How To Be A Wildly Effective Compliance Officer

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How to Be a Wildly Effective Compliance Officer

Author : Kristy Grant-Hart
Publisher : Unknown
Page : 154 pages
File Size : 53,9 Mb
Release : 2015-12-28
Category : Business ethics
ISBN : 0993478808

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How to Be a Wildly Effective Compliance Officer by Kristy Grant-Hart Pdf

"How to Be a Wildly Effective Compliance Officer" teaches compliance profesionals the secrets of influence, persuasion and motivation so they can become in-demand business assets. This book is a powerful guide to help practitioners move from the check-the-box mentality of a paper program worker to become a dynamic business leader. Roy Snell, the CEO of the Society of Corporate Compliance and Ethics raved, "Kristy Grant-Hart infectiously describes the missing link in the compliance profession - interpersonal skills and influence. If you are or want to be a successful compliance professional - this book is invaluable."

How to Have a Wildly Successful Career in Compliance

Author : Kristy Grant-Hart
Publisher : Unknown
Page : 194 pages
File Size : 47,7 Mb
Release : 2018-06-18
Category : Law
ISBN : 0993478875

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How to Have a Wildly Successful Career in Compliance by Kristy Grant-Hart Pdf

This book is for anyone ready accelerate their career to become a wildly successful compliance officer! Learn the secrets of career development and collaboration with other functions to become an in-demand business asset.

Building a World-Class Compliance Program

Author : Martin T. Biegelman
Publisher : John Wiley & Sons
Page : 336 pages
File Size : 48,7 Mb
Release : 2008-06-20
Category : Business & Economics
ISBN : 0470278404

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Building a World-Class Compliance Program by Martin T. Biegelman Pdf

Written by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program.

Governance, Risk Management, and Compliance

Author : Richard M. Steinberg
Publisher : John Wiley & Sons
Page : 337 pages
File Size : 49,5 Mb
Release : 2011-06-28
Category : Business & Economics
ISBN : 9781118102572

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Governance, Risk Management, and Compliance by Richard M. Steinberg Pdf

An expert's insider secrets to how successful CEOs and directors shape, lead, and oversee their organizations to achieve corporate goals Governance, Risk Management, and Compliance shows senior executives and board members how to ensure that their companies incorporate the necessary processes, organization, and technology to accomplish strategic goals. Examining how and why some major companies failed while others continue to grow and prosper, author and internationally recognized expert Richard Steinberg reveals how to cultivate a culture, leadership process and infrastructure toward achieving business objectives and related growth, profit, and return goals. Explains critical factors that make compliance and ethics programs and risk management processes really work Explores the board's role in overseeing corporate strategy, risk management, CEO compensation, succession planning, crisis planning, performance measures, board composition, and shareholder communications Highlights for CEOs, senior management teams, and board members the pitfalls to avoid and what must go right for success Outlines the future of corporate governance and what's needed for continued effectiveness Written by well-known corporate governance and risk management expert Richard Steinberg Governance, Risk Management, and Compliance lays a sound foundation and provides critical insights for understanding the role of governance, risk management, and compliance and its successful implementation in today's business environment.

Compliance Management

Author : Nitish Singh Ph.D.,Thomas J. Bussen
Publisher : Bloomsbury Publishing USA
Page : 318 pages
File Size : 51,6 Mb
Release : 2015-03-10
Category : Business & Economics
ISBN : 9798216064220

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Compliance Management by Nitish Singh Ph.D.,Thomas J. Bussen Pdf

This practical guide shows how to build an effective compliance and ethics program that will lower a business's risks and improve productivity. Research increasingly supports the notion that ethical, compliant businesses see increased productivity across a range of measurements. This practical guide tells business professionals, business and law students, and other interested parties exactly how that goal can be achieved. The book covers an extensive range of ethics-compliant laws and regulations impacting businesses today and identifies critical factors for successful compliance programs. Going well beyond works that speak in general terms about compliance-based actions, this unique volume delves into details about specific regulatory issues and the steps that can be taken to mitigate risk. The first half of the book shares general guidelines for creating or improving internal compliance and ethics programs. The second half identifies specific, high-risk regulatory areas; provides an overview of relevant laws; and sets forth best practices specific to the regulations discussed. By providing a simplified understanding of compliance with laws related to issues such as antitrust, international business, wages and labor, Health Insurance Portability and Accountability Act (HIPAA) and health care, the environment and more, the guide offers readers the tools necessary to improve an existing compliance program or create a new program where none has existed before.

Intentional Integrity

Author : Robert Chesnut
Publisher : St. Martin's Press
Page : 227 pages
File Size : 42,8 Mb
Release : 2020-07-28
Category : Business & Economics
ISBN : 9781250270818

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Intentional Integrity by Robert Chesnut Pdf

Silicon Valley expert Robert Chesnut shows that companies that do not think seriously about a crucial element of corporate culture—integrity—are destined to fail. “Show of hands—who in this group has integrity?” It’s with this direct and often uncomfortable question that Robert Chesnut, General Counsel of Airbnb, begins every presentation to new employees. Defining integrity is difficult. Once understood as “telling the truth and keeping your word,” it was about following not just the letter but the spirit of the law. But in a moment when workplaces are becoming more diverse, global, and connected, silence about integrity creates ambiguities about right and wrong that make everyone uncertain, opening the door for the minority of people to rationalize selfish behavior. Trust in most traditional institutions is down—government, religious organizations, and higher education—and there’s a dark cloud hovering over technology. But this is precisely where companies come in; as peoples’ faith in establishments deteriorates, they’re turning to their employer for stability. In Intentional Integrity, Chesnut offers a six-step process for leaders to foster and manage a culture of integrity at work. He explains the rationale and legal context for the ethics and practices, and presents scenarios to illuminate the nuances of thinking deeply and objectively about workplace culture. We will always need governments to manage defense, infrastructure, and basic societal functions. But, Chesnut argues, the private sector has the responsibility to use sensitivity and flexibility to make broader progress—if they act with integrity. "Rob is an insider who's combined doing good with doing business well in two iconic Silicon Valley companies. His book contains smart, practical advice for anyone looking to do good and do well.” —Reid Hoffman, co-founder of LinkedIn and author of Blitzscaling

Compliance Management for Public, Private, or Non-Profit Organizations

Author : Michael G. Silverman
Publisher : McGraw Hill Professional
Page : 338 pages
File Size : 45,5 Mb
Release : 2008-04-13
Category : Business & Economics
ISBN : 9780071642866

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Compliance Management for Public, Private, or Non-Profit Organizations by Michael G. Silverman Pdf

In today’s business climate, accountability, transparency, and a high regard for laws, regulations, and ethical conduct is as much a part of how an organization manages its affairs as its primary mission and operations. Compliance Management for Public, Private, or Nonprofit Organizations is a complete, hands-on guide to implementing strategies and techniques for developing, managing, and improving the compliance function of any organization. Author Michael G. Silverman is a corporate expert in strategic planning, program management, compliance, risk assessment, and policy development. In Compliance Management for Public, Private, or Nonprofit Organizations, he presents a comprehensive treatment of the subject by examining the traditional compliance issues associated with laws and regulations, as well as matters surrounding ethical behavior, organizational structure, technology, administration, and risk management. From establishing compliance goals and managing education and training programs to operating a whistle-blowing program and addressing staffing and budgeting requirements, this practical resource covers everything compliance officers and risk and organizational managers need to know, including: Where and how to establish a compliance program within an organization The critical skills and expertise for maintaining an effective compliance program Pros and cons of making a compliance program a part-time function of an organization How to deliver bad news to senior management—and survive Compliance Management for Public, Private, or Nonprofit Organizations includes a wealth of examples that illustrate the real-world applications of critical strategies and techniques for using the board of directors and senior management to promote compliance, reduce employee and management barriers to compliance, conduct in-depth risk assessment and compliance audits, and more.

Your Year as a Wildly Effective Compliance Officer

Author : Kristy Grant-Hart
Publisher : Unknown
Page : 0 pages
File Size : 45,6 Mb
Release : 2023-11-30
Category : Electronic
ISBN : 1739578503

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Your Year as a Wildly Effective Compliance Officer by Kristy Grant-Hart Pdf

Get ready to embark on the best year of your career yet! Your Year as a Wildly Effective Compliance Officer is your ticket to success. It's full of tips, tools, hacks, and tactics to transform you into an in-demand business asset. This book contains: - An easy-to-implement tip for every working day of the year - Thought prompts to help you reflect on your career and personal choices - The weekly Big Win record to keep track of your successes (hello promotion!) - Quarterly audit exercises to focus you on what matters This journal-style book isn't a legal guide - it's a human guide to help you revolutionize your career. You'll learn motivation, persuasion, and influence techniques, as well as productivity improvement, leadership, and mindset mastery. You'll be astonished at the progress you can make in a year. As Tom Fox, the Voice of Compliance said, "Kristy Grant-Hart has knocked it out of the park yet again. This is a book for all new CCOs, current CCOs and all others in the compliance profession about how to think through a holistic approach to your compliance program."

Modern Compliance

Author : John H. Walsh,David H. Lui
Publisher : Unknown
Page : 128 pages
File Size : 47,6 Mb
Release : 2017-10-15
Category : Electronic
ISBN : 0808048228

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Modern Compliance by John H. Walsh,David H. Lui Pdf

Regulatory Compliance Fundamentals

Author : M.L. Humphrey
Publisher : M.L. Humphrey
Page : 68 pages
File Size : 41,9 Mb
Release : 2020-01-02
Category : Business & Economics
ISBN : 8210379456XXX

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Regulatory Compliance Fundamentals by M.L. Humphrey Pdf

We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role. In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to understand manner. If your role is in regulatory compliance, no matter how long you've been at this, this book is for you. keywords: regulatory compliance, financial services regulation, AML, OFAC, broker-dealer, how to comply with regulatory requirements, compliance program, reputational risk, business ethics

Sending the Elevator Back Down

Author : Lisa Fine,Mary Shirley
Publisher : CCI Press
Page : 168 pages
File Size : 48,6 Mb
Release : 2020-10-15
Category : Electronic
ISBN : 1735028517

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Sending the Elevator Back Down by Lisa Fine,Mary Shirley Pdf

Lisa Fine and Mary Shirley, compliance leaders and co-hosts of the Great Women in Compliance Podcast, share wit and wisdom from women who hail from every corner of the globe and span myriad industries and experience levels.

Investment Governance for Fiduciaries

Author : Michael E. Drew,Adam N. Walk
Publisher : CFA Institute Research Foundation
Page : 190 pages
File Size : 55,8 Mb
Release : 2019-04-22
Category : Business & Economics
ISBN : 9781944960704

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Investment Governance for Fiduciaries by Michael E. Drew,Adam N. Walk Pdf

Governance is a word that is increasingly heard and read in modern times, be it corporate governance, global governance, or investment governance. Investment governance, the central concern of this modest volume, refers to the effective employment of resources—people, policies, processes, and systems—by an individual or governing body (the fiduciary or agent) seeking to fulfil their fiduciary duty to a principal (or beneficiary) in addressing an underlying investment challenge. Effective investment governance is an enabler of good stewardship, and for this reason it should, in our view, be of interest to all fiduciaries, no matter the size of the pool of assets or the nature of the beneficiaries. To emphasize the importance of effective investment governance and to demonstrate its flexibility across organization type, we consider our investment governance process within three contexts: defined contribution (DC) plans, defined benefit (DB) plans, and endowments and foundations (E&Fs). Since the financial crisis of 2007–2008, the financial sector’s place in the economy and its methods and ethics have (rightly, in many cases) been under scrutiny. Coupled with this theme, the task of investment governance is of increasing importance due to the sheer weight of money, the retirement savings gap, demographic trends, regulation and activism, and rising standards of behavior based on higher expectations from those fiduciaries serve. These trends are at the same time related and self-reinforcing. Having explored the why of investment governance, we dedicate the remainder of the book to the question of how to bring it to bear as an essential component of good fiduciary practice. At this point, the reader might expect investment professionals to launch into a discussion about an investment process focused on the best way to capture returns. We resist this temptation. Instead, we contend that achieving outcomes on behalf of beneficiaries is as much about managing risks as it is about capturing returns—and we mean “risks” broadly construed, not just fluctuations in asset values.

Surviving and Thriving in Uncertainty

Author : Frederick Funston,Stephen Wagner
Publisher : John Wiley & Sons
Page : 368 pages
File Size : 43,7 Mb
Release : 2010-06-03
Category : Business & Economics
ISBN : 0470617489

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Surviving and Thriving in Uncertainty by Frederick Funston,Stephen Wagner Pdf

A new book to help senior executives and boards get smart about risk management The ability of businesses to survive and thrive often requires unconventional thinking and calculated risk taking. The key is to make the right decisions—even under the most risky, uncertain, and turbulent conditions. In the new book, Surviving and Thriving in Uncertainty: Creating the Risk Intelligent Enterprise, authors Rick Funston and Steve Wagner suggest that effective risk taking is needed in order to innovate, stay competitive, and drive value creation. Based on their combined decades of experience as practitioners, consultants, and advisors to numerous business professionals throughout the world, Funston and Wagner discuss the adoption of 10 essential and practical skills, which will improve agility, resilience, and realize benefits: Challenging basic business assumptions can help identify "Black Swans" and provide first-mover advantage Defining the corporate risk appetite and risk tolerances can help reduce the risk of ruin. Anticipating potential causes of failure can improve chances of survival and success through improved preparedness. Factoring in velocity and momentum can improve speed of response and recovery. Verifying sources and the reliability of information can improve insights for decision making and thus decision quality. Taking a longer-term perspective can aid in identifying the potential unintended consequences of short-term decisions.

The Phoenix Project

Author : Gene Kim,Kevin Behr,George Spafford
Publisher : IT Revolution
Page : 607 pages
File Size : 55,7 Mb
Release : 2018-02-06
Category : Business & Economics
ISBN : 9781942788300

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The Phoenix Project by Gene Kim,Kevin Behr,George Spafford Pdf

***Over a half-million sold! And available now, the Wall Street Journal Bestselling sequel The Unicorn Project*** “Every person involved in a failed IT project should be forced to read this book.”—TIM O'REILLY, Founder & CEO of O'Reilly Media “The Phoenix Project is a must read for business and IT executives who are struggling with the growing complexity of IT.”—JIM WHITEHURST, President and CEO, Red Hat, Inc. Five years after this sleeper hit took on the world of IT and flipped it on it's head, the 5th Anniversary Edition of The Phoenix Project continues to guide IT in the DevOps revolution. In this newly updated and expanded edition of the bestselling The Phoenix Project, co-author Gene Kim includes a new afterword and a deeper delve into the Three Ways as described in The DevOps Handbook. Bill, an IT manager at Parts Unlimited, has been tasked with taking on a project critical to the future of the business, code named Phoenix Project. But the project is massively over budget and behind schedule. The CEO demands Bill must fix the mess in ninety days or else Bill's entire department will be outsourced. With the help of a prospective board member and his mysterious philosophy of The Three Ways, Bill starts to see that IT work has more in common with a manufacturing plant work than he ever imagined. With the clock ticking, Bill must organize work flow streamline interdepartmental communications, and effectively serve the other business functions at Parts Unlimited. In a fast-paced and entertaining style, three luminaries of the DevOps movement deliver a story that anyone who works in IT will recognize. Readers will not only learn how to improve their own IT organizations, they'll never view IT the same way again. “This book is a gripping read that captures brilliantly the dilemmas that face companies which depend on IT, and offers real-world solutions.”—JEZ HUMBLE, Co-author of Continuous Delivery, Lean Enterprise, Accelerate, and The DevOps Handbook

Seeing Like a State

Author : James C. Scott
Publisher : Yale University Press
Page : 462 pages
File Size : 46,6 Mb
Release : 2020-03-17
Category : Political Science
ISBN : 9780300252989

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Seeing Like a State by James C. Scott Pdf

“One of the most profound and illuminating studies of this century to have been published in recent decades.”—John Gray, New York Times Book Review Hailed as “a magisterial critique of top-down social planning” by the New York Times, this essential work analyzes disasters from Russia to Tanzania to uncover why states so often fail—sometimes catastrophically—in grand efforts to engineer their society or their environment, and uncovers the conditions common to all such planning disasters. “Beautifully written, this book calls into sharp relief the nature of the world we now inhabit.”—New Yorker “A tour de force.”— Charles Tilly, Columbia University