31 Days to a More Effective Complianc...
In this podcast series, I lay the best way to more fully operationalize a compliance program. Each month I will consider a different topic in a best practices compliance program. This podcast series provides the compliance practitioner with a thorough grounding in the key aspects of a best practices compliance program based on the most recent information from the regulators. Each episode concludes with three key takeaways with which you can enhance your compliance program at little or no cost. If you are a compliance professional, this is the podcast series for you.
Management
Business News
1
Introduction to internal reporting and investig...
Join me for the month of June as I explore internal reporting systems, hotlines and internal investigations. All on 31 Days to a More Effective Compliance Program.
8 min
2
Polices on extortion payments
What are extortion payments? What does the FCPA say about them? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
3
Policies for third-parties
What should be in your policies for third parties? Find out on this episode of 31 Days to a More Effective Compliance Program.
8 min
4
Policies on Facilitation Payments
What should be in your policies around facilitation payments? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
5
Enforcement Actions Featuring Facilitation Paym...
What are some of the key FCPA enforcement actions involving facilitation payments? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
6
The Problem with Facilitation Payments
What are some of the key problems with facilitation payments? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
7
Policies on Political Contributions
What should be in your policy on political contributions? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
8
Policies and Procedures on Charitable Donations
What should be included in your policies and procedures for charitable donations? Find out in today's 31 Days to More Effective Compliance Program.
8 min
9
Opinion Release guidance on charitable donations
Opinion Releases can provide valuable information for the compliance practitioner. Find out more in this episode of 31 Days to a More Effective Compliance Program.
8 min
10
Charitable donation enforcement actions
When is a rose not a rose? When it is a charitable donation not made for philanthropic purposes and violates the FCPA. Find out more in today's episode of 31 Days to a More Effective Compliance Program.
8 min
11
Policies on Travel
What are your compliance policies around travel? Find out how to think through this issue on this episode of 31 Days to a More Effective Compliance Program.
8 min
12
Policies and procedures on gifts and business e...
What should be your policies around gifts and business entertainment? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
13
Revising your policies and procedures
How should you consider revising your policies and procedures? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
14
Policies and procedures
Why are policies and procedures so critical to a best practices compliance program? How do you design, implement and review them? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
15
Operationalization of your Code of Conduct
How can you work to more fully operationalize your Code of Conduct?
8 min
16
Training on your Code of Conduct
How should you think about training on your Code of Conduct? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
17
Design of your Code of Conduct
How should you design your Code of Conduct? Find out in today's 31 Days to a More Effective Compliance Program.
8 min
18
Code of Conduct: Structure and format
How can you think through the structure and format of your Code of Conduct? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min
19
Code of Conduct
Why is your Code of Conduct foundational? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
20
Clearly articulated written standards
What should be in your clearly articulated written standards? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
21
Introduction to written standards
Welcome to a new month in 31 Days to a Better Compliance Program. In May, I will be considering the role of written standards in a best practices compliance program.
4 min
22
Conclusion to continuous improvement in a compl...
Over the course of this month, I have presented a variety of specific tools and techniques for the compliance practitioner to utilize to continuous improve their compliance regime.
8 min
23
Use of social media for continuous improvement
How can your compliance function use social media for continuous improvement? Find out on this edition of 31 Days to a More Effective Compliance Program
8 min
24
Email sweeps for continuous improvement
How can email sweeps facilitate continuous improvement? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min
25
Continuous Improvement Through Compliance Progr...
How can implementing a new tech solution lead to continuous improvement? Find out in this episode of 31 Days to a More Effective Compliance Program
8 min
26
Proactive monitoring for continuous improvement
How can proactive monitoring facilitate continuous improvement? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
27
Measuring the effectiveness of a compliance pro...
How does measuring the effectiveness of your compliance program facilitate continuous improvement? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
28
Using Data For Continuous Improvement
How to think through using data for continuous improvement? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
29
Big data and continuous improvement
How can you us big data for continuous improvement of your compliance program? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
30
Keeping track of current events for continuous ...
Keeping track of current events for continuous improvement of your compliance program.
8 min
31
Monitoring for continuous improvement
What is continuous monitoring and how does it lead to continuous improvement? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
32
The mock audit
The mock audit can be a powerful tool for a compliance professional. Find out more in today's 31 Days to a More Effective Compliance Program.
8 min
33
The Integrity Audit
What is the Integrity Audit and how does it facilitate continuous improvement? Find out in today's 31 Days to a More Effective Compliance Program.
8 min
34
The Fraud Audit
What is the fraud audit and how does it help continuous improvement in a compliance program? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
35
The culture audit
How does a culture audit facilitate continuous improvement? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
36
Supply Chain audits
Why is a Supply Chain audit critical for any best practices compliance program? Find out in today's 31 Days to a More Effective Compliance Program.
8 min
37
Financial health of third-parties
Why is the financial health of your 3rd parties a critical due diligence concern? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
38
Monitoring of third-parties
How to think through the monitoring of 3rd parties? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
39
Auditing of third-parties
What are some of the considerations for auditing 3rd party agents? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
40
Designing a process for continuous monitoring
How can you design a process for continuous monitoring? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
41
Internal audit and continuous improvement
How can compliance leverage internal audit for continuous improvement? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
42
The compliance audit
What is the role of the compliance audit in continuous improvement of a best practices compliance program? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
43
Continuous improvement in a compliance program
In this month's podcast series of 31 Days to a More Effective Compliance Program, I consider the topic of continuous improvement.
8 min
44
What does innovation in compliance look like?
What does innovation in compliance look like? Find out in our concluding episode of 31 Days to a More Effective Program for innovation in compliance.
8 min
45
Innovation in Compliance Leadership
What is innovation in compliance leadership? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
46
Innovation in Investigative Due Diligence
How will AI change investigative due diligence? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
47
The Regional Compliance Committee
Innovation in compliance can come in many forms. Sometimes that innovation can be structural. Find out more in today's edition of 31 Days to a More Effective Compliance Program.
8 min
48
Moving Data Science the Last Mile
How can a CCO create a data science team for the compliance function? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
49
Innovation through Originating a Compliance Eco...
Compliance is moving into a new era of collaboration and connection to more fully operationalize compliance to make all business stakeholders more efficient and at the end of the day more profitable. One way to do so is with a compliance ecosystem.
8 min
50
Using Innovation to Break Through Silos
How can compliance use innovation to break through corporate silos? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
51
AI as a Competitive Advantage
How does AI provide a competitive advantage in business through the compliance function? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
52
Design Thinking for Compliance
What is design thinking and how can it help to innovate in compliance? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
53
Blockchain will transform compliance
How will blockchain transform compliance? Find out in today's episode of 31 Days to a More Effective Compliance Program
8 min
54
Superforecasting
What is Superforecasting in Compliance? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min
55
The Digital Twin and P&L of One
What is the Digital Twin and P&L of One? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min
56
Taming Complexity in Compliance
How can you tame complexity in compliance? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min
57
Using AI in Compliance Contracting
How can you utilized AI in compliance contracting? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
58
Finding compliance patterns in raked leaves
How can you find patterns in the raked leaves of a compliance program? Find out in today's 31 Days to a More Effective Compliance Program.
8 min
59
Four Practices for Delivering an AI Solution to...
What are four practices that create the conditions for delivering an AI solution to compliance. Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
60
Compliance Capabilities Needed to Use AI Programs
What are the key capabilities needed for a compliance function to successfully create and use a AI program?
8 min
61
Strategies For and With AI in Compliance
Using KPIs is critical for an AI strategy in compliance. Learn more in today's episode of 31 Days to a More Effective Compliance Program.
8 min
62
The Compliance Advantage of Data
What are the compliance advantages of data? How can you use data going forward? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
63
Skills for Innovating in Compliance
What are the skills you need for innovation in compliance? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
64
Welcome to ComTech
How will ComTech disrupt compliance? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
65
Innovation strategy for your compliance program
What is your innovation strategy for your compliance program? Why should you have one? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
66
10 compliance questions to pose to HR
We end this month exploring the intersection of HR and compliance with Ten Questions to pose to HR about your compliance program.
8 min
67
Compliance Gap Analysis for HR
How can you audit the role of HR in compliance? Start with a gap analysis.
8 min
68
Compliance culture at the bottom
How can you impact tone at the bottom of your organization? Find out on today's episode of 31 Days to a More Effective Compliance Program.
8 min
69
Operationalizing compliance in the middle
How can you move compliance tone from the top to the middle? Find out in today's 31 Days to a More Effective Compliance Program.
8 min
70
Promotion to operationalize compliance
How can promotion help to operationalize compliance? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
71
The exit interview
How can the exit interview of a departing employee facilitate your compliance program? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
72
Employment separation Issues
What is the role of compliance in employment separation? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
73
Hiring a CCO: Developing the job profile
What process should a company go through when it wants to hire a new CCO? Find out in today's episode of 31 Days to a More Effective Compliance Program.
8 min
74
Compliance performance appraisal review
What is the role of compliance in an employee appraisal? Find out in this episode of 31 Days to a More Effective Compliance Program.
8 min
75
Succession planning around compliance
How can Human Resources help add compliance components to succession planning? Find out in today's edition of 31 Days to a More Effective Compliance.
8 min
76
Institutional Justice and The Fair Process Doct...
Institutional Justice and the Fair Process Doctrine are key concepts to help more fully operationalize your compliance program.
8 min
77
Sales incentives and compliance
Sales incentives can guide compliance or skew compliance. The Wells Fargo fraudulent accounts scandal is an example of a benign system gone awry.
7 min
78
Executives Compensation and compliance incentives
To fully incentivize executives around compliance, they must have skin in the game.
7 min
79
Designing compensation to operationalize compli...
What are the 3 key questions you must consider in designing your compensation system to operationalize compliance?
7 min
80
Six core principles for compliance incentives
How can HR help compliance design an incentive program?
7 min
81
The Role of Human Resources in Incentivizing Co...
How can Human Resources help craft a program, incentivizing compliance? Find out in today's offering of 31 Days to a More Effective Compliance Program.
7 min
82
Using the Reference Check to Operationalize Com...
The reference check can be an important tool in the HR arsenal to more fully operationalize your compliance program.
7 min
83
The Hiring Process as a Step to Operationalize ...
Human Resources plays a key role in the hiring process. You can use that role to more fully operationalize your compliance regime with some simply questions.
7 min
84
The Role of HR in Creating an Ethical Culture
What is the role of Human Resources in creating an ethical culture? Find out in today's edition of the role of HR in compliance.
7 min
85
The Role of Human Resources in Operationalizing...
In February 31 Days to a More Effective Compliance Program will consider the role of Human Resources in compliance. Today I introduce the topic.
7 min
86
Day 31 | Levels of due diligence
What are the 3 levels of due diligence?
9 min
87
Day 30 | Using a root cause analysis for remedi...
7 min
88
Day 29 | What is a root cause analysis?
7 min
89
Day 28 | Post-acquisition integration plan
7 min
90
Day 27 | Pre-acquisition due diligence in merge...
7 min
91
Day 26 | Operationalizing compliance through pa...
How can you operationalize your compliance program through payroll?
7 min
92
Day 25 | Compliance function in an organization
What is a compliance function in an organization?
7 min
93
Day 24 | CCO authority and independence
What is CCO authority?
7 min
94
Day 23 | Updates and feedback
How to update a compliance program?
7 min
95
Day 22 | Assessing compliance internal controls
How do you assess internal controls?
7 min
96
Day 21 | Continuous improvement in a compliance...
What is continuous improvement?
7 min
97
Day 20 | Responding to investigative findings
How to respond to investigative findings?
8 min
98
Day 19 | The investigation protocol
What is your investigation protocol? Find out why you need one and how to create one in 19 of 31 Days to a More Effective Compliance Program
7 min
99
Day 18 | Internal reporting and the triaging of...
What is internal reporting and triaging of claims?
7 min
100
Day 17 | Managing your third parties
How do you manage 3rd parties?
8 min