Posts Tagged ‘compliance officers’
Undermining the CCO, Part II
Earlier this month we had a popular post on ways that senior management might undermine the chief compliance officer’s power and authority. The post sparked quite a bit of feedback, so today let’s share more stories of management undermining the CCO — and ways the CCO could try to push back. The original post identified…
Read MoreWhen Managers Undermine the CCO
Compliance officers often like to talk about how senior management can demonstrate support for a strong compliance program. Today I’d like to flip the script and ask an even more urgent question: What are all the ways that senior management can undermine a chief compliance officer? This is on my mind after (yet another) conversation…
Read MoreTracking Local Compliance Associations
Radical Compliance strives to be a community resource for compliance professionals everywhere, so today we are looking at local groups of compliance officers who get together for networking. Are you part of a group that should be on this list? We have had a running list of local compliance associations for several years, although the…
Read MoreMaking CCO-GC Relationships Work
As we all settle into the new year, let’s begin by continuing to debate an age-old question: What is the proper relationship among the chief compliance officer, the general counsel, and senior management? This has been on my mind since last month, when I moderated a webinar on new guidance for compliance officers in the…
Read MoreWild NJ Political Race Stars CCO
We haven’t revisited the subject of compliance officers running for public office in a while, but a state Senate race in New Jersey has piqued our interest. After all, how often do you see compliance officers, strippers, and leprechauns riding around on tricycles all mentioned in one story? Those are just some of the characters…
Read MoreCompliance Job Market: One Person’s Tale
I had a phone call the other day with my friend the Job Applicant. This person is looking for a senior-level compliance officer position, and having a rough go of it lately. Their experiences are telling about the compliance job market today, so with the Job Applicant’s permission, I am sharing them here. First, let…
Read MoreMental Health and Compliance Officers
There is a mental health crisis in the U.S. workforce today, which I suspect is not news to compliance officers. So when I had the privilege to moderate a webinar on how mental health issues can affect corporate culture and compliance officers themselves, I took detailed notes. First, we need to clarify what we mean…
Read MoreCrazy Compliance Officer News
Sometimes there is simply too much news happening in the compliance world, and today is one of those times. So rather than take a deep dive into a specific subject, we’re going to run through several newsworthy items that have streaked across the radar screen in the last few days. First we should start with…
Read MoreUpdate on Jailed Compliance Officer
We have an update on Samuel Bickett, the corporate compliance officer jailed in Hong Kong on trumped-up charges that he assaulted a police officer. He is currently appealing his 18-week prison sentence, and spending the rest of his time helping other inmates he met during an early stint in Hong Kong’s maximum-security prison. Bickett, you…
Read More$1M Whistleblower Award to 3 Compliance Officers
Three gutsy and persistent compliance professionals are all a bit richer today, after the Securities and Exchange Commission gave them a joint whistleblower award of more than $1 million for helping the agency to prosecute misconduct at their firm. As usual with SEC whistleblower awards, we don’t know much about the particulars — including who…
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