Leadership and Career

Global Head of Product Marketing, Financial Crime Compliance Division Maurice Gilbert: How did you get started on a career in compliance? Paul Taylor: My initial exposure to compliance processes came about during my time in settlement-related roles, which naturally required elements of AML and sanctions control. The decision to specialize in compliance, however, came in 2013 when SWIFT made the...

Q&A with James Cesarano, VP, Ethics and Compliance at Kroll Maurice Gilbert: How did you get started on a career in compliance? James Cesarano: After college, I began working in compliance as a Trade Analyst with the New York Mercantile Exchange. Those were early days for the compliance profession, and I immediately found the work interesting and exciting.  I was...

How do executive management and the board remain engaged with risk management over time? Most observers would agree that senior management’s supervision of risk management and the board’s risk oversight entail much more than reviewing a risk assessment once a year.

  Q&A with Tom McAndrew, Chief Operating Officer at Coalfire CCI: How did you get started on a career in compliance? Tom McAndrew: I started my career in the Navy.  As the Navy started putting more technology on ships, they realized that they needed to create better certification programs to ensure that all the systems operated correctly, specifically the combat systems (missiles,...

Welcome to Six Questions with an Ethics & Compliance Officer, a new interview series from SAI Global created in conjunction with National Compliance Officer Day. Each post will shine the spotlight on a different member of the E&C community, from established CCOs and CECOs with years of experience to rising stars with a passion for ethical behavior. To be featured in your...

At CCI, we know what questions reveal a candidate’s qualifications, and we know what answers a hiring authority is looking for. If you’re hiring a compliance officer, you need to ask these questions.  If you’re interviewing for a compliance position, you need to be prepared to answer them. Want to take the process to the next step?  If you’re a compliance...

The Impact of Humor on Decision-Making A sense of humor is an invaluable thing. Not only does it endear us to each other and help to form bonds between us, but it can be a lifesaver in unthinkable conditions. According to Linda Henman's doctorate research, this was the case for many prisoners of war. In her extensive experience coaching executives,...

“Broken Windows” and Employee Misconduct The broken windows theory proposed by James Q. Wilson and George Kelling links disorder to subsequent occurrences of serious crime. Michael Volkov suggests it can be applied in a corporate setting as well. Anytime employee misconduct goes unpunished, more bad behavior is likely to spring up. Criminologists have debated for years the efficacy of the...

Q&A with John Arendes, VP and GM Global Compliance Solutions at Skillsoft Today, we present an interview between CCI’s Maurice Gilbert and compliance expert John Arendes. Skillsoft is a leader in e-learning, and one of the company’s main areas of focus is compliance training. What follows is some background on this thought leader, as well as John’s insights into how...

3 Ways to Affect a Different Kind of Climate Change In light of the corporate compliance failures that have entered the news cycle, compliance programs have increasingly focused on the role culture plays in causing these failures. However, while most compliance executives understand the link between culture and employee misconduct, they are not sure how to act on it. In...

A Lesson on Faulty Risk-Taking It’s impossible to plan for – or even imagine – every eventuality when assessing risk, but a pragmatic approach is never ill-advised. The folks at the Discovery Channel learned a hard lesson when a television stunt backfired, not delivering the much-hyped outcome viewers expected. Here are some takeaways for savvier business leaders. In December of...

Here’s How They’re Failing The relationship between compliance officers and the company’s top leadership is a hot one these days, and there are specific ways CEOs can be more effectively supporting compliance practitioners. It’s a complex relationship, but one bears improving in many cases. Avani Desai offers insights into just what executives can do better. When speaking with CEOs and...