All Risk Management articles – Page 118
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Resource
Five Ways Your Conflict of Interest Process is Creating Risk
An outdated or inefficient process for tracking and dealing with conflicts of interest can be a major contributor to the risk of noncompliance. However, the contributors to risk are not always clear. Outlined in this white paper are “5 Ways Your COI Process Creates Risk.
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Article
For leading compliance programs, it’s all about technology
Leading compliance programs more often use technology tools than do their peers, according to the results of PwC’s annual State of Compliance study. These include data analysis tools, dashboards, continuous monitoring, data warehousing, data extraction tools, and a GRC solution.
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ArticleSelf-disclosure can root out conflicts of interest
The world is a complicated place. Life choices and side hustles are increasingly pushing employees toward potential conflicts of interest. A solid risk management strategy can keep them happy while creating the visibility needed to protect company interests.
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Article
Emerging companies a compliance quandary in global market
How do you build an effective anti-corruption compliance program in emerging markets? Know their culture, customs, and language; then leverage that knowledge to create trust and on-the-ground adherents, advised panelists at the Compliance Week 2018 conference.
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Blog
Santander Holdings USA appoints chief risk officer
Santander Holdings USA has appointed Mahesh Aditya as chief risk officer, assuming risk management functions across the United States.
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Blog
CIT Group names chief risk officer
Loan agency CIT Group has named Wahida Plummer as chief risk officer. She replaces former Chief Risk Officer Robert Rowe, who has elected to leave the company to pursue other career opportunities.
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ArticleModernizing compliance: a viewpoint from the front lines
Taking a cross-functional approach to compliance—solving problems together with the business—is the most effective and cost-efficient way to mitigate enterprise-wide risks today.
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Software demoIntegraCall® | Secure compliance hotline app with Watson™
The IntegraCall® app and web portal hotlines are fully integrated with the newly developed case-management module of the ComplianceDesktop® platform to enhance case investigations around the world.
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ArticlePreventing and responding to harassment must involve both HR and compliance
An expert panel at CW 2018 shared best practices on how to address expectations concerning employee behavior, how to properly respond when allegations of sexual harassment arise, and how to communicate with senior leaders and the board on the importance of preemptive action.
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Blog
RNN Group appoints general counsel and chief compliance officer
RNN Group, a provider of centralized verified asset procurement and monitoring solutions, has appointed Jay Carter as general counsel and chief compliance officer.
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Blog
Novartis GC resignation points to compliance themes
The resignation of Novartis GeneraI Counsel Felix Ehrat shows companies the importance of distinguishing between the legal and compliance functions and why you should always get a business justification before working with third parties.
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Article
Building a top-notch anti-corruption program
A panel of experts spoke at Compliance Week 2018 on how to embed anti-corruption procedures into the compliance function.
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Blog
Penn State appoints interim chief ethics and compliance officer
Gary Langsdale has been appointed Penn State’s interim chief ethics and compliance officer, effective July 1. He assumes this role following the retirement of Regis Becker, director of university ethics and compliance and chief ethics and compliance officer.
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Podcast
Podcast: SAP on building a risk-aware corporate culture
In this edition of the Compliance Week podcast, we chat with Kevin McCollom of SAP SE, a market leader in enterprise application software. We discuss developing a risk-aware corporate culture amid an ever-evolving threat landscape, and the competitive advantages of compliance.
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Blog
SEC names chief risk and strategy officer of the OCIE
The SEC has named James Reese as chief risk and strategy officer of the agency’s Office of Compliance Inspections and Examinations. Reese has served as acting chief since February 2017.
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Resource
Best Practices: Compliance Programs Now Require Microlearning
Traditional long compliance training sessions, whether in-person or online, are no longer effective. Employees get bored, tune out and disengage – shorter attention spans demand shorter bursts of content. Utilizing microlearning methods in your training ensures that employees will engage with and retain your compliance communications.
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Blog
Wells Fargo names chief risk officer
Financial services firm Wells Fargo & Co. has appointed Amanda Norton as chief risk officer. Mike Loughlin, who announced plans to retire, will continue to serve as Wells Fargo’s chief risk officer until Norton’s employment with the company begins this summer, ensuring a smooth transition.
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Blog
Freddie Mac names chief compliance officer
Freddie Mac announced on May 14 the appointment of John Krenitsky as senior vice president and chief compliance officer.
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Blog
Aegion names general counsel and secretary
Aegion has appointed Mark Menghini as senior vice president, general counsel, and secretary, effective May 10 .
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Blog
Uber promises to ‘move forward,’ but still doesn’t have CCO
Uber launched a new ad campaign in which it vows to “move forward” and “always do the right thing,” but the company still does not have a chief compliance officer (CCO) to make sure it delivers on that message.