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Shop Talk: Laying the Foundation of Good Compliance and Governance

Joe Mont | November 18, 2014

Every company is unique, and its compliance program must be too if it has any chance of working well, but there are still some common aspects that most high-functioning compliance and governance programs share.

Compliance and governance can’t just be wedged into existing functions and reporting lines; integration must be carefully engineered so it effectively meshes with business lines and a wide variety of departments, from internal audit to HR, IT, and finance. At the same time, compliance must have the independence it needs to surface concerns, play a lead role in investigations, and influence culture.

Those dual interests were an underlying theme at the latest Compliance Week executive roundtable, co-hosted with The Boeing Co. in Dallas earlier this month. Compliance executives from a wide range of industries and companies, including Boeing, GE Capital, AT&T, Dr Pepper Snapple, and American Airlines, shared strategies on structuring and organizing the...

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