Making 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…

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Wild NJ Political Race Stars CCO

New Jersey

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…

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Compliance 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…

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Mental Health and Compliance Officers

mental health

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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Crazy Compliance Officer News

compliance officer

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…

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Update on Jailed Compliance Officer

cco liability

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…

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$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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Hong Kong Jails Compliance Officer

cco liability

A corporate compliance officer in Hong Kong has been sentenced to 18 weeks in prison there for assaulting a plainclothes police officer, where the compliance officer was actually trying to protect a teen the officer was beating during pro-democracy protests.  The compliance professional in question, Samuel Bickett, is a U.S. citizen who had been working…

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Apple Exec Indicted on Bribery Charge


A grand jury indicted one of Apple’s top compliance executives on Monday for offering 200 iPads to a local sheriff’s office in exchange for concealed weapons permits.  Tom Moyer, currently Apple’s head of global security and chief compliance officer from 2009 to 2018, was indicted in Santa Clara County on one count of bribing an…

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The Day the Conferences Canceled


Wednesday was a grim one for the compliance and audit communities: at least seven industry events were canceled, postponed, or scaled back dramatically, as coronavirus continues to thwart the camaraderie and exchange of ideas that have been the hallmarks of this profession for so long. Here is the latest list that I’ve been able to…

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