The big news in compliance jobs this week comes from Lawson Products (naming a new CCO) and Harley-Davidson (its head of compliance just left). We also have news about Deutsche Bank, Briggs & Stratton, and work anniversaries being celebrated by compliance professionals around the world. I gather these bits of gossip from LinkedIn, news alerts,…
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Well, now we know the consequences of imposing pre-taliation agreements upon employees and then using those agreements to stifle SEC investigations or would-be whistleblowers. It’s much more painful than any pre-talation sanctions we’ve seen so far. On Tuesday the SEC fined an Oklahoma oil services company $1.4 million for those pre-taliation abuses—a penalty far larger…
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The Securities and Exchange Commission took another whack at corporate pre-taliation agreements Monday, fining a Virginia technology company $180,000 for imposing severance agreements that forbid departing employees from talking to the SEC. The company, NeuStar Inc., had used the agreements with at least 246 employees from 2011 into 2015, according to the SEC. The agreements…
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This week we have compliance jobs news from FINRA (departing enforcement chief) and the SEC (internal promotion), as well as promotions or new jobs for compliance professionals at SCOR, Abbott Labs, Calsonic, and elsewhere. I gather these bits of gossip from LinkedIn, news alerts, and friends emailing me something to include. If you have a…
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Occasionally I write guest posts about compliance and governance topics elsewhere on the Web. Three of those posts have recently gone live, one about third-party risk management and two others about the proper love and care of SOX compliance programs. If you just can’t get enough of me, here is a run-down of where to…
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Fasten your seatbelts, compliance officers—we may just have flown into a vast, uncharted territory of corruption and internal control risk nobody expected. I speak of the SEC’s recent sanction against United Airlines, where the agency applied the spirit of the Foreign Corrupt Practices Act to a bribe United gave to a domestic government official here…
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Spotted on the Internet this weekend: Amazon.com is looking for a program manager to join a newly formed enterprise risk management team—which means, of course, that Amazon has a newly formed ERM team. That’s news to me. The job description says Amazon wants to create a new, centralized ERM function that acts as an adviser…
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The year-end rush of compliance jobs news is picking up. This week we have more departures from the SEC, a new global compliance chief for Daimler, a cleanup of oversight roles at Options Clearing Corp., and the head of regulatory compliance at RBS calling it quits—plus lots of other industry gossip. I gather these bits…
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This week I attended another meeting of the Chief Audit Executive Leadership Forum, where the subject was auditing organizational culture. The conversation brimmed with useful ideas on how to audit and monitor this particularly intangible thing, and we’ve seen plenty of examples this year of culture gone awry. So let’s get into it. Consider Where…
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I’m delighted to announce that my recent posts about the incoming Trump Administration have been included in a new e-book published by Corporate Compliance Insights. You can download the e-book for free on CCI’s website and then ponder the future to your heart’s content. The e-book is a special project from Everything Compliance, the (usually)…
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