Monthly Archives

January 2017

Leadership and career
January 30, 2017

Defining Culture: Can Firm Culture Be Regulated?

By: Michael Manley Culture is defined as a way of thinking, behaving or working that exists in a place or organization (such as a business). Firm culture has long been a target of regulators of the financial services industry as the culprit in many scandals. In that regard, in its…
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Hiring
January 27, 2017

Look for These 8 Criteria When Hiring Your Next Chief Compliance Officer

Before a company identifies the criteria they will use to evaluate a potential Chief Compliance Officer, I tell them to start by looking at how the most progressive companies are viewing the role of compliance today. As an executive recruiter of compliance officers, I'm seeing a consistent desire that the…
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Leadership and career
January 25, 2017

Motivating Ethical Mountain Climbing

By: Jim Nortz This post was originally shared in the ACC Docket and is republished here with permission from the author. Last year, I got a crazy idea in my head. I decided it would be "fun" to ride my mountain bike 100 miles on the path along the Erie…
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Compliance
January 23, 2017

What You Need to Know About the WOTC Retro Guidance and Extension

By: Jason Fry Since first implemented, the Work Opportunity Tax Credit program, or WOTC, has helped countless companies to benefit from significant tax incentives when they hire individuals from groups that typically face barriers to finding employment. The result is that companies that hire WOTC-eligible employees can earn an income…
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Compliance
January 20, 2017

Homeland Security Wants to Know: How Did You Handle I-9s in an M&A?

By: Michael Boshnaick Civil monetary penalties for knowingly hiring and retaining unauthorized aliens, as well as for paperwork violations increased on August 1, 2016. Assessing the potential liabilities and fines an acquiring company could face if it retains the I-9s of an acquired company is an important part of M&A due…
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PWC State of Compliance Study 2016
Compliance
January 18, 2017

PwC State of Compliance Study 2016

Laying a Strategic Foundation for Strong Compliance Risk Management  For many companies, increasingly complicated regulations and a heightened level of regulatory scrutiny have resulted in more challenging — and at times inefficient — compliance and ethics management. Therefore, it’s critical for companies to establish a culture of compliance and ethics,…
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Leadership and career
January 18, 2017

Privacy is Too Important to Be Left to the Lawyers

By: Robert Zafft “War is too important to be left to the generals.” – Georges Clemenceau Imagine going out on a date and having to bring along your little brother or sister. It's not that their presence is overbearing (unlike, say, your father’s). It’s that they're eager, interested and generally clueless.…
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Leadership and career
January 16, 2017

Ethics Warning Signs to Monitor

By: Jim DeLoach Over the long term, the credibility of an organization and the integrity of its leaders and decision-makers ultimately define its success or failure. The board of directors, the executive management team and other senior leaders have three responsibilities with respect to the organization's code of conduct: ♦…
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Leadership and career
January 13, 2017

The Importance of Diversity on Corporate Boards

By: Michael Volkov This article was republished with permission from Michael Volkov’s blog, Corruption, Crime & Compliance. If there is one area where I would like to see improvement in the corporate governance world, it has to be at the corporate board level. While companies are expanding internal compliance programs, companies fail…
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Compliance
January 9, 2017

Questions Leadership Should Ask the Compliance Officer

By: Roy Snell This piece was originally shared on The Compliance & Ethics Blog and is republished here with permission. Below are some questions leadership should ask the compliance officer and a suggestion about how to implement these questions in your organization.  You need to collaborate with leadership to pick…
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