Compliance & EthicsProfessional

®

a publication of the society of corporate compliance and ethics www.corporatecompliance.org

October

2016

41Fraud awareness training: Enhancing

a low cost, high impact control in challenging economic times

Heidi Schubert, Lisa Zaharia, and Bruce McKenzie

35What new

cybersecurity requirements mean

for contractorsPamela Passman

25A passion

for compliance & 

ethicsCris Mattoon

29Yes, a board can positively affect

culture: 10  practical actions

Marjorie Doyle

Meet Lisa Fine

Director, Global Compliance

gategroup

Reston, VA

See page 14

This article, published in Compliance & Ethics Professional, appears here with permission from the Society of Corporate Compliance & Ethics. Call SCCE at +1 952 933 4977 or 888 277 4977 with reprint requests.

+1 952 933 4977 or 888 277 4977 www.corporatecompliance.org 25

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FEATURE

“Look beyond the dusty diplomas and the yellowed certificates hanging on the wall to find that candidate

who burns daily with unbridled passion for your customers and your mission.”

Recently, an industry colleague was discussing her need to fill a key position in her

Compliance department. Mary was describing the mountain of résumés she had received from recruiters and directly from candidates. One position. Over one hundred twenty individuals. Then Mary asked the perennial question: “How do I choose the right person?”

I tend to look at this situation from the opposite direction, because I believe that the right person has to choose the Compliance department. Over the years, I’ve filled a variety of positions—both operationally and in the Risk Management and Compliance & Ethics fields. Nearly all candidates’ résumés that make it to my desk possess the requisite experience, education, and credentials. The selection process must go deeper, because beneath the veneer of

prerequisites lie vast differences rooted in each candidate’s soul.

To me that difference is passion. In Mary’s case, I suggested that she identify the candidates whose résumés speak to their passion for compliance. Unlike education and credentials that are earned through completing a series of classes or tasks, or experience which can simply be the culmination of repetitive skill that failed to progress years ago, passion is the unbridled excitement and joy that one feels each day to embody, engage, and accelerate. Yes! I firmly believe that we must bring our heart to this profession.

Some of the most successful compliance and ethics professionals grew out of operational backgrounds. Men and women who cut their teeth from the factory floor or retail outlet on up through the ranks often bring practical insight to a Compliance department that cannot be taught in a seminar. Real life ethics dilemmas observed on a career path through a sales organization provide a firmer foundation to leading an Ethics department than reading textbooks. Compliance isn’t just a “head game.” A

» Filling a compliance position requires finding the right candidate.

» Compliance success requires more than education and credentials.

» Strong candidates will possess a passion for the Compliance field.

» A mature operational background can further strengthen a candidate.

» Passion is contagious and can elevate a Compliance function.

by Cris Mattoon

A passion for compliance & ethics

Mattoon

26 www.corporatecompliance.org +1 952 933 4977 or 888 277 4977

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passionate compliance professional embodies the corporate revenue and service objectives while guiding management and the board to do the right thing. Every day.

Compliance and ethics are not administered from behind a curtain. A passionate compliance professional engages daily with management across the enterprise to inquire, assess, and support her colleagues. Only by asking key questions and providing timely support of critical organizational projects can Compliance truly add value. Remember, effective compliance and ethics programs identify and prevent regulatory failures, fines, and penalties though oversight and informed counsel.

Passion is the fuel that ignites the compliance professional to remain engaged, vigilant, and supportive of corporate objectives that grow the business and serve consumers

or end users. Casting aside the long-held operational stereotype of a Compliance department, a passionate compliance professional seeks to say, “Yes, we can,” and articulates the path that management can follow to accelerate the project while complying with relevant laws, regulations, and societal norms.

Mary reflected upon her own career path from the assembly line to supervision to the front office that eventually led her into the Compliance field. She understood what I meant.

I look forward to circling back to see how filling that key Compliance position worked out for her, but I am confident that the successful candidate will burn with that passion. ✵ Cris Mattoon (cqmattoon@aaamichigan.com) is Director, Corporate & Financial Services Compliance at The Auto Club Group in Dearborn, MI.

Upcoming 2016 SCCE Web Conferences10.5.2016 | Third Party Risk and Beneficial Ownership• MICHAEL VOLKOV, CEO, Volkov Law Group LLC

10.6.2016 | How to Start a Compliance Program from Scratch• LEONA LEWIS, Founder, ComplyEthic Consulting LLC

10.12.2016 | Every Three Years: What Does a Code of Conduct Refresh Look Like• ERIC MOREHEAD, Head of Advisory Services, Morehead Compliance Consulting

10.13.2016 | Interactions with Government Officials: What You Need to Know About Political Law Compliance• PATRICIA ZWEIBEL, Counsel, Skadden, Arps, Slate, Meagher & Flom LLP

• MELISSA MILES, Counsel, Skadden, Arps, Slate, Meagher & Flom LLP

10.19.2016 | Immediately Address IT Access Compliance Challenges Using Tools You Already Have• JOHN VASTANO, CSO, Veriphyr, Inc.

11.9.2016 | Policy or Bust: Don’t bite the dust• EMILY BONE, Global Records Manager, Molson Coors Brewing Company

11.29.2016 | Data Privacy: Structuring an effective employee training program• DANIEL COTTER, Partner Butler, Rubin Saltarelli & Boyd LLP

Learn more and register at corporatecompliance.org/webconferences