Posts Tagged ‘compliance’
SCCE Budget & Staff Survey
The Society of Corporate Compliance & Ethics has published a new report on the budget and staffing levels for compliance departments at various types of organizations. All you compliance officers looking to score more money from the board, take note. The report only offers benchmarking data so you can see the average budget and staff…
Read MoreCompliance on My Mind This Week
Random thoughts about ethics and compliance while reviewing my 2018 policy manual… Yes! The Society of Corporate Compliance & Ethics and the Institute of Internal Auditors will be holding their major conferences in 2018 at the same time and place: Oct. 22-24 in Las Vegas. SCCE at Caesar’s Palace, IIA one block south at Aria.…
Read MoreHow Compliance & Audit Can Add Value
This week I’m attending SuperStrategies, a conference for corporate audit executives run by the MIS Training Institute. MISTI likes to focus on leadership strategies for corporate audit, security, and risk management leaders, with a smattering of compliance officers hanging around, too. So let’s talk about successful leadership in an audit, risk, or compliance function, since…
Read MoreBook: Wildly Strategic Compliance Officer
We all feel pressed for time, with a certain unease that demands of the day distract us from the deeper, more strategic success we really want to achieve. So find some space on your shelf for a new book addressing that exact problem: the Wildly Strategic Compliance Officer Workbook by Kristy Grant-Hart. Grant-Hart is the…
Read MoreSix Compliance Events to Watch in 2017
Welcome back to the grind, everyone! Before we all go back to audit committee meetings, anti-corruption training, and committing your travel budget before the CFO implements a freeze, let’s take a look at what events in 2017 will carry big consequences for the compliance community. The arrival of the Trump Administration in particular sets up…
Read MoreSome Other Posts Worth Reading
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…
Read MoreFive Post-Election Points for CCOs to Ponder
Well, the American people, in their endless wisdom or lack thereof, elected Donald Trump to the White House and gave us a Congress even more deeply divided than before. The post-mortems on what happened last night and what it means for the country will be many, and last for months. Compliance officers can get started…
Read MoreFinding the ‘Right’ Compliance Budget for You
The other day a compliance officer in the Middle East asked me a question: how much money should a company spend on compliance as a percentage of its annual budget? Or, my friend added, should you define that benchmark as a percentage of annual revenue, or margin, or outlays for employees, or what? How can…
Read MoreSo, Some Scam Artist Really Tried This…
They say that compliance officers need good people skills to succeed. Well, a Minnesota man put that saying to the test by posing as a compliance officer from McDonald’s, scamming his way across America this year as he told hotels and other businesses that McDonald’s would pick up the tab. According to an article in…
Read MoreProject Management Principles for Compliance
I’m always looking for new ways to think about corporate compliance, to see whether that fresh perspective can help compliance officers do their jobs more effectively. Last week I found a great example courtesy of the Institute of Internal Auditors and its guidance for how to audit projects. The guidance caught my eye because I’ve…
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