Category: Uncategorized

Director, Compliance (Newark, NJ)

Posted by Corporate Compliance Insights - May 21, 2018

Job description Prudential’s Corporate Compliance organization is seeking an experienced financial services leader to fill a Director, Compliance Officer (CO) role for a registered investment adviser. The CO will run the functional compliance program, which will involve: consultative discussions with business partners, oversight of the execution of a robust compliance…

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Countdown to GDPR

Posted by Corporate Compliance Insights - May 17, 2018

Whether you are ready or not, the European Union (EU) General Data Protection Regulation (GDPR) goes live on May 25, 2018. It will impact companies doing business in London as much as any other EU legislation. To help US companies prepare, Tom Fox has interviewed well-known data privacy and data…

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Director, Compliance (Arlington, VA)

Posted by Corporate Compliance Insights - March 13, 2018

Job description Position Summary The Director, Compliance will work directly with the Chief Compliance Officer (CCO) and the Compliance Team to support the development, review, and production of processes, standards, policies, and guidelines, which are required to facilitate compliance with regulatory standards. The Director, Compliance will be responsible for managing…

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Free eBook: Pointing the Finger: How Corporate Boards Are Dodging Accountability and What Compliance Officers Can Do About It

Posted by Michael Volkov - December 18, 2017

New eBook from Michael Volkov Corporate Boards are Due for a Rude Awakening The compliance revolution has had a dramatic impact on important actors in the compliance arena – the rise of chief compliance officers, the redefinition and elevation of chief ethics officers, and a dramatic increase in compliance-related functions…

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10 Privacy Risks Every Company Should Prepare for in 2018

Posted by Brian Lee - November 10, 2017

Privacy officers spend so much of their time putting out fires and focusing on operational activities, that they don’t have time to see the trends (and accompanying risks) that are around the corner. Brian Lee and Stephanie Quaranta outline three major risk themes and ten emerging risks that privacy and…

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Two Superior Results: Declinations in Linde Gas and CDM Smith

Posted by Corporate Compliance Insights - August 12, 2017

In the second quarter the Department of Justice (DOJ) issued two declinations which demonstrated that the DOJ Pilot Program is alive and well. Linde Gas and CDM Smith, both received declinations to prosecute by meeting the four prongs of the Pilot Program; (1) self-disclosure, (2) extensive cooperation, (3) extensive remediation,…

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Question Everything by Michael Volkov

Posted by Corporate Compliance Insights - October 8, 2015

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FY 2014 SEC Enforcement Actions (10 Lessons for Directors, Management and Auditors)

Posted by Ron Kral - December 22, 2014

This year we saw some hefty sanctions and weighty enforcement actions brought against companies caught up in inaccurate reporting, guilty of inadequate internal controls or on the hook for mischaracterizing transactions. Today we have some object lessons from the missteps of others, courtesy of Ron Kral, Managing Partner of accounting…

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Episode 2 of FCPA Training Series: Anti-Corruption Enforcement Across the Globe

Posted by Thomas Fox - January 29, 2014

The FCPA isn't the only anti-corruption law. More than 70 countries have statutes against bribery or corrupting government officials. Tune into the next installment of Tom Fox's FCPA training series...

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