Great Women in Compliance Lisa Fine and Hemma Lomax

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. 

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. 

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. 

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. 

Welcome to the Great Women in Compliance Podcast. How can you make risk management more relevant? In this episode, Hemma Lomax visits with Rupert Evill, a seasoned expert in human-centered risk management, with a diverse background spanning over 50 countries and 30 sectors, and a strong academic foundation in business, international relations, and sustainability.
Rupert’s perspective on human-centered risk management is deeply rooted in the importance of understanding and valuing the personal and human aspects of risk. He emphasizes the need to consider values, ethics, and beliefs when assessing and managing risks, and highlights the significance of empathy, compassion, and curiosity in the process. His belief is that making risk management relevant involves engaging with local perspectives and experiences, acknowledging the realities faced by individuals in different contexts, and building relationships based on mutual understanding and respect. This perspective has been shaped by his extensive experience in due diligence, intelligence gathering, and counter-espionage, as well as his work with mid-caps and SMEs through his company, Ethics Insight.
Key Highlights:

Strength-Based Approach to Ethical Risk Management 

Enhancing Employee Engagement through Simplified Communication

Empathy-driven Approach to Addressing Systemic Challenges

Fostering Ethical Culture Through Employee Engagement

Strategic Alignment for Effective Compliance Functions

Individual-Focused Risk Mitigation Strategies

Fostering Psychological Safety for Informed Decision-Making

Practical Risk Management Strategies for Businesses

Resources:
Join the Great Women in Compliance community on LinkedIn here. 

Welcome to the Great Women in Compliance! In this episode, Lisa and Ellen have as guests Haydee Olinger and Avril Ussery Sisk to discuss the Board and Compliance.
The Chief Ethics &Compliance Officer should be reporting regularly to the Board, but how do you know what the Board expects, especially if there are layers between you and the Board? In this #GWIC episode, Lisa Fine and Ellen Hunt talk with Haydee Olinger and Avril Ussery Sisk, both current board members and ethics experts, about what they expect from the Chief Ethics and Compliance Officer.
You can hear this episode on Corporate Compliance Insights or wherever you hear podcasts. https://lnkd.in/d9VGcfw
Listen in for how these Board members want the Chief Ethics & Compliance Officer to provide pre-reads, meaningful metrics, and focus on the “high hard risks.” Learn about how to build relationships with the Board and ask for resources, as well as how to gain financial knowledge and business acumen. If you are thinking about getting on a board, Haydee and Avril share their journey and thoughts about how you can get started on your journey.  
Resources:
Join the Great Women in Compliance community on LinkedIn here.