Episodes

  • Jess Nall on Defending Tech Innovators

    Jess Nall on Defending Tech Innovators
    May 1 2024
    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
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    38 mins
  • Nick Gallo on Being an Ally

    Nick Gallo on Being an Ally
    Apr 24 2024
    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.
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    29 mins
  • Amy Mertz Brown on Financial and Regulatory Compliance

    Amy Mertz Brown on Financial and Regulatory Compliance
    Apr 16 2024
    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.
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    23 mins
  • Compliance Week 2024 Wrap Up

    Compliance Week 2024 Wrap Up
    Apr 10 2024
    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.
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    20 mins
  • Christina Marshall on Global Compliance Leadership

    Christina Marshall on Global Compliance Leadership
    Mar 20 2024
    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.
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    1 hr and 26 mins
  • Alejandra Montenegro Almonte on Workplace Culture and Compliance

    Alejandra Montenegro Almonte on Workplace Culture and Compliance
    Mar 13 2024
    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.
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    26 mins
  • Rupert Evill on Prioritizing Employee Well-Being in Risk Management

    Rupert Evill on Prioritizing Employee Well-Being in Risk Management
    Mar 6 2024
    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.
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    1 hr and 5 mins
  • Roundtable Discussion on Board of Directors and What They Expect from the Chief Ethics & Compliance Officer with Haydee Olinger and Avril Ussery Sisk

    Roundtable Discussion on Board of Directors and What They Expect from the Chief Ethics & Compliance Officer with Haydee Olinger and Avril Ussery Sisk
    Feb 28 2024
    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.
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    32 mins