Premium Content | Compliance Week – Page 3
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PremiumSurvey: Compliance, now at the leadership table, navigates an uncertain risk landscape
At a time when the Trump administration is rewriting many of the rules, the compliance function is being embraced as a strategic partner to the C-suite and board, Compliance Week’s 2024 “Inside the Mind of the CCO” survey shows. The new objective: risk-assess the implications of Trump’s confetti of executive ...
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PremiumSurvey: Compliance faces ‘epistemic risk’ of Trump administration
Compliance officers are coping with uncertainty following President Trump’s election win, with fewer choosing to disclose their political affiliations in this year’s pulse survey. Since Inauguration Day, the President’s actions have signaled a capricious era of compliance, one where respect for dissent might be in question.
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PremiumCompliance Week’s Inside the Mind of the CCO reveals stubborn gender pay gap
Despite years of attention, male compliance professionals remain more highly compensated than women, according to the sixth annual Compliance Week Inside the Mind of the CCO survey.
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PremiumUnder intense reg scrutiny, compliance teams report implementing off-channel comms policies
Three of four respondents to Compliance Week’s Inside the Mind of the CCO survey said their employers have policies and procedures in place that govern employee use of unauthorized communications on their cell phones. The survey, conducted in November and December, found that another 11 percent of the 179 practitioners ...
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PremiumFor the first time, a majority of compliance teams using AI: Inside the Mind of the CCO
For the first time, more compliance teams than not used artificial intelligence (AI) to assist them in their work, according to Compliance Week’s 2024 “Inside the Mind of the CCO” survey. About 56 percent of compliance teams used AI in 2024—a sizable jump from the 41 percent who relied on ...
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PremiumWhy tight controls matter for financial content on social media, says FPC’s O’Shaughnessy
Financial Planning Corporation is a regulated financial planning firm founded 40 years ago, gaining coveted Chartered status in 2008. As the U.K. financial regulator, the FCA promises to clamp down on unregulated “finfluencers” on social media. Moira O’Shaughnessy, managing partner and head of risk and compliance at FPC, explains why ...
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PremiumCalls for audit reforms intensify after hackers attack Harrods and other top UK retailers
Cyberattacks on major UK retailers, including Marks & Spencer, Harrods and Co-op, left the companies scrambling to reassure customers and staff about stolen data, pushing issues of cybersecurity and cyber resilience back into the national debate. Now the question is whether compliance managers should expect more technology regulations, or will ...
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PremiumQ&A: Symphony general counsel Corinna Mitchell on regulators’ push for supply chain resilience
Secure, resilient communications and trading platforms are critical both to financial services firms and to governments that know their economies depend upon them, says Corinna Mitchell, General Counsel at FS digital communications provider Symphony. That’s why her company is investing more in managing rapidly evolving compliance demands from multiple regulators ...
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PremiumADQ’s Fatima Almarzooqi is Compliance Week’s 2025 Rising Star in Compliance Award Winner
Fatima Almarzooqi, senior compliance specialist at ADQ, has spent five years in the industry, working across direct engagement with subsidiary leadership, regulatory advisory, and the implementation of wide-scale compliance initiatives. But it’s her thoughtful and fun ideas that made her a Rising Star in Compliance at the 2025 Excellence in ...
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PremiumWhy the benefits of bilingual digital accessibility go beyond compliance
Bilingual accessibility and security are key issues for Graham Rivers-Brown, digital transformation director responsible for internal and client compliance at digital transformation consultancy Empyrean Digital. He explains why being based in Wales has helped his company develop compliance expertise that gives it an unusual competitive advantage.
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PremiumFor addressing the risks and rewards of AI, Adam Ennamli is Innovator of the Year
When he was hired two years ago by General Bank of Canada (GBC), Adam Ennamli was tasked with shaking up the bank’s compliance function. For too long, the small ($3.5 billion Canadian dollars in assets) but fast-growing bank based in Edmonton had spread its compliance functions across different departments. Many ...
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PremiumWhen starting on data analysis projects, start small and find allies
Compliance has long been reluctant to tap the power of its organization’s data. Some of that hesitancy is institutional, either through inertia or outright hostility. Data is often kept in siloes, overseen by different administrators, stored in different systems.
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Premium2025 Compliance Week Mentor of the Year, Lisa Fine, is a hub of the community
Compliance professionals may not typically pick their careers as children or straight out of school. For many people who do find their way into the profession, they quickly learn that education, a strong community, and mutual support are keys to success. Lisa Fine, Senior Director, Global Ethics & Compliance at ...
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PremiumDelayed UK antitrust case underscores compliance, reputational risks
Antitrust infringement cases in the United Kingdom can run on for years, but there’s a question whether issuing fines that are dwarfed by the revenues of those organisations involved is a worthy deterrent—particularly if they are imposed over a decade after the misconduct ended. It’s also debatable whether the first ...
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PremiumEllen Hunt, CW’s 2025 Lifetime Achievement Award winner
Ellen M. Hunt, CW’s 2025 Lifetime Achievement Award winner, is a torchbearer for the profession and a beloved role model in E&C circles. Lauded for her generosity of spirit, quick wit, and tireless mentorship, the ethics and compliance veteran turned compliance from a patchwork assignment to a true vocation. ...
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PremiumEthics education is key, says Tom Hardin AKA “Tipper X”
Tom Hardin AKA “Tipper X” went from a young trader with his whole career ahead of him to an inside trader who got caught, acted as a Federal Bureau of Investigation informant for two years, and pleaded guilty to a felony.
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PremiumUkrainian Red Cross Society ensures compliance in a warzone, as Program of the Year
The Ukrainian Red Cross Society, CW’s 2025 Compliance Program of the Year award winner, built a full-fledged compliance program from scratch in twenty months during a full-scale war against Russia. “We didn’t just manage logistics; we built momentum,” says URCS’s Chief Risk Officer Dr. Mariia Polomoshnova.
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PremiumPepsiCo’s Farzin Firooznia is the 2025 Compliance Officer of the Year
Some compliance teams consider it outside their roles to learn the ins and outs of their businesses, and something to explore when they have time.
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PremiumUnder intense pressure, former DOJ Polite says it’s compliance’s time to shine
Like never before in modern American history, ethics and compliance are under attack.
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PremiumDespite uncertainty, whistleblowers still have incentives to report misconduct
Whistleblowing in the United States is being buffered by uncertainty from regulators who are backing off policing corruption and consumer protections. Regulators like the Department of Justice and the Securities and Exchange Commission are being thrown into disarray by layoffs and restructuring. Still, whistleblowers will likely continue coming forward.