How to Assess, Level Up, and Leverage Your Culture of Compliance
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Compliance officers know that a strong culture of compliance is indispensable to risk management and better business performance in the modern world. So how, exactly, can you capture insights into the current state of your corporate culture, and then use that information to (1) shore up weak spots in ethics and compliance operations; and (2) leverage a strong culture of compliance for better operations across the enterprise? Join Matt Kelly, Editor and CEO of RadicalCompliance.com, as he discusses how and why compliance leaders need to use data to improve their investigations and corporate culture.
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Tips, Templates and Best Practices for Conducting Investigations Remotely
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Workplace investigators are challenged to find ways to conduct their investigations without the ability to travel or engage in face-to-face communication. This requires new policies, procedures and best practices.
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Ethical investigation interviews Ten things to consider
At a time in history marked by alternative facts, political pressure and manipulation of truth, it’s more important than ever for investigators to be laser-focused on conducting fair and honest investigations. It’s critical for investigators to be ethical when conducting interviews, so that subjects are treated fairly, and findings cannot be questioned. Even a seasoned investigator can benefit from training, or refresher training, on what it means to conduct an ethical investigation interview.
Join Mark Anderson, Director of Training and Development with Anderson Investigative Associates, as he discusses strategies for ensuring investigation interviews are honest and ethical, while at the same time maximizing the quality and quantity of information obtained. At the basis of this ethical interviewing is a non-confrontational, rapport-based approach to all interactions. This approach and the application of ethical behaviour produces a confidence and credibility that obtains productive and effective results.
How to Create a Risk Profile for Your Organization: 10 Essential Steps
Understanding your organization’s risks is the first step in developing an effective anti-corruption compliance program. But for many businesses, identifying and understanding their risks is a complex process, involving research, analysis and cooperation from all levels of the organization. Since every company needs a robust compliance program, an effective risk analysis is crucial. The consequences of getting this step wrong can be astronomical.
Join anti-corruption experts Marc Tassé and Patrice Poitevin, as they outline the steps and tools necessary to create a risk profile for your organization.
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Tools to help determine areas of risk
Factors to evaluate
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Continuous evaluation of your compliance program
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Join Catherine Mattice-Zundel, president of Civility Partners, a training and consulting firm focused on helping organizations build positive workplace cultures, as she explores strategies for using diversity and inclusion to prevent harassment and bullying.
The webinar will cover:
What constitutes bullying and harassment in the workplace
Best practices for addressing and preventing bullying and harassment
How diversity and inclusion helps to reduce bullying and harassment
How to achieve diversity and inclusion
Case studies of how bullying, inequities and harassment tie together, and how resolving one requires resolving all
Insider Threat: Cases and Controls to Prevent Internal Fraud and Prevention
“I never would have imagined”, said the company owner, manager, colleague, or workplace friend. It is hard to reconcile that people would engage in fraudulent behavior in the workplace, let alone the depth of these schemes. Financial misconduct and internal fraud are among the biggest threats to today’s organizations. Without the right controls and prevention measures in place, companies are at financial and reputational risk.
Join financial crime compliance advisory and training specialist Michael Schidlow, as he reviews recent cases of internal fraud, what we can learn from them, and controls that companies can put in place to prevent fraud
7 Ways to Increase Ethical Accountability and Decrease Fraud Risk
It’s long been clear that organizations with strong ethical cultures perform better than those without. In addition to the multitude of positive impacts a strong ethical culture provides, these organizations will also typically experience less fraud and misconduct. However, to achieve maximum results, a strong ethical culture must focus on accountability and include robust fraud prevention measures.
Ethical accountability takes time and effort to build, but the rewards of fostering the right culture in an organization are measurable. Fewer fraud incidents, for example, can be demonstrated by hard numbers. A strong code of conduct is a great start, but it’s critical to have a comprehensive ethics program that fosters accountability.
Join Joseph Agins, CFE, CCEP, adjunct professor and fraud expert, as he outlines strategies organizations can use to ensure every employee from the C-Suite down has the tools they need to help them make ethical decisions and prevent fraud.
The webinar will cover:
The importance of tone from the top
Identifying the pressures employees face and thus the ethics and fraud risks
Understanding the resources employees have (or not) to report wrongdoing
Whether the internal imagining of the culture matches the reality
Developing tools and strategies for fostering ethics in the workplace
Anti-fraud measures that should be incorporated into every ethics policy
Encouraging ethics and accountability
Under the Table: Combatting Bribery and Corruption Through Analysis and Preve...
Of all the types of organizational fraud, bribery is one of the most difficult to detect. It often occurs in foreign countries and involves officials with a vested interest in keeping it going. Bribery and corruption schemes represented 43 per cent of the fraud cases reported in the ACFE’s 2020 Report to the Nations on Occupational Fraud and Abuse. And with a median loss of $200K and increasing enforcement actions, it’s an expensive problem to address.
Join financial crime compliance advisory and training specialist Michael Schidlow, as he reviews recent bribery-related incidents around the world and maps out a strategy for combatting them.
10 Critical Mistakes in Workplace Investigation Programs and How to Avoid Them
The document outlines 10 critical mistakes that can occur in workplace investigation programs and how to avoid them. It discusses mistakes related to having an incomplete system, not taking care of details, not paying attention to trends, not collaborating with others, not following proper processes, using the wrong investigator, not challenging the investigator, overstepping boundaries, assuming procedural fairness is easy, and thinking investigations can't be challenged. It provides tips for business leaders, HR leaders, and investigators to review practices, collaborate with peers, and continuously improve their workplace investigation programs to avoid common pitfalls.
How to Incorporate "Psyber Resilience" into Your Security Strategy
Every industry experiences some level of stress, burnout, and mental health challenges, but there’s one that is outranking all others by a wide margin: cybersecurity.
In a 2019 Symantec study of nearly 3,000 security professionals almost two thirds of cybersecurity professionals reported that they have considered quitting their jobs or leaving the industry because of stress and burnout. This has dangerous implications for every company that relies on these first responders to keep their data and businesses safe.
Join Neal O’Farrell, cybersecurity expert, as he discusses these mental health challenges and maps out a strategy for building “psyber resilience” in your cybersecurity team.
Webinar attendees will learn about:
The impact of stress and burnout on security professionals, and how to manage it
Tools to help cybersecurity professionals cope with these challenges
Organizational improvements and solutions to reduce stress and burnout for these digital first responders
Creating programs to maximize the psyber resilience in the security workforce
Tips, Templates and Best Practices for Conducting Investigations Remotely
While most businesses are getting used to new ways of working, with many employees working remotely, new challenges are arising, especially where workplace investigations are concerned. Simply pausing investigations and compliance activities isn’t a viable option. Misconduct doesn’t take a break during times of crisis, and neither does the need to investigate it.
Workplace investigators are challenged to find ways to conduct their investigations without the ability to travel or engage in face-to-face communication. This requires new policies, procedures and best practices.
Social Media Risks in the Workplace
Social media has become a common mechanism to share information for more than three billion users worldwide. Facebook, the largest platform, has 2.5 billion users who post more than 100 billion messages each day. With so much information being shared daily, there’s a significant risk for companies whose employees use social media as part of their jobs and in their personal lives.
“New” Misconduct Challenges and Solutions for Investigating as We Move to a ...
In a transitional environment, characterized by physical distancing, remote workplaces, re‑opening of the economy and a fuzzy view of what’s coming next, a new collection of risks and challenges has emerged. Companies of every size are navigating the new landscape under extra stress, without the advantages of face-to-face communication, and the demands of a workforce that is hurting.
It’s a challenge to keep workers safe, healthy, engaged, committed, and productive in this environment, and there will always be risks of corruption and misconduct. Investigating under these circumstances requires new approaches tools and techniques.
Join Ken McCarthy, President of Integrity by McCarthy Inc, as he outlines the new risks posed by this environment, and the challenges and opportunities that will follow.
The webinar will cover:
Risks for misconduct in virtual and remote workplaces
Opportunities for new and different kinds of misconduct
Challenges of investigating in a transitional environment
Post-pandemic investigations
Examples of employees crossing the line
How the fraud triangle helps us to detect and prevent misconduct in the new environment
Post Interview Report Writing: How to Document Your Investigation Interview
Whether you investigate workplace misconduct or major crimes, the interview is a staple in the investigative process. It’s often the most important activity for gathering evidence and supporting a conclusion. But even a well-conducted investigative interview will lose its credibility if it’s not well documented in a clear and succinct interview report.
Join Bruce Pitt-Payne, retired RCMP investigator and interviewing expert, as he outlines the critical steps for writing the post-interview report.
Ethical investigation interviews Ten things to consider
At a time in history marked by alternative facts, political pressure and manipulation of truth, it’s more important than ever for investigators to be laser-focused on conducting fair and honest investigations. It’s critical for investigators to be ethical when conducting interviews, so that subjects are treated fairly, and findings cannot be questioned. Even a seasoned investigator can benefit from training, or refresher training, on what it means to conduct an ethical investigation interview.
Join Mark Anderson, Director of Training and Development with Anderson Investigative Associates, as he discusses strategies for ensuring investigation interviews are honest and ethical, while at the same time maximizing the quality and quantity of information obtained. At the basis of this ethical interviewing is a non-confrontational, rapport-based approach to all interactions. This approach and the application of ethical behaviour produces a confidence and credibility that obtains productive and effective results.
How to Create a Risk Profile for Your Organization: 10 Essential Steps
Understanding your organization’s risks is the first step in developing an effective anti-corruption compliance program. But for many businesses, identifying and understanding their risks is a complex process, involving research, analysis and cooperation from all levels of the organization. Since every company needs a robust compliance program, an effective risk analysis is crucial. The consequences of getting this step wrong can be astronomical.
Join anti-corruption experts Marc Tassé and Patrice Poitevin, as they outline the steps and tools necessary to create a risk profile for your organization.
The webinar will cover:
Tools to help determine areas of risk
Factors to evaluate
The importance of due diligence once risks are identified
Continuous evaluation of your compliance program
How to achieve accountability and transparency
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Building Effective Sexual Harassment Prevention Policies and Training
Building Effective Sexual Harassment Prevention Policies and Training
How to recognize and minimize unconscious bias in the workplace
How to recognize and minimize unconscious bias in the workplace
Preventing Bullying and Harassment Through Diversity and Inclusion in the Wor...
Preventing Bullying and Harassment Through Diversity and Inclusion in the Wor...
Insider Threat: Cases and Controls to Prevent Internal Fraud and Prevention
Insider Threat: Cases and Controls to Prevent Internal Fraud and Prevention
7 Ways to Increase Ethical Accountability and Decrease Fraud Risk
7 Ways to Increase Ethical Accountability and Decrease Fraud Risk
Under the Table: Combatting Bribery and Corruption Through Analysis and Preve...
Under the Table: Combatting Bribery and Corruption Through Analysis and Preve...
10 Critical Mistakes in Workplace Investigation Programs and How to Avoid Them
10 Critical Mistakes in Workplace Investigation Programs and How to Avoid Them
How to Incorporate "Psyber Resilience" into Your Security Strategy
How to Incorporate "Psyber Resilience" into Your Security Strategy
Tips, Templates and Best Practices for Conducting Investigations Remotely
Tips, Templates and Best Practices for Conducting Investigations Remotely
“New” Misconduct Challenges and Solutions for Investigating as We Move to a ...
“New” Misconduct Challenges and Solutions for Investigating as We Move to a ...
Post Interview Report Writing: How to Document Your Investigation Interview
Post Interview Report Writing: How to Document Your Investigation Interview
Ethical investigation interviews Ten things to consider
Ethical investigation interviews Ten things to consider
How to Create a Risk Profile for Your Organization: 10 Essential Steps
How to Create a Risk Profile for Your Organization: 10 Essential Steps
How to Assess, Level Up, and Leverage Your Culture of Compliance
- 1. Assessing, Improving, and Leveraging Your Culture of Compliance Matt Kelly Editor & CEO Radical Compliance
- 2. Who is this guy again? Matt Kelly Editor Radical Compliance • Writing, blogging independently at www.RadicalCompliance.com • Previously editor of Compliance Week, 2006- 2016 • Do various research, writing projects for private clients • I love this stuff!
- 3. Order of Events • Why is a culture of compliance important, and getting more important? • What data, relationships, and more do compliance officers need to understand culture? • How can you leverage culture for better conduct and better investigations? • Q&A
- 4. Part I. Why Culture of Compliance Matters
- 5. Because Culture Is Everything! ‘Culture isn't just one aspect of the game; it is the game. In the end, an organization is nothing more than the collective capacity of its people to create value.’ — Lou Gerstner ‘Culture eats strategy for breakfast.’— Peter Drucker Culture can be about success or disarray — or a mix of both.
- 6. Pressures on Culture Today First are the risks ● More complex business enterprises ○ Globalized reach ○ Third parties ● More economic uncertainty ● More ‘tightly coupled’ systems More forces tugging at that ‘collective capacity’ to advance objectives.
- 7. Pressures on Culture Today Second are the demands ● Highly regulated business landscape ● Stronger penalties for wrongdoing ● More ‘shaming’ of corporate conduct on social media, elsewhere ● Stakeholders just want a better, more ethical performance from corporations
- 8. Employees do want to help! Source: Ethisphere, 2019
- 9. So what are the obstacles here? ● Fear of retaliation ● Belief that no corrective actions will happen ● Confusion about what employees are supposed to do ● Conflicting messages from leadership
- 10. Part II. What Do You Need to Understand Culture?
- 11. Data, as much as you can get ● Issues reported on internal hotline, categorized in many ways: ○ Issue itself ○ Location ○ Level of employees ● Issues specifically around retaliation ● Case closure times, bottlenecks number of responses
- 12. Look beyond compliance data, too ● HR data ○ Employee turnover ○ Exit interviews ○ D&I trends ○ Employee sentiment surveys ● Don’t forget external sources ○ Blind, Glassdoor.com ○ Social media
- 13. Precision in data and reporting ● You are looking for root causes: ○ Bad leaders? ○ Bad policy? ○ Bad processes? ● Looking for deviations from norm ○ Culture vs. sub-culture
- 14. Anticipate the data challenges ● Finding it in the first place ● Completeness, accuracy ● Consolidating all data for holistic view ● Slicing & dicing for precise analysis What tools and analytics do you need, and what relationships do you need, to make all this work?
- 15. Part III. Leveraging Culture to Improve Conduct and Investigations
- 16. Begins with the Code of Conduct ● Write it down! ● Keep it simple! ● Stress company’s ethical values ● Stress the priority of ethics
- 17. Employ a strategy ● The message: ‘A culture of compliance is good for business’ ● Who are allies to deliver that message? ● How do you incentivize the behavior? ● What tools do you leverage? ● How do you monitor progress?
- 18. Work with the workforce ● Policy development ● Internal reporting ● Investigations ● Training
- 19. Develop an OODA loop ● Observe: What is the raw information? ● Orient: How do I interpret that? ● Decide: What action do I take? ● Act: Do it. The faster you cycle through the loop, the more responsive you are to changing conditions. Observe Orient Decide Act
- 20. Questions?
- 21. Find more free webinars: www.i-sight.com/resources/webinars @isightsoftware Contact Matt Kelly Contact i-Sight webinars@i-sight.com mkelly@radicalcompliance.com www.RadicalCompliance.com www.linkedin.com/in/mkellycompliance