Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights. Have you considered being an Expat and what it’s like to return after being abroad? This #GWIC episode explores what you need to know on both legs of the journey and the rich personal and professional growth that comes from immersing yourself in another culture and country.

Our expat guests, Joy Hayes, who has just moved to Geneva, Switzerland, and Gitanjali Sakhuja, who has worked in seven different countries and is now back in the U.S., share their journey, tips, and practical advice. Their insights range from when you decide to work in another country to when you return home – and some great experiences (and challenges). Ellen Hunt leads this roundtable discussion with our guests, who share their personal experiences and professional insights on becoming an expat and repat, including balancing expectations, the importance of language proficiency, and the challenges of tax and visa regulations. They also delve into the emotional aspects of adjusting to life abroad and the reentry process, offering practical tips and anecdotes. 

Thanks, as always, to our sponsor, Corporate Compliance Insights, and our wonderful #GWIC community. You can join the Great Women in Compliance community on LinkedIn here.

Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights.   In today’s episode, Lisa speaks with Karen Bertha, who has built world-class programs throughout her career, most recently at V2X.   She has significant acquisition and post-acquisition due diligence expertise, including at V2X.  After that acquisition, she was at a crossroads and needed time to take stock and pause.

Karen reflects on her work with due diligence, including how and when compliance should be involved in due diligence.  They also discuss strategies for post-integration, even if compliance is brought at some point later.  Karen has worked in highly regulated industries, such as government contracting, and those not in highly regulated industries. She shares her experiences and lessons learned.

Karen left V2X after the acquisition when she needed time for herself and other parts of her life.  She talks about how the “power of the pause” has been helpful to her.  She talks about reflecting on her work in the Ethics & Compliance profession, increasing her learning, specifically in compliance-adjacent fields like Human Resources and audit, with time to focus.  She also shares what she has enjoyed during this time, which we at #GWIC hope can inspire those thinking about your next steps or between roles.

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Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights. GWIC goes in a different direction today with a cross-post with Everything Compliance. Welcome to the only roundtable podcast in compliance as we celebrate our second century of shows. Kristy Grant-Hart hosted a Special Edition episode of Everything Compliance a few months ago with some of the Great Women in Compliance. The episode was so popular (and the host and guests had so much fun) that everyone involved decided to make it a quarterly event and cross-post it on GWIC. Kristy Grant-Hart hosts today's episode of Everything Compliance (Q4-GWIC edition), which features Karen Moore, Lisa Fine, and Hemma Lomax on a guest panel.

1. Host Kristy Grant-Hart takes a deep dive into meeting recording and note-taking services and why you need to disable these default settings. She shouts out to her hometown LA Dodgers for winning the World Series and rants about one of her favorite stores, Williams-Sonoma, playing holiday music before Halloween.
2. Karen Moore examines Modern Slavery. She raved about United Airlines and its unending stream of communications.
3. Lisa Fine takes a deep dive into the RTX settlements. In her Raves and Rants segment, she has a rant and a rave. First, after noting she cannot play Christmas music more than two weeks before Thanksgiving, she rants about vendors pushing compliance officers to use the budget in Q4 and raves about her hometown, the Buffalo Bills.
4. Hemma Lomax explores the recent termination of multiple EY personnel for taking multiple pieces of training simultaneously. She rants about employees coming to compliance to write policies for AI development and the need to take a principles-based approach.

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Welcome to the Great Women in Compliance podcast with Hemma Lomax and Lisa Fine, sponsored by Corporate Compliance Insights. Over the past few months, the Department of Justice put forth the Whistleblower Pilot Program, and the update to the Evaluation of Corporate Compliance Programs. It was the perfect time to focus on how these impact whistleblower laws. Jane Norberg, who is a partner at Arnold & Porter and the former Chief of the Office of the Whistleblower and Mary Inman, who is a founding partner of Whistleblower Partners. Mary is also an advocate for the power of whistleblowers and is known for representing Facebook Files whistleblower Frances Haugen and Theranos whistleblower Tyler Shultz.

They provide insight into what makes a credible and legitimate whistleblower, how the SEC reviews tips from whistleblowers and what we as compliance professionals can do to build effective programs. All focused on the review of all concerns that are raised, regardless of the source. They provide some thoughts about how to handle different situations before, during, and after an investigation, providing practical advice.

The group discusses the new DOJ Whistleblower Pilot program and where it follows the past programs like the SEC program and where it is filling new gaps. One part of the program includes the 120-day requirement for reporting an issue, and they focused on what that would mean for organizations. Mary and Jane share their views on the requirements and the best practices and reference how most compliance professionals are using the DOJ Evaluation of Corporate Compliance to develop their programs, which means that an issue is investigated. In practical terms, following the ECCP requirement to investigate, and the pilot program has a “race to report,” is a challenge, and this is discussed in depth.

Mary and Jane both provided “one thing you should know” to conclude the discussion. Both points are significant ones for anyone who is dealing with any point of the whistleblower or building a strong speak up/anti-retaliation culture.

Join the Great Women in Compliance community on LinkedIn here.

In this week’s episode, Hemma visits with Stephanie Weldy to discuss the science behind behavior design, with practical models and methods to unpack and design for influencing desired behaviors. Stephanie is an expert at the intersection of behavior design and employee wellness and chief of staff for Dr. BJ Fogg, renowned author of Tiny Habits, creator of Fogg Behavior Design, and a Stanford University behavior scientist. Tune it to learn how to design behaviors for impact at work and home and how to think about influencing behaviors in the context of your compliance function and beyond.

Highlights include: 

• How to help people do what they already want to do and help them feel successful
• The Fogg Behavior Model - Designing the coincidence of motivation, ability, and prompts to encourage enduring behaviors (B=MAP)
• A system for drafting corporate compliance programs that have the impact of influencing human behaviors
• Unpacking and analyzing existing habits or behaviors and designing modifications
• Why New Year’s resolutions or policy aspirations might fail and how to leverage the ‘Motivation Wave’

Biography:

Stephanie Weldy, M.Ed., is an expert at the intersection of Behavior Design and employee well-being. She works with BJ Fogg, PhD, Stanford Behavior Scientist and NYT bestselling author of Tiny Habits, to teach industry innovators how to use Behavior Design in the products and services they are building to help people be healthier and happier.

Stephanie previously led comprehensive wellness programs in higher education, non-profit, and government settings. Stephanie practices what she teaches daily as a working mom to two tiny humans (ages 3 and 5).

She has a master's degree in education in community Health and is a certified Wellcoach and Tiny Habits® coach.

Resources:

• bjfogg.com
• behaviormodel.org
• Online Course: https://www.bjfogg.com/learn
• LinkedIn: https://www.linkedin.com/in/stephanieweldy/

Join the Great Women in Compliance community on LinkedIn here.

In this episode of the Great Women in Compliance podcast, Lisa speaks with Maria Lancri, Maria is a partner at Squair, based in Paris, and has experience both in law firms and in-house, spending 12 years at Hachette Livre – Hachette Books to English speakers like me.   She is a member of the Steering Committee at Sorbonne D.U. Compliance & Ethique des Affairs. She is also a leading speaker about the EU and French compliance laws, doing so in various languages (and provides some tips on how she has been successful).

Maria provides information about the French anti-bribery and anti-corruption laws, including their history and current application. She provides timely information about the Sapin II framework in France as well as the current EU Landscape.  

While the US laws often lead the global discussion about anti-corruption and anti-bribery, the EU has led in data privacy, ESG and now in AI, and some of the key issues over the next year that are relevant to global organization.

Maria and Lisa discuss the cultural challenges that E&C professionals may encounter in a global practice, and how to support ethical decision-making when you have a multi-cultural employee base. 

Join the Great Women in Compliance community on LinkedIn here.

In this episode of Great Women in Compliance, Hemma visits with Katharine Manning, author of The Empathetic Workplace: Five Steps to a Compassionate, Calm, and Confident Response to Trauma on the Job, to discuss the role of trauma-informed leadership in our workplaces.

Tune in to hear stories of transformative approaches to culture and learn specific, actionable techniques for empathy-driven leadership.

Highlights Include:

• Katharine’s experience as a victim rights advocate
• The conundrum of corporate communications during social unrest or tragic events
• The LASER technique for trauma-informed interactions at work

Biography:

Katharine Manning is the President of Blackbird, which provides training and consultation on empathy at work. She is the author of The Empathetic Workplace: Five Steps to a Compassionate, Calm, and Confident Response to Trauma on the Job, and teaches at American University and in the Master’s in Trauma-Informed Leadership Program at Dominican University. Her work has been featured in the Harvard Business Review, Fast Company, Newsweek, CNBC, Business Insider, Thrive Global, and CEOWorld. She has worked on issues of trauma and victimization for more than 25 years, including 15 years at the Justice Department, where she was a Senior Attorney Advisor consulting on victim issues in cases like the Boston Marathon bombing and the Pulse Nightclub shooting.

Join the Great Women in Compliance community on LinkedIn here.

In this episode of Great Women in Compliance, Hemma visits with Vanessa Hans, the Head of Private Sector at the Basel Institute on Governance in Switzerland, to discuss the Institute’s work. Tune in to learn more about the power of collective action in global anti-corruption work, the critical role of the private sector, and the importance of multilateral cooperation.

Highlights include

• Vanessa’s global travels as a competitive endurance cyclist
• The role of the Basel Institute of Governance in Global anti-corruption efforts
• Ways in which the private sector can get involved in global collective action initiatives

 Biography:

 Vanessa Hans is the Head of the Private Sector division of the Basel Institute on Governance. 

 She is an experienced international trade and development professional, skilled in anti-corruption compliance, corporate social responsibility, multi-stakeholder management and project management. Vanessa is also a competitive endurance athlete. She holds a Master of Science in Corporate Social Responsibility from the Nottingham University Business School and a Bachelor of Business Administration in International Business from HEC Montreal. 

Resources:

B20 Collective Action Hub

NBIM indicators

1.    Engaging the private sector in Collective Action against corruption: a good example of Basel Institute of Governance’s (BIG) engagement with governments.

2.    Local certification through Collective Action: an innovative approach to anti-corruption compliance and due diligence: highlights the SME angle of our work.

3.    Measuring effectiveness of anti-corruption programmes: Indicators for company reporting: developed for Norges Bank Investment Management by BIG

4.    Guidance document for professional accountants which we co-develop with the International Federation of Accountants

5.    Case study on the humanitarian side and disaster response

Our research on Collective Action in the ASEAN region

Join the Great Women in Compliance community on LinkedIn here.

This episode is a rare opportunity for #teamgwic to catch up in person at one of the key Ethics & Compliance events, the SCCE Compliance & Ethics Institute (CEI). CEI was in Grapevine, Texas, and, as usual, was a great experience.

In this episode, Lisa, Hemma, Ellen and Sarah discussed their highlights from the event. The first keynote was from Principal Deputy Assistant Attorney General Nicole M. Argentieri, who announced revisions to the Evaluation of Corporate Compliance Programs, and the group touches on this and the significance of the changes and having them announced at SCCE. There will be much more to come on this topic. Each of the women discusses their favorite panels and some of the key takeaways they had, including discussions of DEI, controls, and how to work with Boards, as a few examples. They also sent their well-wishes to Nick Gallo, who was missed but, more importantly, is on the road to recovery.

One of the best parts of the conference is the opportunity to network and share best practices, and the whole group thought this year’s exhibit hall, and the format of the conference with longer breaks, allowed people to make great connections and have some in-depth discussions that don’t always happen when you are moving so quickly to not make a panel or event. And the second morning keynote from Matt Friedman discussing his work in fighting human trafficking and modern slavery was moving and inspirational, a reminder of the importance of what we do every day with our due diligence and knowing our customers.

All in all, it was a great week of connections, learning and providing so much optimism for the contributions that ethics and compliance professionals make, and to connect (or reconnect) with the amazing people in our community. If you were not able to attend, the team hopes this gives you a sense of the event.

#GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards. This is a people’s choice award and whether you vote for #GWIC or other nominees, we ask that you send the elevator back down by voting. Voting closes October 1, 2024, and details can be found on the #GWIC LinkedIn page at http://www.linkedin.com/groups/12156164

Resources:

Join the Great Women in Compliance community on LinkedIn here.

The recent Boeing plea agreement has led to many discussions about the role of victims in negotiated settlements, and today we have one of the top academic experts on the SEC and financial securities regulation, Karen Woody. Karen is an associate professor at Washington & Lee School of Law. Karen and Lisa discuss why the Boeing case is a good example of who the victims are because the victims suffered a tragedy. However, many other white-collar cases (we hope) are not as clear - especially in the FCPA bribery context, and what avenues of relief that others have, particularly in the international context. 

Lisa and Karen also follow on the prior episode's discussion of internal controls, particularly in light of the Solarwinds case. They talk about whether internal controls are the appropriate way for the SEC to pursue certain claims, such as cybersecurity or in a bribery case, and whether they should be limited to accounting provisions and whether other controls would be more appropriate, and if they don't exist, should they?

Karen also shares her journey into academia and gives some practical tips for those who are interested in teaching and how to be resilient when one hits roadblocks.#GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards.  This is a people’s choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164

Resources

Join the Great Women in Compliance community on LinkedIn here.

We emphasize the importance of "understanding the business," in Ethics & Compliance, which is absolutely critical to our success. One of the topics we discuss less frequently is how to work with other control functions, one of which is internal controls.  Lisa is speaking about this topic at the SCCE CEI with Matt Kelly from Radical Compliance. In advance of the conference, Lisa and Ellen Hunt co-hosted a roundtable discussion with Matt Kelly from Radical Compliance, and Sarah Lawrence, Sr. Director of Internal Controls at Pearson. 

In this episode, they discuss the history and purpose of internal controls and SOX, how they evolved and how they work today. In particular, they focus on what is financial materiality vs what E&C sees as areas for controls.

The whole group agreed that open lines of communication and coordination are fundamental to both of these control functions working together, and Sarah and Lisa discuss how they have built a collaborative relationship so that both the finance and compliance sides understand each other's objectives and keep an open line to the benefit of both functions.

#GWIC is proud to announce that it has been nominated for the WomenInPodcastAwards.  This is a people’s choice award and whether you vote for #GWIC or other nominees we ask that you send the elevator back down by voting. Voting opens August 1, 2024, and details can be found on the #GWIC Linkedin page at http://www.linkedin.com/groups/12156164

Resources

Join the Great Women in Compliance community on LinkedIn here.