Jim Nortz

Jim NortzJim Nortz is Founder & President of Axiom Compliance & Ethics Solutions LLC, a firm dedicated to driving ethical excellence by helping organizations implement effective compliance and ethics programs. Jim is a nationally recognized expert and thought leader in the field of business ethics and compliance with over a decade of experience serving multinational petrochemical, staffing, business process outsourcing, pharmaceutical and medical device corporations.

Jim spent the first 17 years of his career as a criminal and civil litigator and Senior Corporate Counsel before becoming Crompton Corporation’s first Vice President, Business Ethics and Compliance in 2003.

Since then, Jim has served as a compliance officer at Crompton and for five other multinational corporations, the most recent of which was as Chief Compliance Officer at Carestream Health. Jim has extensive experience in implementing world-class compliance and ethics programs sufficiently robust to withstand U.S. Department of Justice scrutiny.

Jim is a frequent guest lecturer at the University of Rochester’s Simon School of Business, RIT’s Saunders School of Business, St. John Fisher College, Nazareth College and other law schools, universities and organizations around the country.

Jim writes the monthly business ethics columns for the Association of Corporate Counsel Docket magazine and the Rochester Business Journal.

Jim is a National Association of Corporate Directors Fellow, a member of the International Association of Independent Corporate Monitors and serves on the Board of Directors of the Rochester Chapter of Conscious Capitalism as the Board’s Secretary and Chair of the Governance and Nomination Committee. Previously, Jim served on the Board of Directors for the Ethics and Compliance Officers Association and the Board of the Rochester Area Business Ethics Foundation.

Cost-Effective Intermediary Monitoring and Auditing

Monitoring your intermediaries can be an expensive endeavor. Jim Nortz explores how to keep an eye on your intermediaries without breaking the bank. Read Part 5 here. Years ago, a friend of mine recounted for me his first law school class. He and his fellow classmates had assembled and were seated in the lecture hall. There was a buzz of anticipation as...

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contract in foreground with businesspeople in background

No contract in the world could stop an intermediary truly determined to commit bribery, but contracts can be quite handy enforcement tools. Jim Nortz considers what makes an intermediary contract most effective. Read Part 3 here. One day in Contract Law class, Professor Kelly asked one of his better students, “Now if you were to give someone an orange, how would you...

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businesspeople shaking hands

As Jim Nortz explains, a boots-on-the-ground, eyeball-to-eyeball assessment can be a powerful and effective way to conduct first-party due diligence. After all, “there ain’t nothin’ like touchin’ and feelin’.” Read Part 1 here. In the early 1990s, I served as Senior Safety, Health and Environmental Counsel for a multinational specialty chemical company. A couple of years after joining the firm, Roger Sharp...

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man paying bribe, hiding face behind umbrella

Third-party intermediaries pose a significant corruption risk for multinationals. In this six-part series, Jim Nortz provides practical steps to reduce your firm’s corruption risk and avoid prosecution in the event an intermediary is caught paying bribes. After less than six months on the job as Chief Compliance Officer for a multinational corporation, I found myself in a shabby conference room in the...

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It’s Your Culture, Stupid: It’s Impossible to Control Your Way to Compliance

Without a strong culture of ethics, even the best compliance and ethics program is just window dressing. Jim Nortz explains why controls only take you so far and why ethical leadership is so critical. A True Tale of Transformation and the “Control” Myth We were a global, multibillion-dollar specialty chemical company. We had some of the most experienced, highly credentialed and dedicated...

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compliance monitoring and assistance program with silhouette of forest at bottom of image

Jim Nortz details the development and implementation of a highly successful Compliance Assistance and Monitoring Program (CAMP) used to evaluate internal controls – while enabling compliance to make friends along the way. A Monster That Had to Be Tamed Several months after we launched the sales and marketing codes and completed our initial live training sessions at Bausch & Lomb, our internal...

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virtual training

The best training engages participants and leaves them with an understanding of how to apply the material in the real world. Jim Nortz discusses the critical role training plays in helping employees avoid the health care compliance bear traps. I’ll never forget the look on my colleagues’ faces as they trudged into the first eight-hour “train-the-trainer” sales and marketing code of conduct...

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woman in red dress with fingers crossed behind her back

Jim Nortz continues a six-part series discussing a number of regulatory “bear traps” in the health care industry with a discussion on the importance of effective internal controls in preventing fraud. Bob was a good guy. He was a trusted friend and colleague earning a healthy salary serving as CFO at a multinational corporation. I worked with Bob on several internal investigations...

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man reaching for stack of cash in bear trap

The Anti-Kickback Statute, False Claims Act, Stark Law, Civil Monetary Penalty Law and Eliminating Kickbacks in Recovery Act “bear traps” have ravaged the health care industry for decades. Despite the carnage they have wrought, these bear traps are completely avoidable. Jim Nortz provides practical actions you can take to protect your firm from their bite. In October 2013, Todd Clawson was riding...

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