CONGRATULATIONS to CPA Global on ISO 37001 Anti-Bribery Certification!

CONGRATULATIONS to Spark Compliance Consulting's client CPA Global for achieving ISO 37001 Anti-Bribery Management Systems Certification! They are amongst the first companies in the world to achieve this honor. Congratulations especially to Mark Speck, CIA, CRMA, the CCO of CPA Global and ETHIC Intelligence, the independent certifying body. Diana Trevley, JD, CCEP-I, we couldn't have done this without you.

 

Check out their press release Here: CPA GLOBAL ACHIEVES ISO 37001 ANTI-BRIBERY CERTIFICATION

Wildly Successful Ways to Work With Internal Audit- and a Survey

Wildly Successful Ways to Work With Internal Audit- and a Survey

How do you work with Internal Audit?  Do you have a good relationship?  If so, why and how?  That’s this week’s question.  We’re going to be running a series here at Compliance Kristy about how we can work successfully with several functions: Internal Audit, Human Resources, Legal, Management and Procurement.  Along the way, I’m going to be asking YOU, the experts, on how you successfully work with each function.  I’m planning on taking your answers (anonymously of course) and putting them into my presentation at the SCCE Conference in Las Vegas.  (for more information on the amazing conference – click HERE).

We’ll start this off with the survey, which has only two questions: 1. How do you work with Internal Audit?  And 2. Do you have a good relationship?  To answer, please click HERE. 

As for me?  Following please find Four Wildly Successful ways I’ve found to work with Internal Audit.

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PODCAST: Secrets of Compliance Objectives, Planning and Strategy

I'm thrilled to share this episode of "Compliance Perspectives," the official podcast of the Society of Corporate Compliance and Ethics featuring me talking about setting great compliance objectives, clear-and-objective goals and how not to plan! 

Adam Turtletaub and I dish the dirt on bad metrics, planning to fail and how to overcome program fatigue in this lively 17 minute episode.  You don't want to miss this! 

Click HERE to listen.

The Reviews Are In! The Wildly STRATEGIC Compliance Academy

We’re thrilled that most of the students in our founding class of the Wildly STRATEGIC Compliance Officer Academy have now completed the course and are officially Certified Pragmatic Compliance Specialists!  We sent out certificates and signed hard-copies of the book last week.  We were thrilled with the results, and the comments we got. 

“Absolutely terrific course!  Provided so much insight!” said Rebecca P.  “Enjoyed the course!  Very helpful!!” said Robert S.  The highest praise was offered by Barbara B., who said, “I have been a compliance officer for nearly 20 years. Ms. Grant-Hart has captured much of the essence of the role in a proactive, common sense way. If only…this… had been around when I started in the practice!

We’re starting a new Academy class using the information and feedback we received from the founding class to make it even better.  For instance, we realized that group office hours weren’t effective because people were in such different time zones, and some problems are difficult to share with strangers.  So, we’ve changed the group office hours into a half-hour office hour with me instead, one-on-one. 

We are looking forward to sharing our strategic planning strategies with our next class!  If you’re ready to join us as Certified Pragmatic Compliance Specialists, just go to www.WildlyStrategicWorkbook.com.  Thanks to everyone in our founding class!

How to Create a Killer Opening for Your Presentations

How to Create a Killer Opening for Your Presentations

“I’ve got it!  I’ll dress up as a wizard!  You know, like a compliance psychic or mentalist.  What do you think?”  As I was planning my newest keynote several months ago, I was trying to come up with a catchy opening.  I’d just done the survey of the compliance profession to see what each person’s biggest strategy and planning question was (you can see the survey results HERE).  I wasn’t surprised at all to find that nearly 60% of people had one of three main questions.  “I’ll plant people in the audience and bet them money that I can guess their answer.  Won’t that be fun?!?”  My husband looked incredulous. 

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The Emergence of Conduct Risk

The Emergence of Conduct Risk

Last week I was privileged to perform the keynote session at the American Bankers Association Compliance Conference in Orlando, Florida.  Amongst the sessions provided to the 1800 attendees, a common theme emerged.  Although these compliance officers were highly familiar with every nuance of the most complex banking regulations, the monster in the room was a newer problem: Conduct Risk, or, as most corporate compliance officers would call it, ethics and culture problems.

An article published by Banking Technology notes the global interest in this issue: 

“This interest has not been confined to UK regulators. The OECD has published a report on conduct risk principles, which it expects all members to integrate into their regulatory approach, and the HKMA has issued a paper on the topic, echoing the language and approach of the FCA. A nascent international consensus seems to be forming on the importance of ‘conduct risk’ as a concept in the emerging post-crisis regulatory landscape.” 

The article goes on to note that there is one major problem: nobody quite agrees on what conduct risk means -

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