Posts Tagged ‘compliance officers’
‘Failure to Escalate’ and Career Risks
We’ve had a few posts lately about compliance officers who suffer retaliation for raising misconduct issues to senior management. Today we flip the script, and wonder about the career harms that can befall compliance officers who don’t raise issues high enough up the command chain. This is on my mind thanks to a jarring story…
Read MoreCCOs, Still Suffering Retaliation
I had another one of those unfortunate conversations the other day: talking with a compliance officer who had tried to do the right thing at their organization, and suffered retaliation for it. With that person‘s permission, I wanted to relay a few thoughts about how compliance officers can anticipate these ordeals. First, why was I…
Read MoreWhere Compliance Goes From Here
Last week I attended a forum here in Boston talking about the future of the corporate compliance profession. The conversation meandered across numerous issues, but one unspoken question was never far from people’s minds: Should compliance officers be worried that some day soon, your role will become obsolete? My answer is no — or at…
Read MoreUndermining 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…
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