In this concluding episode, he moves into the CCO Chair at Skillsoft. He talks about his current role and the challenges of bringing a compliance program to a compliance product and services organization. He reflects on some key lessons he learned throughout his career leading up to the CCO role. He concludes by looking down the road at where the CCO and the compliance profession will be in 2030.   

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Stephen Martin LinkedIn Profile

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From the corporate world, Martin moves to the compliance consulting world, first at Baker & McKenzie and later moving to StoneTurn. Martin literally traveled the globe (multiple times) both investigating allegations of bribery and corruption and building out best practices compliance programs. He also began teaching a compliance course at the University of Denver and reflects on lessons from that experience. He concludes by talking about the need for a personal brand and how he created one. 

Resources

Stephen Martin LinkedIn Profile

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From the federal government Martin went on work at three of the most troubled companies in the first decade of the new century; WorldCom, Quest and Adelphia. Martin has some wild stories about his work to under cover corporate fraud at WorldCom, working to remediate a corrupt organization while at Quest and negotiating to same Adelphia with the DOJ. 

Resources

Stephen Martin LinkedIn Profile

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Stephen received his undergrad degree from Creighton University, his law degree from the University of Denver and a LLM from Georgetown. He began his career at the state of Missouri’s Attorney General audiences where he handled both trial and appellate work. He moved from there to the Department of Justice under the Clinton administration. Working at both state and federal levels gave him great practical hands-on experience in the courtroom and Court of Appeals. 

Resources

Stephen Martin LinkedIn Profile

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In this concluding episode, Bridget reflected on her non-traditional path to the CCO chair. She also discussed the compliance challenges of moving money around the globe and doing so with less friction. She recalled some of the key mentors who had helped her career path and concluded with thoughts on how and why a corporate compliance programs needs to use data to tell its story.  

Resources

Bridget Abraham LinkedIn Profile

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From Western Union, Bridget moved to the CCO Chair at Remitly, a remittance payment company. She discussed the mission driven approach of Remitly to do the right thing. She talked about some of her early challenges and how she was able to leverage her economics background into a full compliance program.  Some of the challenges she faced included scaling up the compliance program and moving into new markets. 

Resources

Bridget Abraham LinkedIn Profile

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Episode 2- The Fed

From the Federal Reserve, Bridget then moved into the consulting world, starting a Bearing Point and then Deloitte. From there she moved into the realm of compliance starting in the financial world at Citibank working in Compliance Analytics and Assessments. The banking world was in the transition from a manual approach to compliance into more of a tech solution option. She then moved to Western Union, first as Vice President of Global Compliance Programs then moving to Deputy Chief Compliance Officer, where her role was much broader than her prior focus on data and data analytics. 

Resources

Bridget Abraham LinkedIn Profile

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Bridget was the first member of her family to go to college. She got a degree in Economics from Colorado State University and then obtained a Master Degree, also in Economics. Her Master's degree focused agricultural economics, which was really about sustainability, the environment that had the impact that it had in small rural America, and research focusing on the economics of small business and the importance of agriculture in those communities. After a brief stop in NYC, Bridget went to work at the Federal Reserve Bank where she presented her research at various forums. She began her career with the Federal Reserve Bank working on economic research, later moving into more of a banking supervision role. She dealt with compliance with the Patriot Act and the Bank Secrecy Act.

Resources

Bridget Abraham LinkedIn Profile

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In this concluding episode, Maria discussed how she used the tools and skills she learned to move to a Traliant, where she is well positioned to help compliance professionals gain insights into their programs and help them better appreciated how Traliant can support their efforts. She is working with  with Traliant’s executive team as we not only develop new products but also enhance our existing offerings by listening tours with customers,  customer advisory councils and expounding on training’s role in speak-up culture.

Resources

Maria D’Avanzo LinkedIn Profile

Traliant.com

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After 2.5 years at AIG, Maria moved to Cushman & Wakefield, where she became the Chief Ethics and Compliance Officer and Chief Data Privacy Officer. In this role, she led an innovative and commercially focused global compliance and privacy team to support the ethical decision-making and risk management needs of Cushman & Wakefield, a global leader in commercial real estate services with 53,000+ employees worldwide, where she learned that compliance is one of the hardest jobs (if not the hardest) in any company. To be effective, employees need to know who you are, trust and have faith in you, and see your "human side." One of Cushman & Wakefield's CEOs taught me that the best way to accomplish this is to go to where the employees are and listen to them over a cup of coffee.

Resources

Maria D’Avanzo LinkedIn Profile

Traliant.com

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The 2008 financial crisis caused a downturn in real estate work, so Maria sold her law practice. This precipitated her move into the compliance field. Maria began her first compliance role at a real estate-focused private equity shop. She registered investment adviser and broker-dealer entities and obtained series 7, 63, and 24 licenses. After four years, Maria moved to Deputy Chief Compliance Officer at AIG Asset Management, where she led a team of compliance professionals handling regulatory compliance matters on behalf of registered investment advisers and broker-dealer entities in North America.

Resources

Maria D'Avanzo LinkedIn Profile

Traliant.com

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Maria attended the College of the Holy Cross and St. John’s University School of Law. Her early professional career included working at a boutique litigation shop in White Plains, NY, defending mass tort litigations involving repetitive stress injury claims. She then moved to a small insurance defense firm also, White Plains. From there, she and her husband founded a small law practice focusing on real estate and small business transactions. 

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Maria D’Avanzo LinkedIn Profile

Traliant.com

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Some of the key lessons Garland learned in the role of Professional Responsibility Officer, which apply to the skill set needed to be a CCO, include; (1) Always do the right thing, but it is not always obvious what that is; (2) the issue you are presented might not be the real issue, or the sole real issue, (3) being calm and nonjudgmental helps people open up, (4) try and balance analysis with action, pragmatism with principles, using tenets of risk management, (5) craft advice that is simple, clear, and unambiguous. (6)Do not just say what not to do; also say what to do and when to come back for more help, (7)  admit mistakes as soon as possible, and (8) good people make mistakes. Most people will forgive a mistake if done unintentionally; you are forthright about it and try to fix it.

Garland recently joined Affiliated Monitors, Inc. as Managing Director – Sanctions, Cyber, Fraud, and Ethics Compliance & Monitoring. One of the reasons he did so was to help companies strengthen their compliance operations in these areas in a couple of areas. The first is before the government comes knocking by proactively assessing a company's compliance operations and ethical culture and recommending improvements. The second is after the government knocks, acting as an independent monitor of the company's compliance with a plea agreement, settlement agreement, consent decree, court or administrative order; emphasize not playing gotcha or playing the blame game, but rather with helping the company improve through lasting change.

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It was at the US Attorney’s Office for the District of Massachusetts where Garland moved into the Professional Responsibility Officer role. In this role, he was the Office’s primary expert on legal ethics, but his remit extended to constitutional issues and DOJ regulations. Some typical issues he dealt with included conflicts of interest, allegations/findings of lawyer misconduct, dealing with represented parties, handling confidential or privileged information, and liaising with oversight agencies.

Resources

Scott Garland's Profile on AMI

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With a knack for understanding technology, relating it to legal issues, and translating it for lawyers, judges, and juries, Garland went to the DOJ, working at Main Justice in Computer Crime & Intellectual Property Section in DC. His work there included criminal investigations and trials, policy analysis, and drafting manuals. From that position, he moved to Boston to the US Attorney’s Office for the District of Massachusetts. He began in the Cybercrime Unit, then National Security Unit, eventually becoming NSU’s Deputy Chief, then Acting Chief of the Unit. Along the way, he picked up a variety of advisory responsibilities: identity theft coordinator, committee on dealing with cooperating witnesses, and grand jury supervisor.

Resources

Scott Garland's Profile on AMI

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Garland's Bachelor's Degree was more analytical than most CCO types as he entered MIT to major in software engineering and graduated with a B.Sc. in Economics. After college, he worked as a statistical research associate at a consulting company. He decided he wanted to bridge analysis to policy, so he went to the University of Michigan Law School for his law school degree. He then held a federal judicial clerkship and worked at two mid-sized law firms, practicing white-collar criminal defense and some litigation, including constitutional law.

Resources

Scott Garland's Profile on AMI

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In this concluding episode, Burke looks down the road for compliance in the following areas. Data privacy and trade compliance take center stage. How the new ownership model provided by Private Equity provides challenges and opportunities. The long, slow march to ethics and tone. 

How do we inspire through influence through the teaching of compliance?

Resources

Joe Burke LinkedIn Profile

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Burke continues his roles at Dell, doing global audits and Investigations. He also worked his  legal role to drive change in compliance. In 2017, he left Dell to move to the spin-off of Quest Software Inc. and a new role as Chief ethics and Compliance Officer. In this role he literally created a new compliance regime and worked with the Private Equity owners to bring about change at Quest in the area of compliance. 

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Joe Burke LinkedIn Profile

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From Kentucky Fried Chicken in Louisville, Joe moved to Round Rock TX to work at Dell Inc. He began in Federal Government Sales where he developed a compliance program for GSA and TAA work for  Dell Federal. He moved into compliance with the “big switch” from commercial legal to Chief Compliance Counsel. In this role, he was instrumental in building a new FCPA program using the Federal Sentencing Guidelines as a guideline. 

Resources

Joe Burke LinkedIn Profile

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Episode 1- College & Early Career

Joe discusses his early life and going to college at UVA with a degree in history and French and then law school at Fordham. He began his legal career at Donovan, Leisure in NYC. From there, he transition to PepsiCo, Inc. working in the Kentucky Fried Chicken sub in Louisville KY and learned about the franchising world. He has some interesting observations on culture in the franchisor/franchisee relationship. He discusses how all of these institutions impacted his career going forward.  

Resources

Joe Burke LinkedIn Profile

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In this concluding episode, Joya discusses why she is so passionate about Compliance and the opportunities now open for someone to get into the compliance field that were not as prevalent when she began. She provides advice for someone who wants to get into compliance but does not have an advanced degree. (Hint: the key is networking) She concludes with her tenure as President of the Greater Houston Business and Ethics Roundtable, her role as President, and compliance down the road.

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 Joya William LinkedIn Profile

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Joya discusses her move to Shell to her now current role at Chevron Phillips Chemical Company as a Compliance Specialist, then onto Shell Oil Company and her current position at Applied Materials.  She discusses her own professional growth and details some of the key relationships she had at each organization and how those relationships continue to bear fruit in her compliance work up through today. She also details some of the key lessons learned at each stop. She discusses getting her MA

Resources

 Joya William LinkedIn Profile

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Episode 2- Moving Up the Ranks

Joya moved from Baker Hughes to Weatherford and then Transocean where she held different compliance roles which brought depth and scope to her compliance resume. She details some of the key relationships she had at each organization and how those relationships continue to bear fruit in her compliance work up through today. She also details some of the key lessons learned at each stop. She discusses getter her BA and being an Adjunct Professor at San Jacinto College in Pasadena TX. 

Resources

 Joya William LinkedIn Profile

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Joya started her work life as a legal secretary, working in the Houston legal community for many years. She moved into the corporate world, taking a corporate paralegal position inhouse with the Baker Hughes compliance function. At Baker Hughes, entered Center for Advanced Legal Studies paralegal program and attended classes at night to obtain her Associates Degree in Paralegal Studies.  Afterwards, she obtained her paralegal certification. She found her passion and it was compliance.

Resources

Joya William LinkedIn Profile

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In this concluding episode, Beyer discusses his move to Pedernales Electric Cooperative, the largest electric distribution cooperative in the US. He moved to the role in no small part because of his love for the Texas Hill Country (much like the host Tom Fox-see The Hill Country Podcast).  In addition to moving into the CCO chair, Beyer found the risks in such a non-profit electric cooperative very different than a publicly traded for profit enterprise. Beyer has also continued to expand his Compliance Toolkit while sitting in the CCO chair. 

Tool No. 11 was the lesson that the CCO could not, should not and did not do everything in the compliance arena. The ‘who’ of doing it is quite important. The company’s customers are a rural base in the Hill Country of Texas and relationships are very important. 

Tool No. 12 was expanding his compliance remit to include privacy. Simply because you are a US centric business, does not mean privacy rights do not exist. While they may not rise to the level of GDPR, they exist even in Texas.

Resources

Mark Beyer LinkedIn Profile

Pedernales Electric Cooperative

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Beyer’s next move took him to LivaNova, a medical device manufacturer, a publicly traded UK company. At LivaNova, Beyer became the head of Ethics and Compliance for North America where he oversaw all aspects of compliance for North America. He also made several additions to his Compliance Toolkit while at LivaNova.

Tool No. 7 was Beyer broadening out his approach to compliance and ethics at a company to a much more holistic approach. 

Tool No. 8 was the exposure that Beyer had with the LivaNova C-Suite. Through these interactions he learned to work senior management in a reporting role but also to help educate the C-Suite on their role in a compliance program.

Tool No. 9 was working with corporate legal. In these interactions, Beyer learned the importance of a separate legal and compliance function.

Tool No. 10 was creativity. Here Beyer was mentored by another compliance legendary CCO, High Bigwood. Bigwood was one of the first CCOs to focus on the behavioral sciences for compliance and in compliance programs. He also expanded his views on the marketing of compliance internally.

Resources

Mark Beyer LinkedIn Profile

Pedernales Electric Cooperative

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From Lockheed Martin, Beyer moved into the energy space to the oilfield services company Baker Hughes. There he worked under Trade Compliance Director Ellen Smith (check out Ellen’s story from December 2021 on The Compliance Life). He also improved his Compliance Toolkit at Baker Hughes. 

Tool No. 5 was learning about compliance program building. A compliance program is far beyond rules, documents and organization. It is business process designed to operationalize compliance. He also learned how to message compliance into the front lines of business. 

Tool. No. 6 allowed Beyer to expand the scope of his compliance knowledge, through learning about anti-corruption compliance. Here Beyer worked under At Baker he worked under CCO legend Jay Martin, who was known for his best practices compliance programs.

Resources

Mark Beyer LinkedIn Profile

Pedernales Electric Cooperative

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Mark graduated from Texas State University with a degree in business economics. He began work in international operations at Lockheed Martin where he work in aerospace and government contracts. At Lockheed he began to learn a series of lessons and develop skills for what he calls his ‘Compliance Toolbox’. He learned several of these skills at Lockheed.  

Tool No. 1 was collaboration, which he learned from his mentor at Lockheed, Steve Engle. Through this process, Beyer learned that titles and degrees matter less than good ideas and willingness to join in problem solving. 

Tool No. 2 was learned through becoming certified in Lean Six Sigma and it helped Beyer learn process management and overseeing such project. 

Tool No. 3 was the role of compliance and why having a seat at the table is so critical. 

Tool No. 4 was the international experience he learned at Lockheed by traveling for his work and learning about other cultures. 

Resources

Mark Beyer LinkedIn Profile

Pedernales Electric Cooperative

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Episode 4- To Compliance Thought Leader

In this concluding episode, Susan discusses her failed retirement from AECOM and how LRN found her. She took from AECOM an interest in what works in an effective compliance and ethics program. She discussed the values that LRN espouses for compliance and ethics programs and how that dovetails with her experiences as a CECO. She discussed company’s which put their values into action during the pandemic. We concluded with Susan looking down the road at the role of the CCO and corporate compliance function and the intersection of compliance and ESG. 

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 Susan Divers LinkedIn Profile

LRN

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In 2009, Susan moved into the CECO chair at AECOM. She became the Senior Corporate Vice President, Chief Ethics and Compliance Officer & Associate General at AECOM. In this role she built out a compliance program across the globe for an international infrastructure construction company and built out her compliance team. She learned that to engage employees in compliance and ethics you often needed to explain the ‘why’ of compliance. She talked about the values of senior leadership and how that helped infuse compliance throughout the organization. She was particularly proud of the company receiving a World’s Most Ethical designation early in her tenure and then for five consecutive years. 

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 Susan Divers LinkedIn Profile

LRN

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In 1994,  Susan moved in-house becoming the first Deputy GC for international at SAIC.  In this role she set up compliance programs for ABC, trade controls and investigations as SAIC did not have a dedicated CECO at that time. She traveled extensively internationally and had experience with the Overseas Private Investment Company after the SAIC joint venture was nationalized by Chavez in Venezuela. After a brief stop at Lockheed Martin, Susan moved to the Chief Ethics and Compliance (CECO) role at AECOM. 

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 Susan Divers LinkedIn Profile

LRN

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Susan graduated from George Washington University at night while working at the State Department during the day. Her legal career began Office of the Legal Advisor at the State Department and continued in London with two large law firms. I moved back to Washington, entered private practice, working first with Bob Strauss at Akin Gump and then moving over to Sonnenshien's DC office, where she became a partner.

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 Susan Divers LinkedIn Profile

LRN

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In this concluding episode, Audrey reflects on a key lesson which led her to join AMI. It is that an external monitor can be  a Value-Add proposition for all-sides, Company Business, Company Compliance, External Counsel, Enforcement/Regulators and other Stakeholders. It is not a second investigation, nor should it be seen as a “gotcha”. Rather a monitor can present  a path that can protect stakeholder and grow business, especially in this time of heightened awareness to social license and reputational risk. Audrey concludes that she loves the concept of turning a challenge into an opportunity and working at AMI on a monitorship team provides that opportunity. 

Resources

 Audrey Harris on LinkedIn

Audrey Harris on Affiliated Monitors, Inc.

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In 2018, Audrey moved back into private practice, utilizing many of the skill sets she learned in the CCO chair. She understood that the business folks in any company needed answers not legal Memos so she worked to create compliance programs tailored to how business works. She helped to identify emerging risks company’s did not see and helped not simply solve compliance issues but also solve business problems with the same or similar solutions. 

Resources

 Audrey Harris on LinkedIn

Audrey Harris on Affiliated Monitors, Inc.

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Even though Audrey had seen numerous CCOs ‘die painful professional deaths’ in 2015,  Audrey moved into the CCO Chairs at BHP. She gave the Top 10 CCO lessons she learned in that role. When asked what her top accomplishment was, she answered that it was seeing the professional growth in her team and how this compliance team grew and led a compliance reset for the company. She also learned to make the commercial case for compliance. 

Resources

 Audrey Harris on LinkedIn

Audrey Harris on Affiliated Monitors, Inc.

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Audrey graduated from Central Florida with a BA, got a MA at the University of Miami, and her law degree from Georgetown. A question about whether she wanted to go to South Beach when she was a summer clerk at Kirkland & Ellis led to FCPA work and eventual partnership at Kirkland. When she began, it was a different time in FCPA enforcement, pre-2004, and the explosion in FCPA growth. In this role, she loved problem-solving and seeing patterns, and asking why (and why and why).

Resources

 Audrey Harris on LinkedIn

Audrey Harris on Affiliated Monitors, Inc.

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In this concluding episode, Ellen reflects on leaving her trade compliance chair at Baker Hughes during the pandemic and setting up her own consulting company, Amalie Trade Compliance Consulting. She discusses building up her own business and how she was able to reconnect with many people she developed relationships with at all the stages of her career. She emphasized why building your network is so critical and how to use if you move into consulting. She talks about the challenges and rewards of a consulting practice. 

Rather than a favorite adopted saying to conclude this series, Ellen talks about the presence of Jay Martin and how his presence added to the ethical culture at Baker Hughes. 

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 Ellen Smith LinkedIn Profile

Amalie Trade Compliance Consulting

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 In late 2013, Ellen met Jay Martin, CCO at Baker Hughes who convinced her to move to Baker Hughes to help rationalize and rebuild/rebrand the Trade Compliance Department. While at Baker, Ellen had the opportunity to rebuild the trade program 3 or 4 times. The first, when she joined Baker. A second time, when Baker was considering a possible merger with Halliburton. A third time after a merger with GE Oil & Gas as we were a GE company. The fourth and final time came after post separation from GE. The biggest change in this job was that Jay Martin had established a culture of compliance throughout the organization.

Favorite adopted sayings

‘what you see is what you get’

'Arm-in-arm'

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 Ellen Smith LinkedIn Profile

Amalie Trade Compliance Consulting

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In 2002,  took her my first in-house job at Jockey International – the underwear company. It was a private company, family business, with a small legal department but with tremendous brand recognition and international footprint. Participated in a U.S. Focused Assessment, an early member of CTPAT validation, and a very intense customs valuation investigation and appeal by the CBSA, the Canada Customs authorities. In early 2010, she moved to Texas and joined Billy Jacobsen and Natalia Shehadeh at Weatherford, which was going through an investigation for export violations and bribery allegations.

Favorite adopted sayings

From Jockey– 'life is like underwear, change is good’

From Mark Jaeger "perhaps"

Resources

 Ellen Smith LinkedIn Profile

Amalie Trade Compliance Consulting

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Ellen graduated from Dickinson College in central Pennsylvania in 1989 with a double major in Political Science and International Policy & Management Studies, spending her junior year abroad in Bologna, Italy.  Her first job was  at a family-owned freight forwarding company. After a couple of years, she started night law school in NYC, eventually graduating from John Marshall Law School. Ellen started her family and then moved into the law firm world, starting at a plaintiff's med mal firm where she learned how to strategically work through a case in a team. Eventually, Ellen switched practice focus back to her trade roots and went to a boutique International Trade firm in Chicago, where she got her feet wet in the International Trade legal space working on many different customs and export issues.

Favorite Adopted Saying

Patrick Salvi-"In all due respect..."

Resources

 Ellen Smith LinkedIn Profile

Amalie Trade Compliance Consulting

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In this concluding episode, Valerie looks down the road at the compliance function. She believes there will be increased use of ComTech by compliance functions. Moreover, CCOs and compliance professionals will need learn how to use data and become more comfortable in leveraging data for insights to help prevent, detect and remediate corporate conduct. The corporate compliance function will become even more important in the corporate setting as it will bring together various corporate functions such as legal, HR and IT into collaborative actions.

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Valerie Charles LinkedIn Profile

Valerie Charles at StoneTurn

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From Gan Integrity, Valerie moved to StoneTurn where she saw an opportunity to leverage all the skill sets she had developed in her professional career or as she said “use all the tools in my toolbox”. In her work she is able to combine using data to provide insights into the continuous improvement of corporate compliance programs, such as using HR data together with traditional compliance data to prevent compliance violations before they arise.

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Valerie Charles LinkedIn Profile

Valerie Charles at StoneTurn

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Valerie made one very courageous move from an in-house position into the world of ComTech. She joined Gan Integrity. In this role she worked on the problem of the incredible inefficient way corporate compliance programs were managing data and set out to solve the problem. At Gan, she worked with 200+ global programs and helped to grow the company. 

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Valerie Charles LinkedIn Profile

Valerie Charles at StoneTurn

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Valerie was a dancer from a young age and this passion helped inform her early academic career. Her civil rights work out of college lead to her to law school and that led to work in Big Law in white collar defense. From there she moved in-house, heading up a corporate compliance function. In this role she saw the need for an integrated tech solution for the corporate compliance function. 

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Valerie Charles LinkedIn Profile

Valerie Charles at StoneTurn

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In this concluding episode, Silverman looks at the role and function of trade compliance in 2025 and beyond. He notes that currently at many organizations still falls under the logistics or supply chain function but down the road he believes it will be an integral role in every legal/compliance department with much more high-level visibility in the C-Suite, and trade compliance becoming a bigger factor in risk management considerations.

He also feels that Trade Compliance Directors will likely need significant experience and a legal background, particularly given the trend toward greater enforcement actions taken by DOJ and OFAC. We concluded with some of Silverman’s thoughts on the intersection of ESG with trade compliance.  As ESG gains more popularity and attention in the C-Suite, trade compliance will become more important and one of its roles will be in fulfilling ESG initiatives.

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Matt Silverman LinkedIn Profile

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His first role as a Trade Compliance Director role was at Solvay. In this role, Silverman learned to balance individual employee management and employee development along with day-to-day compliance issues. Silverman then moved to VIAVI in the role of Global Trade Director & Senior Counsel. In this position he handles a wide variety of trade issues including import, export, sanctions and antiboycott. He also looks for ways to get involved in other areas that may intersect with trade compliance. 

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Silverman Had to “start from the bottom” after my LLM; taking contract positions and non-attorney positions in trade compliance to get practical experience. From there he moved to his first in-house counsel role was at Baker Hughes in Houston as their international trade counsel.  At BH, he worked directly for the Director of Trade Compliance, gaining experience in sanctions work, customs issues and antiboycott law. He also got to study ‘at the feet’ of the Director of Trade Compliance and see how she ran the BH Trade Compliance program and interacted with the BH CCO and GC. 

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After law school at Loyola, Silverman practiced, rather unhappily for four years as a personal injury and asbestos litigator in Chicago for a couple small defense firms. He then went back to school to get an LLM in international business law at Georgetown Law. It was this experience that drew him to trade compliance where during his LLM program I took temporary positions/externships in a variety of disparate positions including the US Senate, the Office of the US Trade Representative, the World Bank and the law firm of Baker Hostetler.

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In this concluding episode, Wendy reflected on leaving her CCO position immediately preceding the pandemic and the time she had for reflection about that decision and what she learned about herself. She talked about her new role a Tennant and some key lessons learned she has been able to put into places such as the criticality of cross-functional collaboration, why technology should not be seen as the “cure all” to compliance woes and how to both layer and leverage data. 

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 Wendy Badger LinkedIn Profile

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Wendy was recruited for head of compliance role at a non-profit financial services organization. She emphasized the collaborative nature of the role and some of the key lessons she learned. She discussed some of the challenges and successes she had in the role and her eventual decision to step away from the position. 

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 Wendy Badger LinkedIn Profile

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Wendy further elaborated on her non-traditional career path, where she found sometimes you must change your career ladder to advance your career. From the trade association, she went in-house with an accounts receivable management organization. She was the first and only lawyer on staff. The work provided both challenges and opportunities in the role. From there she decided to move into private practice, found out how it was different from in-house roles and ultimately decided to move back in-house.

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 Wendy Badger LinkedIn Profile

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Wendy knew she wanted to be a lawyer long before she went to law school. She was the first person in her family to graduate from college and then obtain an advanced degree.  She talked about some of the challenges she faced and the support and mentorship she received. We then discussed her early legal career – immediate jump to compliance in the early 2000s through a very non-traditional path of joining an international trade association where she found passion for and niche in compliance.

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 Wendy Badger LinkedIn Profile

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Melican discussed his decision to join Exiger. He talked about how his time as a CCO and his roles in AML compliance help him as a consultant. He talked about the changing role of the CCO and the compliance function and the increased use of data and tech solutions. We ended by looking down the road to where a CCO position will be in 2025 and beyond. 

Resources

John Melican LinkedIn Profile

Exiger

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Melican moved into the CCO chairs at AMEX travel. He said a key lesson was that being a CCO was leading through orchestration not simply execution. A key was working with others in the business unit to educate them on how compliance changes were made but why they benefited AMEX Travel. He discussed some of his top challenges that he faced and how he and his compliance team overcame them through collaboration.  

Resources

John Melican LinkedIn Profile

Exiger

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Melican moved to the corporate world starting at the New York Stock Exchange and then into the financial services world at Bearn Sterns where he was a Managing Director/Principal for three years. It was at Bearn Sterns he began his career in AML work and in compliance. From Bearn Sterns he went to American Express. He talked about moving from a financial services firm to one of the largest multi-national companies in the travel and financial transactions business.  

Resources

John Melican LinkedIn Profile

Exiger

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Melican attend Colgate for undergrad and the University of Albany for law school. He began with the New York County District Attorney’s office. There he moved from Trial Division, to the 

Investigations Division, Special Prosecutions Bureau and ending with the Investigations Division, Frauds Bureau. He talked about trying cases and some large white-collar prosecutions he played a role in during his time with the DA.

Resources

John Melican LinkedIn Profile

Exiger

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In September 2017, Nordrum joined Deluxe in Investigations and as a Risk Consultant. In March 2019, she moved to Regulatory Counsel and into the CCO Chair. As Nordrum says, she “ it feels like “home” to be in a job I love doing something that challenges and excites me EVERY DAMN DAY”. She owns the full corporate compliance, ethics, and privacy programs; insurance and risk management, commercial litigation, IP, and the commercial contracting function. Some of her key work has been changing the perception of corporate compliance from the Land of No to the Land of Know. Down the road, Nordrum sees

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Back in MN, Nordrum opened her own practice focusing on animal rights, where she saved a bunch of horses and cows from starving. She next worked at Thompson Reuters, working on WestLaw. From there she went to SCCE, where she found her true calling, compliance. At SCCE, Nordrum helped pioneer many initiatives such as the conference the social media lounge/booth/wall, she founded the SCCE blog and the SCCE podcast. She became an expert in social media and compliance. One of her great joys was working with Adam Turteltaub and flying literally around the world evangelizing compliance.

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Palmer discusses her decision to join Convercent—traditional CECO plus more. She believes that the profession must continue to go toward collaboration, conversation, and digitalization. Her belief is that CECOs must be seen as business partners and that technology will fuel and help drive that partnership. She concludes on why CECOs must start thinking about and approaching things differently.

Resources

 Asha Palmer LinkedIn Profile

Convercent by One Trust

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 It was Palmer’s consulting business that helped her better understand the true state of the ethics & compliance profession. She began at the beginning but early on saw that compliance was often seen as a back-office function, with siloed systems and multiple stakeholders. She observed companies trying the same things over and over with stale training, unclear objectives of certain processes and procedures. All of this informed her approach to compliance.

Resources

Asha Palmer LinkedIn Profile

Convercent by One Trust

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Palmer moved to Abu Dhabi where she had a non-traditional, non-linear path. In this part of her journey, she discovered compliance, which became her professional passion when she was teaching Business Ethics. She worked in IP at Coca-Cola and eventually joined a Sovereign Wealth Fund with portfolio businesses across the world?

Resources

 Asha Palmer LinkedIn Profile

Convercent by One Trust

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 Asha knew since age 8 she wanted to be a lawyer from watching Claire Huxtable on The Cosby Show. She also wanted to attend a Historic Black College and University and chose Spelman in Atlanta. She attended NYU and joined a major Atlanta firm as a litigator before joining the Department of Justice in the Northern District of Georgia.

Resources

 Asha Palmer LinkedIn Profile

Convercent by One Trust

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In is role at K2 Integrity, Hidalgo sees problems and issues for clients through a variety of lenses. His time as a CCO gives him insight and empathy into the challenges of a CCO. His time at the Federal Reserve Bank of New York gives him insight into the regulatory mindset for financial institutions. He continues to emphasize that the buck stops with the CCO. AML compliance will only grow and continue to become more important, not simply for financial institutions but for commercial corporations going forward.  

Resources

 Gabe Hidalgo LinkedIn Profile

Gabe Hidalgo K2 Integrity Profile

K2 Integrity

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Episode 4-Beyond the CCO Chair

In is role at K2 Integrity, Hidalgo sees problems and issues for clients through a variety of lenses. His time as a CCO gives him insight and empathy into the challenges of a CCO. His time at the Federal Reserve Bank of New York gives him insight into the regulatory mindset for financial institutions. He continues to emphasize that the buck stops with the CCO. AML compliance will only grow and continue to become more important, not simply for financial institutions but for commercial corporations going forward.   

Resources

 Gabe Hidalgo LinkedIn Profile

Gabe Hidalgo K2 Integrity Profile

K2 Integrity

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As a native New Yorker, Hidalgo was deep impacted by 9/11. He wanted to join the fight against terrorism and did so by leaving insurance defense work and moving into AML compliance. From this start, Hidalgo worked at a wide range of financial institutions, consulting firms and eventually the Federal Reserve Bank of New York, all in the AML field.

Resources

 Gabe Hidalgo LinkedIn Profile

Gabe Hidalgo K2 Integrity Profile

K2 Integrity

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Kellerman sees compliance at a cross-roads today. He believes it needs to evolve from a critical support function while controlling the narrative on how compliance wants to define the functionality, value and relevance of the profession Compliance needs to become a real-time provider of not only compliance insights but also business performance. The compliance function needs new skill sets (new muscles) such as data analytics, digital engagement, advance adult learning and other skills to help change the tune about compliance. 

Resources

 Jonathan Kellerman LinkedIn Profile

Jonathan Kellerman StoneTurn Profile

StoneTurn

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 Kellerman was recruited by Saunders, who by then had moved to the company which became Allergan. Kellerman took over as the Global Chief Compliance Officer and served on the Executive Leadership Team. He had to engage “new muscles” for both of there roles. He led the design, creation and implementation of a risk management function that brought a singular focus to ethics and accountability, while serving on the ELT.

Resources

Jonathan Kellerman LinkedIn Profile

Jonathan Kellerman StoneTurn Profile

StoneTurn

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When Coopers merged with PriceWaterhouse to form PwC, Kellerman continued his health care consulting work. He worked under John Dugan, a health care industry, compliance veteran. While at PwC, he launched two industry leading global advisory practices for compliance management in health care, pharmaceuticals and life sciences. He also worked with Brent Saunders, another health care industry, compliance veteran.

Resources

 Jonathan Kellerman LinkedIn Profile

Jonathan Kellerman StoneTurn Profile

StoneTurn

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Kellerman grew up in a family of doctors. In college he realized he did not want to practice medicine. After college, he took a job in a consulting practice focusing on health care. There he learned about how the health care delivery model works and focused his professional work in this area ever since, moving to Coopers & Lybrand.

Resources

 Jonathan Kellerman LinkedIn Profile

Jonathan Kellerman StoneTurn Profile

StoneTurn

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In this fourth and final episode, we chat about what led Rob to write Intentional Integrity. We move to considering the future as Rob discusses where he sees compliance headed in 2025 and beyond? We also take up some of the projects Rob is considering. In a Special Bonus Question, Rob tells us how he is still able play basketball with your teenage son.

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In this third episode, Rob talks about his move in 2016 to Airbnb as GC and what it was like in those early days. We talked about Rob’s move to the role of Chief Ethics Officer at Airbnb. We chat about his ‘Integrity Belongs Here’ initiative and conclude with some of the things he learned moving to the Chief Ethics Officer chair.

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In this second episode, we take up Rob’s move across country to become the 3rd lawyer at eBay in the 1990s. We visit about what eBay and Silicon Valley like in those early days. We discussed Rob’s fraud prevention program he created at eBay. We discussed how the process of taking a company public help to focus on compliance.

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In this first episode, take a look at Rob’s college study at UVA and how the UVA Honor Code influenced him throughout his professional career. We moved to first job out of law school and what led you to the US Attorney’s office. We concluded by looking at some of the top cases he prosecuted while an AUSA.

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Natalia felt they were all unique experiences, joining corporate families at different times of opportunity and challenge. She identified culture, behavior and inclusion as key and need to be the guiding lights for our field. The greater sense of community and common purpose within and cross industries we can bring to the criticality of integrity the better. The more inclusive we can make our enterprise cultures the stronger they will be.

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Natalia went into the corporate world and immediately landed jobs at not only high-profile firms but those going through significant FCPA journeys, investigations and enforcement actions. Her roles provided the beauty of travel and connection across dozens of countries, experience in areas well beyond traditional compliance including:  high-stakes enforcement and litigation provoking brand risks, devastating security challenges provoking human risk, and yet opportunity for synergy as we recognized the impact organization culture and inclusion can have on our integrity mission.

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Natalia’s early professional career began after graduation, when she started her career in Washington D.C. on the Hill in trade policy and then moved to provide practice navigating quickly to the regulatory side of white-collar defense – trade compliance and some FCPA compliance matters. Later, wanting to see how corporate clients operationalized the guidance she moved in-house in 2007, which opened my eyes to an entirely different side of our practice filled with opportunity.

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Episode 1-Why Compliance?

Natalia comes to compliance from a unique background. She was born in Spain and has lived all over the world. She comes from a multi-cultural/lingual family from birth and in marriage. She always wanted to do something professionally that would afford her the privilege to see the world. Her career journey in compliance has delivered this gift to her.

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 In this fourth and final episode, Gwen talks about one of her great passions—the fight against human trafficking. Gwen has led the compliance field in education on this international scourge and sees the corporate compliance function as having the key role in every corporation to fight this global problem.

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In this third episode, Gwen shares the advice would you give to someone who may be interested in pursuing a career in compliance. She details the most challenging thing about being a compliance professional and what is the most rewarding. She looks into the future and explores where she sees the profession headed over the next decade and what new skill sets will be needed/required to be successful in 2025 and beyond.

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In this second episode, we take up the tricky issue of balancing a role as a legal eagle for the company as well as her role in compliance. We explore the different skill set needed for each of these careers and how it is possible to have both in one person. Gwen tells us her favorite part about being a compliance professional and then give us her “elevator speech” about the compliance profession she used at pre-pandemic cocktail parties.

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In this first episode, we consider Gwen’s journey to her role, She discusses her educational background, a family tragedy which led to her legal education and her initial exposure to the field of compliance. As with all the guests on The Compliance Life, there were many twists and turn which led to her current position.

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Kim calls herself a “businessperson with a law degree” and she has had a distinguished career in the in-house world. She held in-house positions at Ford Motor Credit Company and Masco before moving to Whirlpool to become the company’s first Chief Compliance Officer. From there she moved to Tenneco to the CCO chair and then into her current role. Further, she is the company’s first Chief Sustainability Officer. In this role, she is working to improve transparency of information shared with stakeholders, set goals, and promote the use of that information by investors, customers, and others. Kim has received numerous awards include the prestigious Top Minds in Compliance Award from Compliance Week.

In this fourth and final episode, Kim discusses receiving the designation of Chief Sustainability Officer and how that intersects with her role as CCO. We conclude with a look at where the risk management professional and risk management profession might be in 2030 and beyond. Finally, in her role as Chief Sustainability Officer, Kim wants to work to “Make Tomorrow Better”.

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Kim calls herself a “businessperson with a law degree” and she has had a distinguished career in the in-house world. She held in-house positions at Ford Motor Credit Company and Masco before moving to Whirlpool to become the company’s first Chief Compliance Officer. From there she moved to Tenneco to the CCO chair and then into her current role. Further, she is the company’s first Chief Sustainability Officer. In this role, she is working to improve transparency of information shared with stakeholders, set goals, and promote the use of that information by investors, customers, and others. Kim has received numerous awards include the prestigious Top Minds in Compliance Award from Compliance Week.

In this third episode, Kim discusses her move to the CCO chair at Whirlpool and then Tenneco. In the CCO role she had her first interactions with the Board of Directors and found they understood that compliance is a journey it is extremely hard to be perfect. She also worked to change the impression of the CCO as ‘Dr. No from the Land of No.’ Have you thought about a Candy Station in your Compliance Department? Kim explains how she used this simple idea to help foster breaking through silos.

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Kim calls herself a “businessperson with a law degree” and she has had a distinguished career in the in-house world. She held in-house positions at Ford Motor Credit Company and Masco before moving to Whirlpool to become the company’s first Chief Compliance Officer. From there she moved to Tenneco to the CCO chair and then into her current role. Further, she is the company’s first Chief Sustainability Officer. In this role, she is working to improve transparency of information shared with stakeholders, set goals, and promote the use of that information by investors, customers, and others. Kim has received numerous awards include the prestigious Top Minds in Compliance Award from Compliance Week.

 In this second episode, we take up the in-house roles In Kim held on her journey towards the CCO chair. At Masco she was given the compliance portfolio and this was her first exposure to corp compliance. She was determined to “take the groan out of compliance” and did so by using humor and storytelling in compliance training. Kim said that employees that are engaged by and with compliance become ambassadors for compliance. At Masco as her first exposure to compliance on the international stage as well, learning you need to leave room to tailor compliance to local culture.

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Kim calls herself a “businessperson with a law degree” and she has had a distinguished career in the in-house world. She held in-house positions at Ford Motor Credit Company and Masco before moving to Whirlpool to become the company’s first Chief Compliance Officer. From there she moved to Tenneco to the CCO chair and then into her current role. Further, she is the company’s first Chief Sustainability Officer. In this role, she is working to improve transparency of information shared with stakeholders, set goals, and promote the use of that information by investors, customers, and others. Kim has received numerous awards include the prestigious Top Minds in Compliance Award from Compliance Week. 

In this first episode, we consider Kim’s undergraduate degree in economics and how this informed her decision that led her down the path to the CCO chair. She sees compliance as practicing preventative law. Kim went in-house straight out of law school and began her career as a part of the business team. She discusses some of the leadership lessons she learned from CEOs she has worked with in her career. 

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Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie’s commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI).

In this fourth and final episode, Katie discusses lessons for the compliance professional from the Coronavirus health crisis. We take a look at the role of the CCO after Coid-19 and whether there is an opportunity for you to refocus your compliance program. We conclude with a look at where the compliance professional and compliance profession might in in 2025 and beyond.

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Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie’s commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI).

In this third episode, we take up a topic not often discussed by compliance professionals: when is it time to move on? Katie gives six pivots points, including the following: (1) Incredible opportunity – lateral, upward, or balance; (2) Jaded. Objectivity is dying a slow death; (3) Bored as you have stood up a program, survived a crisis, now what do you do? (4) Retire and stay on Autopilot; (5) The support for you program is simply not there; and (6) Died on a compliance hill. Katie provides guidance on what compliance professionals should do if they find themselves in any of these situations.

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Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie’s commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI).

In this second episode, we take up the some of the skills, tasks and roles that Katie used in her CCO/CECO roles. She discusses how the compliance profession and compliance professionals have evolved over the past two decades. We move into some of the challenges Ethics and Compliance functions face in the Covid-19 world. We conclude with some of Katie’s thoughts on how persons just getting into the compliance field can garner mentors.

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Katie is passionate about compliance, having worked in the field for 20 years, building high-performing teams and increasing employee engagement by up to 300%. She has proven expertise in building and promoting talent, creating a trust-based culture, anti-corruption, code of conduct, conflict of interest, marketing internal programs, training and awareness, investigation excellence, data privacy and process efficiency. She is a much sought after public speaker and contributor featured in Wall Street Journal, Time, Fortune, NBC and Compliance Week. Katie’s commitment to the compliance profession is well as she currently sits on the Board of Directors of the Ethics and Compliance Initiative (ECI).

In this first episode, we consider Katie’s journey to the CCO role. She talks about how her Liberal Arts degree, not a JD, facilitated her success in compliance. She details her initial corporate work in HR and moving over to the compliance field and her journey to the CCO chair.

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As CCO, DeAnna reported to the general counsel and secretary and to the audit committee of the board of directors. She was responsible for formulating and implementing Core Lab’s ethics policies and procedures, including its Code of Ethics and Corporate Responsibility and making sure they were communicated and trained upon across the company. DeAnna managed the company’s employee Helpline resources and served as a final internal resource which concerned parties could communicate after other formal channels and resources were exhausted. As Corporate Compliance Officer, she was authorized to implement all necessary actions to ensure achievement of the objectives of an effective compliance program. In her role, she collaborated with other functional departments (Internal Audit, Human Resources, Information Security, etc.) to receive and direct compliance issues to appropriate resources for investigation and resolution.

In this fourth and final episode, DeAnna discusses that as a Chief Compliance Officer, you must stand for what you believe in or you will fall for anything. She explained there were times when she did not agree with my manager on certain things like firing a group of managers in one business unit for violating the Company’s Code of Business Conduct regarding mileage reimbursement or when individuals claimed they were retaliated against. In those instances, she stood her ground and pushed back. We concluded with some thoughts about the uniqueness of DeAnna’s journey to the CCO chair and reflect that all CCOs have a unique journey.

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As CCO, DeAnna reported to the general counsel and secretary and to the audit committee of the board of directors. She was responsible for formulating and implementing Core Lab’s ethics policies and procedures, including its Code of Ethics and Corporate Responsibility and making sure they were communicated and trained upon across the company. DeAnna managed the company’s employee Helpline resources and served as a final internal resource which concerned parties could communicate after other formal channels and resources were exhausted. As Corporate Compliance Officer, she was authorized to implement all necessary actions to ensure achievement of the objectives of an effective compliance program. In her role, she collaborated with other functional departments (Internal Audit, Human Resources, Information Security, etc.) to receive and direct compliance issues to appropriate resources for investigation and resolution.

In this third episode, we consider the importance of a CCO building trust, being honest and having high ethical standards. DeAnna discusses how managing the helpline is not only so critical but also an important resource of information for every CCO. She discusses the importance of reporting facts, and not your opinion in fraud and ethics investigations. She also notes that in every investigation, there are teachable moments. Finally, although DeAnna has a QA professional background, she cautions to never forget the human factors in every investigation.

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In this second episode, we take up the some of the skills, tasks and roles that Deanna had as a CCO. She believes one of the key things that any CCO can and should do, one of which is engage in and preach integrity. It is important to understand conflict management as a every CCO will be called upon to manage conflicts. While you must be detail oriented and have good problem-solving skills, a CCO must be comfortable navigating the grey zone.

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As CCO, DeAnna reported to the general counsel and secretary and to the audit committee of the board of directors. She was responsible for formulating and implementing Core Lab’s ethics policies and procedures, including its Code of Ethics and Corporate Responsibility and making sure they were communicated and trained upon across the company. DeAnna managed the company’s employee Helpline resources and served as a final internal resource which concerned parties could communicate after other formal channels and resources were exhausted. As Corporate Compliance Officer, she was authorized to implement all necessary actions to ensure achievement of the objectives of an effective compliance program. In her role, she collaborated with other functional departments (Internal Audit, Human Resources, Information Security, etc.) to receive and direct compliance issues to appropriate resources for investigation and resolution.

In this first episode, we consider Deanna’s journey to the CCO role, which she described as “no different than anyone else’s because it was so different. She began her professional career in QA/QC at NASA. She later moved to Core Laboratories. From there she transitioned into a compliance position and then the CCO.

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Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World’s Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel.

In this final episode, going forward Sapirman says it will all be about the data, data and more data and the metrics to go along with it. However, it is not enough to simply track data, both from the government’s perspective and from the business case, your business unit folks need actionable insights. There will be greater scrutiny of both CSR and the Supply Chain and that 3rd party compliance is not just about due diligence on your suppliers and finally the role of procurement in compliance. Sapirman believes there will be more professional in the field of compliance with schools having Ethics & Compliance. Compliance professionals will be more challenged with privacy issues, trade control challenges and economic sanctions as well the cultural realities of movements such as #MeToo and Black Lives Matter. We concluded with thoughts on the convergence of compliance and risk – the importance of compliance professionals understanding their position in an organization’s risk universe.

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Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World’s Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel.

In this Episode 3, Sapirman discusses how communications can be used to help drive a more ethical culture. Sapirman believes that communication as a driver of culture. But more than simply being a great communicator, a compliance practitioner must use skill to help others communicate the messages of ethics and compliance. He discusses the concept of 360-degree communications. He is a big fan of social media and the power of non-verbal communications. He concludes with an example of how he used training as an effective tool of communications.

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 Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World’s Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel.

In this Episode 2, we explore the qualities of thesuccessful CECO. Some of the key leadership attributes Sapirman sees as critical are Great Communication, a skill that should be practiced constantly, to ensure you remain successful. You should engage in Servant Leadership and your success lies solely in the success of others. Why you need to be flexible and even be a Chameleon. You must be innovative because if you keep doing the same thing over and over, eventually it becomes stale and is destined to fail. Success in E&C requires the ability to be creative and see the novel solutions and change necessary to keep your program successful.

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Louis previously served as Associate General Counsel & Chief Compliance Officer for the Dun & Bradstreet Corporation. During his tenure as CCO, the company was recognized as one of the World’s Most Ethical Companies by the Ethisphere Institute. Prior to moving in-house, Louis worked in private practice with several law firms including Wilmer Cutler Pickering Hale & Dorr and Buchanan Ingersoll. Throughout his career, Louis has been recognized for his work. In both 2015 and 2016, the Ethisphere Institute named him to their list of Attorneys Who Matter in Compliance and Ethics, and in 2010 he was named International Employment Lawyer of the Year by the Association of Corporate Counsel.

 In this first episode, we consider Louis’ personal and professional journey into the field of compliance. We get to know Sapirman through his family and why he is so passionate about compliance, institutional justice and institutional fairness. We learn about two experiences growing up that helped informed his views on diversity and the wider world. He talks about his experience as a member of a service fraternity in college and then moves into his professional career. His legal work as a Generalist into Employment Attorney, moving to Employment and Litigation work at D&B and then revamping the investigations process at D&B.

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 Scott Sullivan is a versatile and innovative governance, risk, compliance, ethics and legal executive with significant experience advising C-suite leaders and Boards of Directors in a global enterprise in a wide array of sensitive, high profile subject matter areas. He has extensive leadership in designing, implementing and enhancing world-class programs and favorably resolving regulatory crises for multinationals. He has managed ethics and compliance for a $5B global Fortune 500 corporation, directing a Business Integrity & Compliance function impacting 20,000 employees in over 55 countries with over 100 legal entities.

In this final episode, Sullivan discusses how the role of a CCO has evolved from a legal response to government enforcement under the FCPA; driven by lawyers to something else. We consider some of some of the biggest changes for Sullivan has observed. We conclude by looking down the road, as we move into the 2020s where Sullivan sees compliance moving to? It includes data, data, data - continuous monitoring, automation, finely tuned machine and how some of the changes wrought by Covid-19 accelerate these trends and perhaps others; including remote options, less travel and opportunities outside traditional comfort zone for compliance professionals.

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 Scott Sullivan is a versatile and innovative governance, risk, compliance, ethics and legal executive with significant experience advising C-suite leaders and Boards of Directors in a global enterprise in a wide array of sensitive, high profile subject matter areas. He has extensive leadership in designing, implementing and enhancing world-class programs and favorably resolving regulatory crises for multinationals. He has managed ethics and compliance for a $5B global Fortune 500 corporation, directing a Business Integrity & Compliance function impacting 20,000 employees in over 55 countries with over 100 legal entities.

In this Episode 3, we consider how a CCO can complement their own skills with their team. Some of the skills sets Sullivan sees needed for 2020 and beyond include, Project Management, data analytics, communications & marketing, plus legal. Sullivan lists his 4 top leadership lessons for leading a compliance team.

1. People First - Empower Them to Lead.
2. Roll up your sleeves - don’t be afraid to dive in.
3. Manage the Chaos to Thrive not just Survive.
4. Trust your gut and instincts - judgmental vs. statistical sampling.

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Scott Sullivan is a versatile and innovative governance, risk, compliance, ethics and legal executive with significant experience advising C-suite leaders and Boards of Directors in a global enterprise in a wide array of sensitive, high profile subject matter areas. He has extensive leadership in designing, implementing and enhancing world-class programs and favorably resolving regulatory crises for multinationals. He has managed ethics and compliance for a $5B global Fortune 500 corporation, directing a Business Integrity & Compliance function impacting 20,000 employees in over 55 countries with over 100 legal entities.

In this Episode 2, we explore how a CCO can stay in the front of the wolf pack and not fall behind. Our discussion includes, what are the internal signs, indicia or data a CCO should be looking at? Why does a CCO need a seat at the table to stay in front? And the external information you need to have from such diverse sources as the regulators, competitors, customers, suppliers and others.

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In this first episode, we consider what does empathy mean in the context of being a CCO? Why does a CCO need empathy? They are often seen as the Conscience of the Company, the Moral Compass, and Doing What is Right - consequences otherwise damaging to company, relationships, etc. When does a CCO have to say ‘No’? Your goal is rarely and it you say no, it means no. How does empathy relate to communications? A CCO needs to understand/walk in someone’s shoes. 

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Ryan Rabalais has over two decades of legal and compliance experience in the oil and gas sector, including being a Vice President & Chief Compliance Officer for two different companies with global operations. Ryan has a history of providing practical solutions to the business and managing overall corporate and regulatory compliance programs. His compliance experience includes a particular focus on anti-corruption, sanctions, trade controls and US anti-boycott, with reporting responsibilities to senior management and the Board of Directors of large, publicly traded companies. 

In this final episode, Ryan talks about the all-important role of culture in an organization and the role of the CCO in being a spokesman for culture. He concludes with some thoughts about the importance of institutional justice and institutional fairness and why the CCO needs to help lead this effort throughout the organization.

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Ryan Rabalais has over two decades of legal and compliance experience in the oil and gas sector, including being a Vice President & Chief Compliance Officer for two different companies with global operations. Ryan has a history of providing practical solutions to the business and managing overall corporate and regulatory compliance programs. His compliance experience includes a particular focus on anti-corruption, sanctions, trade controls and US anti-boycott, with reporting responsibilities to senior management and the Board of Directors of large, publicly traded companies.

 In this Episode 3, Ryan relates some of the skill sets he has used in his journey to the CCO chair and while he has been in that position. They include being what Rabalais calls “Compliance wise” that is knowing the nuts and bolts of compliance and compliance programs so that you are a subject matter expert. You should also under how to do compliance; that is, how to design, create and implement a best practices compliance program. You should be able to communicate up and down the chain (here he brings the wisdom of a Marine. Finally, he ends with some thoughts on worldliness.

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Ryan Rabalais has over two decades of legal and compliance experience in the oil and gas sector, including being a Vice President & Chief Compliance Officer for two different companies with global operations. Ryan has a history of providing practical solutions to the business and managing overall corporate and regulatory compliance programs. His compliance experience includes a particular focus on anti-corruption, sanctions, trade controls and US anti-boycott, with reporting responsibilities to senior management and the Board of Directors of large, publicly traded companies.

In this Episode 2, we discuss the evolution of the compliance role from that of a legal solution written by lawyers for lawyers to the CCO being seen as a part of the business solution. It began with employees seeing the compliance function as The Land of No, populated by Dr. No to something very different today. We also consider the Black Box problem of compliance. 

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Ryan Rabalais has over two decades of legal and compliance experience in the oil and gas sector, including being a Vice President & Chief Compliance Officer for two different companies with global operations. Ryan has a history of providing practical solutions to the business and managing overall corporate and regulatory compliance programs. His compliance experience includes a particular focus on anti-corruption, sanctions, trade controls and US anti-boycott, with reporting responsibilities to senior management and the Board of Directors of large, publicly traded companies. 

In this first episode, we discuss how Ryan started his journey to the CCO chair. Ryan has one of the most unique journeys to the CCO role. He joined the Marine Corp out of high school. He then went to college and law school. In 2003, while still in law school he answered an ad for a Spanish speaking law clerk at Baker Hughes. That started him down the road to work Baker Hughes through its FCPA enforcement action, DPA and monitorship. From their he moved to the other compliance positions at other companies culminating in the CCO chair.

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Ellen is a lawyer, ethics & compliance professional, and chief audit executive. She has extensive management experience in designing, implementing and operating ethics and compliance programs including board governance and reporting, designing ethics education, creating policy management frameworks, managing enterprise and compliance risk processes as well as handling investigations and regulatory inquiries. Utilizing AARP's enterprise risk management profile, she re-designed how AARP conducts its annual audit planning process to identify audits that relate to the organization's must significant risks and incorporated the use of data analytics into audit execution.

 In this final episode, Ellen visits about what life can look like after you leave the CCO role. What are the types of corporate positions you are skilled for? As ethics and compliance matures, organizations are now seeing risks as positives. The question becomes how you are going to manage that risk for greater profitability; how you will strategically manage risk. We conclude with a discussion of why CCOs need to go onto Boards of Directors and why Boards need compliance expertise to navigate the post Covid-19 world.

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Ellen is a lawyer, ethics & compliance professional, and chief audit executive. She has extensive management experience in designing, implementing and operating ethics and compliance programs including board governance and reporting, designing ethics education, creating policy management frameworks, managing enterprise and compliance risk processes as well as handling investigations and regulatory inquiries. Utilizing AARP's enterprise risk management profile, she re-designed how AARP conducts its annual audit planning process to identify audits that relate to the organization's must significant risks and incorporated the use of data analytics into audit execution.

 In this episode, Ellen relates what happens when you get into the CCO chair. She emphasized it is a great opportunity. You must determine your highest risks and move to manage those risks. You need to get to know your team, assess their strengths and weakness and conclude how to use those skills. Learn the budgeting process and push for a realistic budget. Finally, get to know your Board and your Compliance Committee or Audit Committee chair.

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Ellen like many who are in compliance, came to it by (1) being drafted and (2) from the legal function. When she began, compliance was legalistic, rules-based; largely seen as an insurance policy in case there was a compliance failure. It has changed to a business process and every CCO needs to understand the business of their organization. We explore what skills you need to develop to grow in the compliance profession.

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 In this first episode, we discuss how to start the journey to the CCO chair. We consider what it means to be in the compliance profession. How do you think about a career in compliance? What are some of the skills you will need to move forward in compliance?

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Another Form Of Risk Management

A number of Russ’ clients needed to address privacy issues; however, the available resources were mostly European. He gained the Certified Information Privacy Professional certification so that he could meet the market need. Russ says that he looks at privacy as another form of risk management. We need to create a framework to comply with privacy laws, as well as investigate any potential violation. 

Russ comments that privacy laws in the US are not as comprehensive as the EU’s GDPR. Privacy is generally seen as consumer protection in the US, while it is considered a human right in the EU. 

Meeting State Standards

Tom comments that there is no national privacy law in the US at this point. He asks Russ how Aventiv thinks through crafting a privacy policy that might potentially have to satisfy 50 different state privacy laws. At present, Russ says, nine states have created privacy laws. Aventiv’s strategy is to meet the most stringent standards, and make that the national standard. Usually if you meet California’s standards, you can comply with the other states. Russ is pleased with Aventiv’s willingness to embrace compliance as a driver of their company culture.

Resources

IAPP.org 

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Crisis Management In The COVID-19 Crisis

Tom comments that crisis management should always be at the forefront for every CCO. He asks Russ to share how Aventiv is managing the current crisis. Russ is proud of his company’s proactive and successful response to the crisis. He manages the company’s enterprise risk management system, part of which is their risk register. A pandemic is one of the events on that register. As soon as the CDC announced that COVID-19 could become an issue for businesses, their team created a formal risk management plan that included “a list of all the people who are going to be part of the response team and all the actions they could take and what the elements were that would trigger the plan. That was written, circulated, approved and was ready to go several days before we needed it,” Russ says. The operational team now uses this oversight and governance document to execute the company’s response. Russ comments that this shows that risk and compliance “can look and see what's coming, can prepare a way of dealing with it and then start the process.”

The CCO’s Role

Russ says that as CCO, he has two additional roles during this crisis. The first is to see the risks that might come up because of the crisis. The second is to make sure that other risks unrelated to the crisis, are also being addressed. “Crisis management is just risk management,” Russ says. “You just do it in a different time frame.” 

Resources

Aventiv Technologies

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Changing Culture at BearingPoint

Tom Fox credits Russ with being one of the first persons to come up with a compliance movie. Russ relates that the lack of an integrated culture was one of the biggest issues at BearingPoint in 2007. His goal was to build company culture, and expectations around the same. Research suggested that they should start with their training, so Russ and his team came up with the idea of a series of videos - a “mockumentary” - similar to The Office. The team gathered stories from employees, which became inspiration for the script. 

The first series of videos about the fictional Agreva Group was a phenomenal success. Russ relates that the “magic for us was that because they were our own stories, the people at BearingPoint recognized them and empathized with them…” After each six minute episode, a senior official would talk about the policies that applied to the situation portrayed in the video, and what the characters should have done. Russ comments that the training was the talk of the company: people eagerly looked forward to the release of the next episode, and diagnostic surveys showed marked cultural change as a result. One of their employees even became a local celebrity from acting in the series. They subsequently created a column and a second series of videos.

Tom comments that using the employees’ stories not only made them more targeted and engaged in the series, but also allowed Russ to gather information. Their post-diagnostic surveys helped them to measure the effectiveness of the training. Russ adds that engaging the senior leadership to talk on the videos made them the mouthpiece for the culture they were trying to create, while setting the tone from the top.

Resources

Aventiv Technologies

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Pizza Is The Key To Success

Tom asks why Russ believes that pizza is the key to success as a compliance officer. Russ responds that compliance often functions in a silo; however, to be effective, a compliance officer must be engaged with everyone who has influence within the company. “I found the secret weapon in that arsenal to build those relationships,” Russ says, “was to buy lots and lots of pizza, and I would bring together these groups of all these people, have strategy sessions. It was funny that when the pizza came out, people started talking, sharing about what was really going on in the organization, who they were as people, what they were looking for and it broke down a lot of the barriers.” He learned this strategy at Hewlett Packard. Connecting with people is the key to success, he emphasizes.

His Compliance Life

Russ details his journey from associate general counsel at Compaq to compliance officer. As a consequence of the merger with Hewlett Packard, a large part of the legal department at Compaq was being phased out. He was offered the opportunity to join the newly formed compliance department, which he accepted. He had real life experience using the skills they needed, so he was a natural fit. He describes how he helped streamline their internal investigation process to a multi-disciplinary one with governance. Throughout his career, Russ says, he has worked in compliance and investigations on all six inhabited continents.

Resources

Aventiv Technologies

Russ Berland on LinkedIn 

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