Your Year As A Wildly Effective Compliance Officer

Get ready to embark on the best year of your career yet! Your Year as a Wildly Effective Compliance Officer is your ticket to success. It's full of tips, tools, hacks, and tactics to transform you into an in-demand business asset. This book contains: - An easy-to-implement tip for every working day of the year - Thought prompts to help you reflect on your career and personal choices - The weekly Big Win record to keep track of your successes (hello promotion!) - Quarterly audit exercises to focus you on what matters This journal-style book isn't a legal guide - it's a human guide to help you revolutionize your career. You'll learn motivation, persuasion, and influence techniques, as well as productivity improvement, leadership, and mindset mastery. You'll be astonished at the progress you can make in a year. As Tom Fox, the Voice of Compliance said, "Kristy Grant-Hart has knocked it out of the park yet again. This is a book for all new CCOs, current CCOs and all others in the compliance profession about how to think through a holistic approach to your compliance program."

This book is for anyone ready accelerate their career to become a wildly successful compliance officer! Learn the secrets of career development and collaboration with other functions to become an in-demand business asset.

"How to Be a Wildly Effective Compliance Officer" teaches compliance profesionals the secrets of influence, persuasion and motivation so they can become in-demand business assets. This book is a powerful guide to help practitioners move from the check-the-box mentality of a paper program worker to become a dynamic business leader. Roy Snell, the CEO of the Society of Corporate Compliance and Ethics raved, "Kristy Grant-Hart infectiously describes the missing link in the compliance profession - interpersonal skills and influence. If you are or want to be a successful compliance professional - this book is invaluable."

The Wildly STRATEGIC Compliance Officer Workbook will transform you into an in-demand business asset using the secrets of strategy and planning. Through expert advice, exercises, quizzes and examples, you'll finally be able to answer the compliance profession's most vexing questions, including: Where do I start when designing or updating the compliance program? How do I prioritize when there are so many issues, needs and expectations? How do I get buy-in from the C-Suite, Board and managers for my program? By the time you've completed the Wildly STRATEGIC Compliance Officer Workbook, you'll have in your hands: A thorough mapping of the risks facing your business, and a diagram of how to manage those risks within the compliance function and with the other functions of the business. A top-notch, tested Three-Year Plan and Planning Document. An ordered, specific, achievable set of One-Year Goals. Your very own monthly Compliance Dashboard and more! If you feel like all you do is fight fires and you're ready to take control of your career, the Wildly STRATEGIC Compliance Officer Workbook is for you!

Silicon Valley expert Robert Chesnut shows that companies that do not think seriously about a crucial element of corporate culture—integrity—are destined to fail. “Show of hands—who in this group has integrity?” It’s with this direct and often uncomfortable question that Robert Chesnut, General Counsel of Airbnb, begins every presentation to new employees. Defining integrity is difficult. Once understood as “telling the truth and keeping your word,” it was about following not just the letter but the spirit of the law. But in a moment when workplaces are becoming more diverse, global, and connected, silence about integrity creates ambiguities about right and wrong that make everyone uncertain, opening the door for the minority of people to rationalize selfish behavior. Trust in most traditional institutions is down—government, religious organizations, and higher education—and there’s a dark cloud hovering over technology. But this is precisely where companies come in; as peoples’ faith in establishments deteriorates, they’re turning to their employer for stability. In Intentional Integrity, Chesnut offers a six-step process for leaders to foster and manage a culture of integrity at work. He explains the rationale and legal context for the ethics and practices, and presents scenarios to illuminate the nuances of thinking deeply and objectively about workplace culture. We will always need governments to manage defense, infrastructure, and basic societal functions. But, Chesnut argues, the private sector has the responsibility to use sensitivity and flexibility to make broader progress—if they act with integrity. "Rob is an insider who's combined doing good with doing business well in two iconic Silicon Valley companies. His book contains smart, practical advice for anyone looking to do good and do well.” —Reid Hoffman, co-founder of LinkedIn and author of Blitzscaling

An expert's insider secrets to how successful CEOs and directors shape, lead, and oversee their organizations to achieve corporate goals Governance, Risk Management, and Compliance shows senior executives and board members how to ensure that their companies incorporate the necessary processes, organization, and technology to accomplish strategic goals. Examining how and why some major companies failed while others continue to grow and prosper, author and internationally recognized expert Richard Steinberg reveals how to cultivate a culture, leadership process and infrastructure toward achieving business objectives and related growth, profit, and return goals. Explains critical factors that make compliance and ethics programs and risk management processes really work Explores the board's role in overseeing corporate strategy, risk management, CEO compensation, succession planning, crisis planning, performance measures, board composition, and shareholder communications Highlights for CEOs, senior management teams, and board members the pitfalls to avoid and what must go right for success Outlines the future of corporate governance and what's needed for continued effectiveness Written by well-known corporate governance and risk management expert Richard Steinberg Governance, Risk Management, and Compliance lays a sound foundation and provides critical insights for understanding the role of governance, risk management, and compliance and its successful implementation in today's business environment.

A Better Kind of Compliance Training Compliance training succeeds when you balance an organization’s legal responsibilities with the real needs of the employees who you hope will learn and change their behavior. In Fully Compliant, Travis Waugh challenges traditional compliance training that focuses only on the legal risk of failing to comply with a specific mandate. With an ever-increasing number of compliance subjects to address, such programs are unsustainable. Instead, organizations must design compliance programs that serve a higher, broader purpose and build robust, resilient cultures focusing on integrity and ethics learning. Optimal compliance programs are flexible and create real learning experiences that change real behavior, thus diminishing the chance of misconduct in the first place. This book connects the three levers of human behavior—context, habit, and motivation— to help organizations craft holistic compliance training programs that do far more than check a box. It identifies ways to pick up small but meaningful wins in turning around an existing compliance program or designing a new course, which can turn stakeholders from skeptics into learning champions. And it offers an eight-step road map for implementing your own compliance learning plan. With this book, you’ll be able to: Create behavior-based compliance training that generates measurable benefits. Make compliance training more engaging and impactful, not one-size-fits-all. Remain relevant as advances in technology shift compliance expectations in the years ahead. By putting the learner first, you can develop compliance that stick

We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role. In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to understand manner. If your role is in regulatory compliance, no matter how long you've been at this, this book is for you. keywords: regulatory compliance, financial services regulation, AML, OFAC, broker-dealer, how to comply with regulatory requirements, compliance program, reputational risk, business ethics

Avi's treasured Newbery Honor Book now in expanded After Words edition!Thirteen-year-old Charlotte Doyle is excited to return home from her school in England to her family in Rhode Island in the summer of 1832. But when the two families she was supposed to travel with mysteriously cancel their trips, Charlotte finds herself the lone passenger on a long sea voyage with a cruel captain and a mutinous crew. Worse yet, soon after stepping aboard the ship, she becomes enmeshed in a conflict between them! What begins as an eagerly anticipated ocean crossing turns into a harrowing journey, where Charlotte gains a villainous enemy . . . and is put on trial for murder!After Words material includes author Q & A, journal writing tips, and other activities that bring Charlotte's world to life!