More Tips on Third-Party Risk
FINRA, the regulator for broker-dealer firms, published its annual report on regulatory oversight issues this week — and to little surprise, the report included a section on third-party risk and the internal controls that your firm should consider to keep those risks in check. The advice is useful to anyone in any business sector, so…
Read MoreCompliance Jobs Report: Jan. 31
The Compliance Jobs Report this week has new hires to note at Avanos Medical, TD Bank, Palo Alto Networks, Honeywell, and many more. We also have promotions at BNY, Cash App, and elsewhere; plus job leads in banking, defense contracting, and the best engineering school in the world. Meme of the Week goes out to…
Read MoreCompliance Officer Wins High-Profile Minnesota Race
Good news for compliance officers who believe our great and noble profession should be running the country: An ethics and compliance professional at Medtronic won a special election on Tuesday for state senate in Minnesota! Doron Clark, senior director of ethics, training, and communications at Medtronic, cruised to victory, winning roughly 90 percent of the…
Read MoreCorporate Culture Under Strain, Part I
Compliance officers, we need to talk about corporate culture. It’s been going through some stuff lately, that stuff could have big implications for the compliance programs you so desperately want people to take seriously. First is the push to bring employees back into the office once and for all — full time, five days a…
Read MoreTrump Fires IGs Across Government
President Trump fired more than a dozen inspectors general across the federal government Friday night, yet another sign that Trump has little concern about objective mechanisms for accountability in his administration. The president fired at least 12 inspectors general, according to an article in the Washington Post, although other news outlets later reported that as…
Read MoreAnother Tale of Poor Cyber Practices
Here’s an interesting item for all you cybersecurity auditors and GRC professionals: the state of New York just fined PayPal $2 million for “failing to use qualified personnel to manage key cybersecurity functions,” which led to an inept rollout of new accounting processes and a subsequent privacy breach. The New York Department of Financial Services…
Read MoreCompliance Jobs Report: Jan. 24
Lots of items as usual in the Compliance Jobs Report this week. A compliance officer is joining the board at TD Bank (good), plus new hires at Dentsply Sirona, Zimmer Biomet, RBC, Snyk, and other firms. We also have a ton of promotions to note, and job leads are in telecom, retail, and financial analysis.…
Read MoreTalking AI and ‘Model Risk’
Today we have a heads up for all you compliance officers in the financial services sector: Radical Compliance and Forensic Risk Alliance will be hosting a webinar on Jan. 29 exploring the risks of artificial intelligence, and the new governance and risk management methods you’ll need to develop to keep those AI risks in check.…
Read MoreOptimizing the Right Compliance Vector
A compliance officer should always be ready to take a good idea wherever you find it and figure out how it might improve your compliance program. In that spirit, today let’s talk about a nifty phrase I stumbled across in the technology world that could help compliance officers immeasurably in these tumultuous days: finding “the…
Read MoreCompliance Jobs Report: Jan. 17
This week the Compliance Jobs Report has updates on compliance folks from Intel and Netflix; new hire news at Citibank, Terumo Medical, Ford, Tenet Healthcare; and elsewhere; plus a slew of promotions. Job leads are in airlines, analytics, and cereal; and Meme of the Week goes out to state attorneys general! Always remember that we…
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