $5 million fine slapped against Carnival Corp. for failing to report several cybersecurity breaches in a timely manner and failing to implement required technical controls that would’ve reduced the odds of those attacks in the first…

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Roe Falls; Compliance Programs Brace

roe

They say that a columnist writes about what people are talking about, so there’s only one thing to write about today: the immense implications of the Supreme Court’s decision to invalidate Roe v. Wade. Even at this early stage, the consequences for corporate ethics and compliance programs are emerging fast and furious.  We can begin…

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Compliance Jobs Report: June 24

compliance jobs

The Compliance Jobs Report this week has a few gossipy items about Rite Aid, a new compliance boss at Tesla (good luck), and other personnel items from Rabobank, Google, Victoria’s Secret, Cooper Standard, and more. All our compliance job leads are for the Atlanta area, and Meme of the Week goes out to pushy compliance…

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SEC Dings Brinks on Pre-taliation

pre-taliation

Just in time for Throwback Thursday, cash management company Brinks Co. has agreed to pay $400,000 to settle charges from the Securities and Exchange Commission that its employment contracts included pre-taliation clauses — a whistleblower no-no that had been largely dormant since 2016. As outlined in a settlement order quietly announced this week, the SEC…

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