Compliance Perspectives

By Adam Turteltaub So you’ve got a case of AI fever and want to put the technology to work for your compliance team. What should you do? Jordan Domash, Founder of Rersponsiv, urges you to first take a deep breath and think through the process starting with defining your goals. Interestingly, he shares, the goals can be affected by the solution you choose, whether you go with a solution that is homegrown or out of the box. Either way, once the goal is set, expect an iterative process and regular testing to ensure that the solution is delivering what you were looking for, free from hallucinations and other problems. To make that process work it’s essential to have an evaluation plan in place, which includes identifying all the potential failure points. Make a part of it conducting some manual tests to see if the AI is delivering the results it should. In sum, AI can be invaluable to your program, but only if you put in the work to ensure that it is well designed and truly performing as it should. Listen now  Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.

By Adam Turteltaub On May 12, 2025 the head of the Criminal Division at the US Department of Justice issued a memo to all Criminal Division personnel with the subject: Focus, Fairness and Efficiency in the Fight Against White Collar Crime. To understand what the document means for compliance programs, we spoke with Amy Matsuo, leader for both Regulatory Insights and Compliance Transformation at KPMG. Overall, she sees the document as being good news for compliance programs.  It reiterates the importance and value of quickly finding and remediating violations. The DOJ also outlines some very favorable terms for organizations that self-disclose. These can include a declination with no requirement to enter into a criminal resolution, a non-prosecution agreement and a 75% reduction in potential fines. The Department of Justice will also be reviewing settlements that are already in place and may provide relief if the organization is found to have made substantial progress, has a reduced risk profile and self-reported. This review is a part of an effort to revisit monitorships and to ensure the cost to organizations is justified. The Department of Justice also shared where it will be focusing its efforts. Procurement and program fraud, trade violations, sanctions violations and support to foreign terrorist organizations will all be in the cross hairs. Listen in to learn more about what the DOJ’s expectations are and what you should be doing to ensure your organization meets them. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.

Andres Cuevas, Compliance Director LATAM for EmergentCold, shares insights from Chile on navigating compliance in Latin America. He emphasizes the importance of understanding and adapting to each country's unique culture instead of viewing the region as a whole. Cuevas stresses the necessity of establishing strong baseline rules while allowing for local flexibility. He also highlights the complexity of legal requirements in the region, noting that companies can face liability for over 250 crimes in Chile alone. Tune in for expert strategies on compliance during mergers and acquisitions!

By Adam Turteltaub Mark Diamond wants you to stop thinking of records retention as a chore and start thinking of it as a driver of compliance. In this podcast the President & CEO of Contoural shares that retention schedules have grown in importance with increased requirements for privacy and safeguarding personal data. That, in turn, is having an enormous impact on the risks and costs of ediscovery. Proper retention schedules also have significant impact on employee productivity and collaboration, as well as using AI in less risky ways. Organizations are now increasingly treating records based on their business value and are developing retention schedules that reflect their worth. One of the greatest challenges they face, though, is the tendency of employees to want to hold onto everything just in case. While it’s understandable, it adversely affects efficiency, as employees are forced to wade their way through obsolete records. Part of the solution, he suggests, is to develop a “super schedule” for document retention. Rather than having multiple different policies which can cause confusion, having one overall policy vastly simplifies things for employees and allows for greater automation. Listen in to learn more, but don’t retain this podcast longer than you should. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.

By Adam Turteltaub In a recent issue of Compliance & Ethics Professional ®, Nick Gallo, Chief Servant and Co-CEO of Ethico addressed the control paradox, a situation in which the controls designed to prevent misconduct, actually encourage it. Think of it like the person whose car has so many airbags that they no longer fear an accident and drive quicker. So what’s the solution? He argues it’s creating an environment where we have faith in controls, but not too much, and focus on helping those on the front line make the right decisions. That includes, he says, teaching not just what you should do but why. It also means encouraging ownership of ethical issues, not outsourcing it. Listen in to learn more about how to get better control on your controls. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.

By Adam Turteltaub Recently, Gartner released very intriguing research into third party risk. Chris Audet, Vice President and Chief of Research in the Gartner Assurance Practice tell us that they found business has it’s spending all wrong. Too much is invested in due diligence, and not enough time and effort is spent on monitoring. There research found that the business unit knows the risks third parties pose and is seeing it firsthand. When relationship managers were surveyed, 84% had seen changes to the risk profile and 76% found a third party had provided materially inaccurate information.  In fact, 95% had seen something troubling in the past year. So why aren’t they reporting this information to the compliance team and what would get them to share more? There were three main answers, Chris reports: Creating more relationship ownership objectivity. Too many feel too strong a tie to the third party. Confidence in identifying red flags. Encouraging objectivity and providing reassurance that compliance won’t over-react. He also advises making it easy for third party relationship owners to contact compliance and to work compliance into the workflow. Listen in to learn more about the benefits of rebalancing the third party risk equation. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.

By Adam Turteltaub Risk assessments are not new in healthcare, and in specific regulatory areas are required. But, that doesn’t mean things aren’t changing.  More and more organizations are embracing enterprise risk assessments (ERM) as a way to assess the range of risks that they face, including  legal and regulatory concerns. Getting the risk assessment right is particularly challenging for healthcare organizations, explains Robert Stratton, Executive Director – Enterprise Risk and Security; Corporate Compliance Official and Senior Counsel for Northwest Permanente. Robert is also the author of the chapter “Enterprise Risk Management in Healthcare” in the latest edition of the Complete Healthcare Compliance Manual. The mix of insurance, patient care professionals, large sums of money and complex structures makes the risk map challenging. On the positive side, electronic health records can provide a wealth of information to inform your ERM efforts, as can frontline employees who can provide insights into what is going on behind the numbers. Once the risks are mapped, there are four ways to manage them, he explains: transfer, accept, mitigate and avoid. It’s hard to do any of them cleanly, but it’s important to understand which approach or approaches are best for a given risk. All four approaches, he adds, need to be accompanied by a culture which is aware of the risks, understands the risk appetite of the organization and their department, and acts accordingly. Listen in to learn more about ERM and how compliance can play an effective role in identifying and managing risk. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.

By Adam Turteltaub As if ransomware and phishing attacks weren’t enough to keep us up at night, now AI is enabling a whole new range of cyber threats. Ryan Redman, Product Manager, Marketing and Brett Sommers, Director of GRC Products at Onspring warn that the nature of attacks is evolving.  Vishing, in which criminals use technology to imitate the voices of colleagues and organization leaders, is being used to trick people into revealing passwords, share data or send money. Employees need to learn to be wary and even confirm requests, even from trusted voices, via email or other means. Healthcare and manufacturing are two industries that have been singled out by bad actors for this kind of attack. Aside from training, what else can compliance teams do? They recommend: Focusing your resources on high value risk areas Ensuring your cyber defenses are as strong as they need to be Reviewing your third parties to ensure that a compromise won’t come from someone hacking into their systems Understanding how AI is being used by your organization and vendors to make sure that the security is adequate Being transparent about your expectations Listen in to learn more. I swear it’s really us and not AI. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.

By Adam Turteltaub These are fractious times, and it’s often difficult to figure out what to do, what comes next and keep people with divergent views working together. Despite these challenges, Anna Romberg, Executive Vice President, Sustainability, Legal and Compliance for Getinge,  doesn’t believe that things are hopeless. In an article she co-authored with Richard Bistrong for Harvard Business Review, they  laid out several strategies for successfully navigating the current era. In this podcast, she reminds us that ethics and compliance programs are about more than following the law. They are also about encouraging good behavior, which includes following the company’s values, no matter how the political winds are blowing. With that said, now is a good time to do what organizations need to do, which is assess their values periodically to ensure that they are relevant, and the organization is living up to them. At the same time, she encourages the compliance team to embrace friction. It is inevitable when facing difficult discussions and different opinions. It’s also a sign of change and that the matter at hand needed to be dealt with. She also cautions compliance teams to be alert and encourage speaking up. With increased pressure and changing norms, some may lose sight of the need to do the right thing. Listen in for a bit of stability during unstable times. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.

By Adam Turteltaub Do you ever wish you were made of rubber, especially nowadays with so much change? Do you wish that you could be flexible enough to handle every new legal regulatory change or every business demand without breaking? It’s not likely to happen, but compliance industry veteran Lisa Beth Lentini Walker believes that we can become more resilient. Resilience, she observes, is a mindset. We can work to become more adaptable and open to change by framing it in the right way. If you look at it with dread, you are less likely to succeed. But, if you recognize that nothing is permanent, change is inevitable and focus on what needs to be done, the chances of success are much greater. Look at change as an opportunity to shine and show leadership. Become the person who management trusts to look to the future and find the path forward for the organization. The workforce, too, wants to know that they can count on you to keep them safe and the company operating strongly. Listen in to learn more about becoming resilient and an effective compliance leader during changing times. Listen now Sponsored by Case IQ, a global provider of whistleblowing, case management, and compliance solutions.