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Masters of Disaster

Stories of Risk, Ethics & Compliance. Host Leona Lewis interviews people about leadership, managing risk, ethics and compliance strategies for businesses, government, academia or society.
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Now displaying: October, 2016
Oct 31, 2016

Stephen Kasloff is Director and Senior Advisor of Compliance & Ethics Solutions LLC and an expert in how continuous improvement is vital to compliance programs. As Stephen explains, continuous improvement is essential to identifying, assessing and managing risks over time. Without continuous improvement, an organization cannot effectively assess or react to the facts as they change over time. 

 

Continuous improvement is essential as a:

  1. Legal Requirement
    • The Federal Sentencing Guidelines requires periodic review of compliance and ethics programs to identify new risks and correct deficiencies.  The action items that come out of the assessment process is continuous improvement.
    • Continuous improvement creates a way to make the program more effective by addressing risks that arise over time. 
    • A compliance program that includes a continuous improvement process is more credible.
    • Continuous Improvement is proactive, avoiding and managing risks.
  2. Insurance Policy
    • The more risk intelligent the business is to risk the stronger the business can be in reaching its goals.
  3. Business Benefit
    • Continuously showing ethical and compliant behavior strengthens a culture of compliance.
    • Greater opportunities for employee buy-in to an ethical and culture of compliance through action with continuous improvement.
  4. Cultural Benefit

 

STEPHEN I. KASLOFF, ESQ. is Director and Senior Advisor of Compliance & Ethics Solutions LLC, which provides consulting services in compliance and ethics risk assessment and program development. Mr. Kasloff has been working in the field of organizational ethics for more than two decades, having served as the ethics officer of one of the world’s largest security services firms and leading that company’s nationally recognized, award winning corporate ethics program. He directed the organization’s industry-leading quality management program registered to the global gold standard ISO 9001:2008, the international benchmark for quality.

Mr. Kasloff has played an active role in national ethics organizations, and has taught and lectured on business ethics at Pennsylvania State University and the Philadelphia Bar Association – where he has served as CLE instructor in business ethics and Bridge the Gap – the Wharton School of the University of Pennsylvania, the University of Memphis and other venues.

He has been a judge of the American Business Ethics Awards and the Better Business Bureau Jerry Myers Best Practices Award; been honored by the Ethics Resource Center – the nation’s oldest ethics advocacy NGO – for his service in its leading edge Fellows Program, a roundtable of senior ethics practitioners representing the corporate, academic, government and non-profit sectors; and served the private security industry as Board Member and First Vice Chair of the National Association of Security Companies, NASCO.

Previously Mr. Kasloff served as Counsel to the Rules Committee of the City Council of Philadelphia and Special Counsel to a member of that body. He earned his baccalaureate degree from the University of Pennsylvania and his J.D. from the University of Pennsylvania Law School. He is a member of the Pennsylvania Bar and of the Philadelphia and Pennsylvania Bar Associations.

 

LINKS

Stephen Kasloff sikasloff@gmail.com

Compliance & Ethics Solutions LLC http://www.callces.com/

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States

Leona Lewis, host of Masters of Disaster and Founder of ComplyEthic, can be reached at leonalewis@complyethic.com

Oct 24, 2016

Kate Bischoff worked for the State Department in the Middle East during the Edward Snowden and Chelsey Manning scandals. Kate also conducted training for the State Department for employees on information security.  Kate describes what happens during a scandal of a security breach magnitude.  The swiftness of the State Department response to the scandal showed the organization's intense planning for security breaches.

Kate emphasizes the human risk in information security. It is hard to understate the importance of training people need for handling sensitive information in their job.  Experiential, ongoing training is critical for employees to internalize good information security practices.  Employees also need to exercise good judgement in many ambiguous security situations, so training on what good judgment looks like is critical for information security.

Kate Bischoff, JD, SHRM-SCP, SPHR, is the Managing Principal of tHRive Law & Consulting.  She understands compliance as a balancing act between finding what works for a business and what is compliant.  During her career, Kate has seen people do and say some goofy and inappropriate things in the workplace. Regardless, she remains inspired by the many people doing their best to make an organization great. Kate is a frequent speaker on compliance topics. She also works with some of the most innovative companies using the best in cutting-edge techniques and technology to grow.

 

LINKS

Kate Bischoff kbischoff@thrivelawconsulting.com

tHRive Law & Consulting https://thrivelawconsulting.com/

Masters of Disaster® is the registered trademark of ComplyEthic Consulting, LLC in the United States.

Leona Lewis, host of Masters of Disaster, can be reached at leonalewis@complyethic.com

Oct 17, 2016

Alexis Bell, CEO of Fraud Doctor LLC, discusses challenges in fraud investigation overseas.  At least 5 different ways your fraud investigation can be impacted when it is conducted internationally:

Political Instability. Anytime when a new regime takes over in politically unstable countries it disposes of the legal system wholesale, and recreates it.  The resulting legal uncertainty can throw into fraud investigations in the jurisdiction.  

Cultural Norms. Actions that are taken for granted as fraudulent in the United States may be acceptable overseas.  

Gaps in the Legal Process. In some countries, fraud investigators must work directly community leaders to find solutions due to the absence of local applicable law.

Third Party Risk.  Fraud investigations can take you to countries you do not expect. Even small companies need to understand the operations of the third parties they work with to understand the geographic exposure to fraud.  

Understanding Legal Nuances. It is important to understand the nuances of the applicable law in the countries in which your company may be exposed to fraud. For example, challenges in EU privacy laws impacts a fraud investigators’ access to information in the EU that is usually readily available in the United States.  

 

Alexis C. Bell, CFE, PI is a pioneer in the international antifraud industry. She helps companies address their fraud management concerns by designing brand new programs or assessing and enhancing their existing antifraud structure. She is passionate about her work and engages others to align with the company’s vision.

Fraud Doctor LLC is a consulting firm offering proprietary products and services such as global program design & implementation for fraud management and global fraud risk assessment. Additional services include antifraud & investigative training, private investigation services, cell phone & small device digital forensics, cyber intelligence investigations, technical surveillance countermeasures (TSCM), transaction level data analysis project plans for antifraud and SOX.

 

LINKS

Fraud Doctor LLC https://fraud-doctor.com/

Alexis C. Bell, CFE, PI: alexis.bell@fraud-doctor.com

 

Leona Lewis is the host of the Masters of Disaster podcast leonalewis@complyethic.com

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Oct 10, 2016

Years ago, the CCO was not seen as a facilitator or help to the business. Rather, the CCO was seen as an obstructionist role to tell the business “no.”

Today, the CCO role is more of a business partnership role, educator, and facilitator. The skills that companies look for now support a collaborative role. Companies are asking candidates for CCO about how they collaborate and lead. They are not just focusing on the candidates’ knowledge of regulatory subjects.

Maurice Gilbert is Managing Partner of Conselium Executive Search. Maurice brings deep expertise to the compliance conversation. He enables best in class hiring solutions for companies in need of compliance officers. The ease with which he delivers value, as well as his access to the best available talent around the globe, is unmatched.

As the publisher of Corporate Compliance Insights, Maurice manages a growing community of informed compliance and ethics professionals. He provides a forum through which compliance and ethics professionals can share best practices, hiring trends, and forecasts.

 

LINKS

maurice@conselium.com

http://conselium.com/

See Corporate Compliance articles at www.corporatecomplianceinsights.com

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

Leona Lewis is the host and producer of Masters of Disaster, and she would like to hear your ideas, suggestions, and comments.

Leona can be reached at leonalewis@complyethic.

Oct 3, 2016

Fresh from the SCCE International Academy in Brazil, Adam Turteltaub joins me on the Masters of Disaster® podcast.  Despite the fact that the Brazilian currency has devalued relative to the dollar, the Academy in Sao Paulo was packed!  In Brazil, compliance professionals feel that they are in the middle of things.

It is interesting seeing compliance go global, not just by large multinationals, but also down the supply chain to smaller companies outside the United States.  Today, large businesses expect that their vendors and suppliers have compliance program to protect their customers, the large businesses, from compliance risk.  Companies are concerned about losing business by selling compliance problems to their clients.

Brazil’s history of corruption is not sustainable, and Brazil is one of the top ten economies of the world.  Business located in Brazil are aware that to be players on the global stage, corruption needs to go.

Over recent years during the activity of the SCCE International Academy, Adam Turteltaub sees more hope and less skepticism.  The Academies supports the networking that goes on during the Academies where compliance professionals disco very how they are not alone in the job.

Adam advises that attending an international conference can help U.S. compliance professionals understand international perspectives on compliance and what issues are hot overseas.  The growth and change in issues that compliance departments address that Adam has seen over the years also shows the value of attending conferences to understand what is likely to be the focus in compliance in the future.

Adam Turteltaub is Vice President of Strategic Initiatives and International Programs at the Society of Corporate Compliance and Ethics (SCCE) and the Health Care Compliance Association (HCCA)

 

LINKS

adam.turteltaub@corporatecompliance .org

SCCE Events Calendar (including International events) http://www.corporatecompliance.org/Events/AllEvents.aspx

 

Masters of Disaster® is the registered trademark of ComplyEthic Consulting LLC in the United States.

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