Trekking Through Compliance

In this episode of Trekking Through Compliance, we consider the episode The Immunity Syndrome which aired on January 19, 1968, Star Date 4307.1. Compliance Takeaways:For export control compliance; screen, screen and then screen again. How do you choose your project team? What is your innovation strategy? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode A Piece of the Action which aired on January 12, 1968, Star Date 4798.0. Compliance Takeaways:The written word still holds power. Can you communicate in local vernacular? How do you select your Board of Directors? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode The Gamesters of Triskelion which aired on January 5, 1968, Star Date 3211.7. Compliance Takeaways: What tools are available to you? What is inform risk? What is your risk management strategy? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode The Trouble with Tribbles which aired on December 29, 1967, Star Date 4523.3. Compliance Takeaways: What is the financial health of your suppliers? What happens when management controls are too siloed? Are you engaging in social media monitoring? Learn more about your ad choices. Visit megaphone.fm/adchoices

Compliance Takeaways: Does your Board engage in active oversight of your compliance function? Do you perform due diligence on potential senior management hires? What should be the length of a suspension? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Obsession which aired on December 15, 1967, Star Date 3619.2. Compliance Takeaways: Sometimes a CCO must make a stand and speak truth to power. How is a root cause analysis different than an investigation? Why you should train for crisis management. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode The Deadly Years which aired on December 8, 1967, Star Date 3478.2. Compliance Takeaways:Just because research is discontinued does not mean it is invalid. Training-Why was Chekov’s reaction like that of a schoolboy? How do you show the quality, ability and competence of your compliance team? Learn more about your ad choices....

In this episode of Trekking Through Compliance, we consider the episode Friday’s Child which aired on December 1, 1967, Star Date 3497.2. Compliance Takeaways:1.     The three C’s of leadership.2.     How do you react when the leader goes off the deep end?3.     Train your employees what to do when faced with a bribe demand.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Journey to Babel which aired on November 20, 1967, Star Date 3842.3.  Compliance Takeaways: HR is key ally of the compliance function. Dynamic tensions between employees must be resolved. Be careful in freewheeling banter. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Metamorphosis which aired on November 13, 1967, Star Date 4513.3. Compliance Takeaways: As a CCO you may have a lawyer background but you must act as a compliance professional. Prejudice has no place in today’s corporate cultureHow do you evaluate your senior leadership from the business perspective? Learn more about your ad c...

In this episode of Trekking Through Compliance, we consider the episode I, Mudd which aired on November 13, 1967, Star Date 4513.3. Compliance Takeaways: Why continuous monitoring is a mandatory part of any compliance program. Will AI take over compliance? (Answer: No)As a CCO, you are only limited by your imagination. Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Catspaw which aired on October 27, 1967, Star Date 3018.2. Compliance Takeaways: Why ego is part of Jonathan Mark’s Fraud Pentagon. Fraudsters need a dupe and the term ‘Catspaw’ describes a person who is used as a dupe. How much can you do with the tools you have at hand? Learn more about your ad choices. Visit megaphone.fm/ad...

In this episode of Trekking Through Compliance, we consider the episode The Doomsday Machine which aired on October 20, 1967, Star Date 4202.9. Compliance Takeaways: How do you terminate a third party? How do you evaluate your risk assessment? How does your organization respond to findings in an investigation? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode The Apple  which aired on October 13, 1967, Star Date 3715.0.  Compliance Takeaways: How do you validate that your policies are being followed? If Red Shirts are always going to die, how do you manage that risk? What is the Board of Director’s role in compliance? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Mirror Mirror which aired on October 6, 1967, Star Date unknown. Compliance Takeaways: Tone really does start at the top. How do you change your compliance functions within an organization? High risk requires high risk management.  Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode The Changeling which aired on September 29, 1967, Star Date 3451.9. Compliance Takeaways: Leadership is listening. What is your procedure for updating policies? How often do you perform a risk assessment? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Who Mourns for Adonais? which aired on September 22, 1967, Star Date 3468.1. Compliance Takeaways: What is your role in an investigation? How does your senior management demonstrate tone? What are the true incentives in your organization? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Amok Time which aired on September 15, 1967, Star Date 3372.7.  Compliance Takeaways: What is your investigation protocol? How do you account for different cultures within your organization? When is an internal control override appropriate? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Operation Annihilate! which aired on April 13, 1967, Star Date 3287.2. Compliance Takeaways: Leadership can require difficult decisions. Data analytics will be key for compliance professionals going forward. What is your triage program for internal reporting? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode City on the Edge of Forever which aired on April 6, 1967, Star Date 3134. Compliance Takeaways: Small accidents and changes can lead to huge consequences. You can get a lot more done, if you don’t worry about who gets credit. How much can you do with the tools you have at hand? Learn more about your ad choices. Visit megaphone...

In this episode of Trekking Through Compliance, we consider the episode The Alternative Factor which aired on March 23, 1967, Star Date 3087.6. Compliance Takeaways:1.   How do you triage a whistleblower compliant?2.   When expanding into new markets scale up your compliance program.3.   What is the role of gatekeepers? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Errand of Mercy which aired on March 16, 1967, Star Date 3194.8. Compliance Takeaways: In an investigation, trust but verify. If your subsidiary’s financial statements are too complicated to decipher, you have a problem. Do you know how far down your TPIs extend? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Devil in the Dark which aired on March 9, 1967, Star Date 3196.1. Compliance Takeaways:What is your root cause analysis? Have you analyzed your internal controls from the compliance perspective? Simply because something is different doesn’t means its wrong or illegal. Is there a business justification? Learn more about your ad...

In this episode of Trekking Through Compliance, we consider the episode This Side of Paradise which aired on March 2, 1967, Star Date 3417.3. Compliance Takeaways: What are the unknown talents of your staff? Failure to continuously monitor can lead to disaster. What is the role of all your team members? Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Trekking Through Compliance, we consider the episode Space Seed which aired on February 16, 1967, Star Date 3141.9. Compliance Takeaways: How do you manage 3rd parties after the contract is signed? Interview questioning is as much art as science. What crisis management program do you have in place? Learn more about your ad choices. Visit megaphone.fm/adchoices