Great Women in Compliance Lisa Fine and Hemma Lomax
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For a long time, compliance was perceived as a part of the larger legal world. Today, compliance is its own profession—a place where people work tirelessly to make the world a better place, one where doing the right thing is the standard for everyone. There are a lot of amazing and inspirational women who have helped the compliance field develop into what it is today, and women are joining this field every day. They are leading the work on cutting-edge issues and breaking barriers for women. Join Hemma Lomax and Lisa Fine as they talk with women in compliance who are making a difference. This podcast is part of the Compliance Podcast Network.
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Jess Nall on Defending Tech Innovators
Welcome to the Great Women in Compliance Podcast. In this episode, Hemma visits with Jess Nall, a partner at Baker McKenzie.
Jess is a leader of Baker McKenzie’s AI and Cyber practice and
leads the Firm’s government defense practice in the US heart of technological innovation, the San Francisco Bay Area. For more than twenty years, Jess has defended technology innovators in high-profile federal and state government enforcement and investigations involving AI, cyber-security, algorithmic price-fixing, economic espionage, and trade sanctions.
With two decades of tech law experience under her belt and playing a pivotal role in various global technology enforcement cases, Jess has a grounded understanding of the complexities surrounding AI compliance and enforcement. She highlights the rapidly evolving global regulation and the increasing pressure it places on compliance professionals.
Jess advocates for a proactive approach to comprehension and readiness for the enforcement and governance aspects of AI, encouraging clients to have robust good faith narratives that illustrate their compliance efforts. This perspective is formed not only from her substantial professional experience but also her deep understanding of the potential risks and malpractices related to the use of AI technology.
Key Highlights:
AI Regulations: Impact on Businesses and Compliance
Navigating Risks in AI Compliance and Enforcement
Deceptive AI Marketing Practices in Industry
Fostering Collaboration for AI Compliance Success
Enhancing Regulatory Compliance with AI Analytics
Enhancing Legal Access with AI Translation
Resources:
Join the Great Women in Compliance community on LinkedIn here.
AI Strategy: The Whole Brain Approach Will Win in forbes.com -
Nick Gallo on Being an Ally
Welcome to the Great Women in Compliance Podcast. In this episode, Lisa visits with a great friend of GWIC, Nick Gallo, co-CEO at Ethico.
Welcome to the Great Women in Compliance Podcast. In this episode, Lisa visits with a Great Gentlemen in Compliance, Nick Gallo, co-CEO at Ethico.
Nick started his career in private equity, and when he and his brother Gio wanted to grow a business together, they both saw the opportunity to build something that would benefit the compliance space. Nick’s view about being an ally was shaped when he was young and saw his mother’s challenges as a woman in male-dominated industries and continues through today where he is an advocate for supporting women and diversity, particularly in Ethics and Compliance.
Nick and Lisa discuss the importance of being proactive as an ally, and to constantly try to improve our workplaces, whether that is speaking up against injustice or supporting those who may not be heard. They also speak about how unique and special this profession, and this community are, and the importance of building the next generation of compliance leaders and the women in the profession.
Key Highlights
· Advocacy for Equality and Workplace Support
· Active Allyship for Positive Social Change
· A Mentorship's Role in Professional Development Journeys
· Fostering Inclusivity for Diverse Women in Compliance
· Fostering Transparency and Fairness in Hiring
Resources
Join the Great Women in Compliance community on LinkedIn here. -
Amy Mertz Brown on Financial and Regulatory Compliance
Welcome to the Great Women in Compliance Podcast!
In this episode, Lisa visits with Amy Mertz Brown, the SVP Chief Compliance and Privacy Officer at BECU.
Amy started her career in the US government, where she was one of the first leaders at the Consumer Financial Protection Bureau and was formerly the Chief Compliance Officer at the US Securities and Exchange Commission. She discusses the similarities and differences between her government and in-house regulatory experiences, and the importance of specific training and detailed work instructions in highly regulated industries.
Amy also shares how she has built her career, and what she views as important in deciding on taking on a new role. Amy and Lisa also talk about Reshma Saujani’s views about imposter syndrome, rather than looking at the reasons someone feels like an imposter and questioning the concept and how it impacts women.
Key Highlights:
Regulatory Compliance in the Government and in the Private Sector
Regulatory Compliance Through Monitoring and Training
Navigating Evolving Financial Regulations
Questioning the Imposter Syndrome
Join the Great Women in Compliance community on LinkedIn here. -
Compliance Week 2024 Wrap Up
Welcome to the Great Women in Compliance Podcast. We are back and excited for the next set of podcasts. We kick off with a discussion between #teamgwic – Hemma Lomax, Ellen Hunt, Sarah Hadden and Lisa Fine to talk about the recent Compliance Week 2024 conference and the upcoming podcast episodes.
Compliance Week started with the Women in Compliance brunch, where Ellen spoke and Lisa moderated. The focus of the brunch was on Board Service, and started a week of knowledge sharing, best practices, lessons learned, and building community in our profession
It was a great week in D.C. with phenomenal speakers and information sharing. Most of all there was a positive energy from being surrounded by so many smart, dedicated, and hard working compliance professionals who are creating ethical cultures where people can speak up and be heard. Other key highlights included:
Key Highlights
It was a great week in D.C. with phenomenal speakers and information sharing. Most of all there was a positive energy from being surrounded by so many smart, dedicated, and hard working compliance professionals who are creating ethical cultures where people can speak up and be heard. Other key highlights included:
· Empowering Women and Compliance Professionals for Board Positions
· Ethical Empowerment for Compliance Culture Transformation
· Empowering Ethical Decision-Making in Compliance Programs
· Collaborative Experience: Compliance Professionals Uniting to Support Each Other
The #GWIC podcasts thanks #ComplianceWeek, all of the speakers, attendees, and all of the #Ethics and #Compliance Community for making this profession such a fulfilling career.
Resources
Join the Great Women in Compliance community on LinkedIn here. -
Christina Marshall on Global Compliance Leadership
Welcome to the Great Women in Compliance Podcast. In this episode, we visit Christina Marshall, an experienced ethics and compliance leader with extensive experience working with US and foreign regulators. Her expertise is in fraud and corruption investigations, risk assessments, and operationalizing compliance in complex global organizations. She currently leads the Oracle EMEA Compliance team, which is responsible for driving compliance through Europe, the Middle East, and Africa. She is a US-trained litigator with a Juris Doctor from Fordham University School of Law.
Christina has worked in private practice as well as as a senior counsel within the Division of Enforcement at the Securities Exchange Commission, which is responsible for investigating violations of the FCPA. Her extensive experience also includes teaching as a professor of Securities Regulation, White Collar Crime, Corporations and American Law. Based on her extensive experience, Christina is highly skilled in investigating procurement fraud, money laundering, and corruption, leading risk assessments, and creating preventative compliance practices.
Christina’s perspective on compliance best practices is that it should function as a partnership with the business, focusing significantly on transparency and support for business leaders, rather than acting as the ‘police’. Her knowledge in this area has been shaped by her prior experience at the US Securities and Exchange Commission’s Division of Enforcement and her extensive engagement with regulators worldwide. Additionally, her time spent teaching law in Russia has enriched her global perspective. She emphasizes the necessity of involving business partners in risk mitigation, with an emphasis on fostering trust and respect, particularly during challenging investigations.
Key Highlights:
Collaborative Approach to Achieving Compliance Goals
Efficient Risk Management Through Practical Prioritization
Fostering Trust Through Investigative Transparency
Encouraging Curiosity and Open Communication Culture
Global Compliance Strategies in Multinational Operations
Tailoring Compliance Programs for Regional Teams
Enhancing Compliance Practices Through Root Cause Analysis
Enhancing Efficiency Through Clear Communication
Resources:
Join the Great Women in Compliance community on LinkedIn here. -
Alejandra Montenegro Almonte on Workplace Culture and Compliance
Welcome to the Great Women in Compliance Podcast. In this episode, Lisa visits with Alejandra Montenegro Almonte, who is a member at Miller & Chevalier and is the Chair of their International Practice and Practice Co-Lead, Workplace Culture. Prior to joining Miller & Chevalier, she was General Counsel for the North American and Latin American Division at Gategroup and an associate at Weil, Gotshal & Manges. Alejandra has won awards and recognition from Chambers, Best Lawyers in America and Latin America, among others.
In this episode, Alejandra discusses her experience in global ethics and compliance programs, from advising on best practices to workplace investigations. Alejandra has leveraged her experience in-house and at law firms to provide practical advice and explains her approach to advising clients.
Alejandra also provides insight on her experiences with monitorships, as she has advised clients in monitorships and acted as a monitor. She talks about the importance of a proactive relationship between the monitor and the organization, as well as some thoughts about best practices for communications and meetings.
She applies a similar set of principles to all of her work, focusing on learning about a business, including its market dynamics and risks, as part of building the best program for that organization. She uses that as a foundation for her work on program enhancements and on how to conduct workplace investigations.
As this is Women’s History Month, Alejandra provides some ideas on how we can best support women and diversity in our workplaces.
Key Highlights:
Building Global Ethics & Compliance Programs
Experience in Monitorships as an Advisor and a Monitor
Providing Practical Advice on Compliance Risks
Cultural Nuances in Global Workplace Dynamics
Insights During Women’s History Month
Resources
Join the Great Women in Compliance community on LinkedIn here.