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
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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
10
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
11
Superforecasting
What is Superforecasting in Compliance? Find out in today's edition of 31 Days to a More Effective Compliance Program.
8 min
12
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
13
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
14
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
15
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
16
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
17
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
18
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
19
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
20
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
21
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
22
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
23
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
24
Compliance Gap Analysis for HR
How can you audit the role of HR in compliance? Start with a gap analysis.
8 min
25
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
26
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
27
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
28
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
29
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
30
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
31
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
32
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
33
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
34
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
35
Executives Compensation and compliance incentives
To fully incentivize executives around compliance, they must have skin in the game.
7 min
36
Designing compensation to operationalize compli...
What are the 3 key questions you must consider in designing your compensation system to operationalize compliance?
7 min
37
Six core principles for compliance incentives
How can HR help compliance design an incentive program?
7 min
38
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
39
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
40
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
41
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
42
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
43
Day 31 | Levels of due diligence
What are the 3 levels of due diligence?
9 min
44
Day 30 | Using a root cause analysis for remedi...
7 min
45
Day 29 | What is a root cause analysis?
7 min
46
Day 28 | Post-acquisition integration plan
7 min
47
Day 27 | Pre-acquisition due diligence in merge...
7 min
48
Day 26 | Operationalizing compliance through pa...
How can you operationalize your compliance program through payroll?
7 min
49
Day 25 | Compliance function in an organization
What is a compliance function in an organization?
7 min
50
Day 24 | CCO authority and independence
What is CCO authority?
7 min
51
Day 23 | Updates and feedback
How to update a compliance program?
7 min
52
Day 22 | Assessing compliance internal controls
How do you assess internal controls?
7 min
53
Day 21 | Continuous improvement in a compliance...
What is continuous improvement?
7 min
54
Day 20 | Responding to investigative findings
How to respond to investigative findings?
8 min
55
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
56
Day 18 | Internal reporting and the triaging of...
What is internal reporting and triaging of claims?
7 min
57
Day 17 | Managing your third parties
How do you manage 3rd parties?
8 min
58
Day 16 | The third-party risk management process
What is the 3rd party risk management process?
8 min
59
Day 15 | How do you evaluate a risk assessment?
How do you evaluate a risk assessment in a best practices compliance program?
8 min
60
Day 14 | Risk Assessments
The role of risk assessments in a best practices compliance program.
8 min
61
Day 13 |Institutional Justice and The Fair Proc...
What is the role of institutional justice in a best practices compliance program?
8 min
62
Day 12 | Financial Incentives for Compliance
What is the role of financial incentives in a best practices compliance program?
8 min
63
Day 11 | What is Effective Compliance Training?
What is effective compliance training?
8 min
64
Day 10 | The use of social media in compliance
What is the role of social media in a compliance program?
8 min
65
Day 9 | 360 degrees of compliance communications
What are 360 degrees of communication on compliance?
8 min
66
Day 8 | Internal controls and compliance
What is the role of internal controls in compliance?
8 min
67
Day 7 | Policies and Procedures
What are the role of policies and procedures?
7 min
68
Day 6 | The Code of Conduct
Why is the Code of Conduct a foundational compliance document?
7 min
69
Day 5 | The Board and operationalizing compliance
What is the Board's role in operationalizing compliance?
8 min
70
Day 4 | Moving compliance tone down through an ...
How do you move tone down through an organization? Find out in Day 4 of 31 Days to a More Effective Compliance Program.
7 min
71
Day 3 | Leadership’s conduct at the top
7 min
72
Day 2 | Measuring your risk
In Day of 31 days to a more effective compliance program, we consider measuring your risk and then what to do with the information after you have obtained it.
6 min
73
Day 1 | What 2019 Brought to Compliance Programs
In Day 1 of my podcast series on 31 Days to a More Effective Compliance Program, I discuss the key information from the regulators for the compliance practitioner.
8 min