CEOs may set the ethical tone from the top, but they need a supporting capable cast to tend to the day-to-day implementation of the company’s compliance and ethics programs. What are these leaders on the “front lines” talking about and doing these days?
01 // TELL US WHAT YOUR GROUP IS FOCUSED ON THESE DAYS.
We are currently focused on our annual risk assessment. However, we have a consistent initiative to bring our import/export controls to the next level.
02 // ARE THERE ANY PARTICULAR INITIATIVES THAT YOU HAVE FOUND WORKED WELL AND YOU WILL SHARE WITH OTHERS?
Nothing is as easy as it may seem. However, in the beginning stages of rolling out our compliance department we formed an advisory committee that included members of executive management in all areas of expertise. They now act as our compliance council and it has been a tremendous benefit to have perspectives outside the compliance function weighing in on what we are currently working on, as well as to help form critical relationships.
03 // WHAT IN YOUR BACKGROUND HAS MOST PREPARED YOU FOR THIS POSITION?
Working with executive management in the daily aspects of their jobs has helped me have a better understanding of the pressures they face. It has also taught me how to anticipate dealing with these pressures and in what areas we may have potential risks. I also have worked closely with our Audit Committee on special projects and internal investigations that were eye opening to me.
04 // WHAT KEEPS YOU UP AT NIGHT?
Nothing. I am too tired by the time I finally close my eyes.
05 // IS THERE ONE SPECIFIC PIECE OF ADVICE THAT YOU COULD SHARE THAT YOU WISHED YOU HAD KNOWN WHEN YOU FIRST GOT THE JOB?
Don’t look for the “box of answers.” When I started, I was looking for a clear way to implement and set up a compliance program for a global company; it does not exist.The compliance organization as a whole is a wealth of information who will share anything that they have. Network with your peers at other companies and learn what has made them successful in what they are doing. Every compliance group is different; we all have our successes and failures. Make sure you know your Code of Conduct inside and out. This is the foundation of what we do; we are expected to be the experts on this. Make sure you can communicate that.
06 // WHO DO YOU REPORT TO? WHAT ROLE HAVE THEY PLAYED IN THE COMPLIANCE AND ETHICS PROGRAM?
I report directly to our Executive Vice President and Chief Compliance Officer, who reports directly to our Audit Committee and CEO.
07 // WHAT’S THE WORST JOB THAT YOU HAVE EVER HELD AND WHY?
In college, I worked at a potato fast food place and I have not eaten a potato since. I also worked at a Bennigan’s during St. Patrick’s Day. That was a nightmare. I came home green.
08 // WHAT IS THE MOST SATISFYING ASPECT OF YOUR CURRENT JOB?
By far, the most rewarding aspect of my job is that I get to take it home. One of our primary goals in ethics and compliance is teaching the employees in our company integrity, honesty, respect, and working in an environment that promotes this type of behavior. It is so satisfying to work in a field where the same teaching that I do here, I teach at home. I feel that I am setting the proper example to my children. It is a wonderful feeling to know that my children will have the foundation of a winning relationship in everything that they do.
