Principled

S2E8 | Prioritizing Purpose Over Profit: A Conversation with Michael Williamson of Pacific Dental Services

“I have a passionate belief that...really all businesses have a heart and a soul, and the ethics and compliance function has an essential role in finding them when they are not evident, and exploiting them when they exist. The ethics and compliance function can bring out the best in an organization by tapping into real, core human qualities.”

“The power in leveraging values as a cultural driver and a driver of ethics and compliance, is really to focus on how you are doing what it is you are doing. The behavioral guidance they provide to us are a strategic differentiator for us. Folks can copy what we do, but they can’t copy how we do it.”


Host Dr. Marsha Ershaghi Hames interviews Michael Williamson, chief compliance and chief privacy officer for Pacific Dental Services on this episode of the Principled podcast. Williamson brings experience in the regulatory sector to his role in the private equity healthcare space, and says it can be difficult to square up to regulatory imperatives when a private healthcare organization has a primary focus on profit over purpose. When an organization gets the balance of purpose and profit right, and the business is built on ideals and principles, it becomes easier to get support for ethics and compliance as a business driver, a strategic differentiator, and as a means of engaging employees. 

What You’ll Learn in This Episode
[0:54] Williamson recounts his journey into compliance, and how he found himself shifting into this type of path?

[3:36] How did he transfer his skills from previous roles into his role today with Pacific Dental Services?

[5:56] Does he see ethics and compliance as a potential facilitator to make purpose more actionable and measurable, while meeting regulatory guidelines?

[6:53] How willing does he think the workforce is to share and speak about being a part of culture?

[8:36] Williamson shares a little bit about the values system at Pacific Dental Service?

[12:24] What is his advice to ethics and compliance practitioners that are struggling to build the business case for internal stakeholders that they need to collaborate with?

[14:52] What trends does he forecast in the field over the next five or 10 years?

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S2E7 | Lights, Action, Compliance! Steve Harris Brings a Passion for Performance to Ethics and Compliance at Lincoln Financial Group

“Anytime you’re in a career that involves consultative kind of work, influencing people, you have to understand who your audience is. In order to successfully influence them, you have to understand what pressures they may be under, what obstacles they may be up against. You need to understand, what is their agenda? It’s through understanding that, and listening, and getting to know those people both personally and professionally, that you can best tailor your message so that they can hear it.”

“You may see it clear as day, but if the feedback you are getting is that the audience just isn’t there, then maybe you have to adapt your strategies to get to where you want to go. Or maybe change your direction altogether. … You want to have an idea of where you want to get to, and some tactics on how to get there, but you have to be open to the feedback, the input,the reactions of those people you need to move in that direction.”

This episode of the Principled podcast is hosted by LRN’s Dr. Marsha Ershaghi Hames, who talks with Stephen Harris, senior vice president and chief ethics and compliance officer with Lincoln Financial Group. Harris shares how his unique performance background, in both theater and music, enriches his work in ethics and compliance. 

The two discuss the importance of partnering with middle management, tailoring messaging to the particular audience, and live role-based training strategies. Harris explains how central communications are to an E&C strategy, and how content must be distributed across various platforms, above and beyond email. 

What You’ll Learn on This Episode 

[0:53] What was his career path into ethics and compliance?
[3:56] How much does he think listening is teachable or coachable? 
[7:03] How does he harmonize messaging through the organization, and how did he engage with the middle? 
[8:56] Harris shares a little bit on his approach to creating and facilitating live E&C training for senior executives? 
[12:44] How heavily is he involved in the communications and marketing of the programs? 
[14:56] What is one of the more rewarding aspects of this role? 
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Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, SoundCloud, Podyssey, or anywhere you listen to podcasts.

S2E6 | Rebuilding Trust: Stephanie Davis Brings Ethics and Compliance to Volkswagen After Emissions Crisis

“It was the opportunity of a lifetime to come in and really build something from the ground up. In some ways I’ve had a very easy time of it as the compliance officer because there’s not many chief compliance officers that can point to a $30 billion issue and say, ‘Look, this is why we need a better compliance program.’ In those ways I’ve had a much easier go of it than someone who doesn’t have that to point to.”

“We want to make sure you see our presence. For an organization that’s never had a large ethics and compliance team before, we just try to get out there and really be a part of the organization, so it’s a normal part of the business to see compliance at a meeting, than to say. ‘Oh my God, why is compliance here?’”

On this episode of the Principled podcast, Ben DiPietro, editor of LRN’s E&C Pulse newsletter, interviews Stephanie Davis, chief ethics and compliance officer for Volkswagen Group of America. Davis joined Volkswagen right after the company’s diesel crisis, and is building the ethics and compliance program for the world’s largest automaker. 

In a company that did not have a compliance officer prior to her role, Davis made an effort to get to know all business unit leaders and to understand their business goals and individualized risks. Volkswagen is trying to rebuild trust with its customers through a commitment to improving emissions and by committing to being carbon-neutral. Davis explains how the company is driving diversity and inclusion, and how ethics is directing decisions around the use of AI and machine learning.

What You’ll Learn on This Episode 

[0:53] Davis describes her journey to becoming chief ethics and compliance officer for Volkswagen of America. 
[3:30] Where is she in her efforts to build the ethics and compliance program, what changes she has implemented, and what’s next on her to-do list? 
[5:30] What is her relationship with other business units, and how has it changed since she came aboard as CECO?
[7:20] What is the relationship E&C has developed with the board and the executive team? 
[8:16] What has VW done to repair and rebuild trust after the diesel crisis, and how far along is the company in that effort? 
[9:26] Davis started her career in an academic role, so what aspects from that part of her career helped her in her current role? 
[11:12] How does Volkswagen define diversity and inclusion? What is the company doing in that area, how is E&C measuring progress? 
[12:53] What types of guidelines are in place for the ethical use of artificial intelligence and machine learning? How big of a risk area is this? 

Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, SoundCloud, Podyssey, or anywhere you listen to podcasts.

S2E5 | Moving the Needle on Board Diversity: A Conversation with NACD’s Peter Gleason

On this episode of the Principled podcast, host Ben DiPietro, Editor of LRN’s ENC Pulse Newsletter, interviews Peter Gleason, the CEO of the National Association of Corporate Directors (NACD). Peter explains how the expectations of a board have expanded over the last 10 years, resulting in the need for a certification from the NACD to prepare new board members for the boardroom. In addition, there is increased pressure on boards from investors and activists to improve board composition and to take a stance on controversial social issues. Peter also explains how Ethics and Compliance professionals can position themselves and prepare for the boardroom.

What You’ll Learn on This Episode
[0:58] How long has NACD existed and what was his journey to becoming CEO?

[2:34] NACD recently released a new program to certify board members. Why is this being done now and what benefits do you expect to see from this?

[4:39] What will it take to get the majority of boards to embrace diversity, not just in gender and race, but in age and skill sets? Why has progress been so slow?

[7:20] What role are investors and activists having in driving action on board composition and oversight, and how are boards responding?

[10:01] There’s been a lot of focus on CEOs and the stances they take on controversial public issues. Do you see this coming for directors, and are they prepared for it?

[11:55] Why does Gleason think more boards don’t have directors with ethics and compliance backgrounds? What can ethics and compliance professionals do to make themselves more attractive board candidates?

Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, SoundCloud, Podyssey or anywhere you listen to podcasts.

S2E4 | Ethics is the Best Defense: Leo S. Mackay, Jr. on Building a Values-Based Culture at Lockheed Martin

This episode of the Principled podcast is hosted by Ben DiPietro, editor of LRN’s E&C Pulse newsletter, who interviews Leo S. Mackay, Jr., senior vice president of ethics and enterprise assurance at Lockheed Martin Corp. 

Mackay explains the strict compliance landscape within the aerospace and defense industry, and open and collaborative efforts that go beyond the law with a commitment to ethics, both in the industry itself and within the company's supply chain. 

Lockheed Martin has five distinct disciplines under the Enterprise Assurance umbrella, but the tools used for risk management within each are largely the same. Mackay describes Lockheed Martin’s commitment to diversity and inclusion, mandatory ethics training in response to #MeToo, and other social activism.

What You’ll Learn on This Episode
[1:02] How did you find your way to working at Lockheed Martin? What led you to ethics and compliance?

[3:13] What is unique about leading ethics and compliance at a defense company?

[6:34] What were some of the challenges associated with integrating ethics and compliance with the internal audit enterprise risk function?

[8:22] Are there still times when these issues need to be separated and handled individually?

[9:33] Are you finding other departments more willing to embrace ethics and compliance than they were in the past? What can ethics and compliance do to better lay the groundwork for positive relationships with other business units and executive management?

[11:46] As you move forward, what’s happening at Lockheed Martin in terms of diversity and inclusion, and how is all this being shaped my #MeToo and social activism of employees, investors, and others?

Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, Sound Cloud, Podyssey, or anywhere you listen to podcasts.

S2E3 | Champion of Ethical Culture: Ashlee Foltz on Integrating Ethics Into the Business and Advancing Integrity Throughout the Organization

PULL QUOTE: “Compliance and ethics is not for the faint of heart. All of us, we live for those moments where we can be part of a monumental wake-up call that can really realign an organization and bring them back to their core values.”
-Ashlee Foltz


On this episode of the Principled podcast, host Dr. Marsha Ershaghi Hames interviews Ashlee Foltz, founder of ACF Consulting Solutions and the former chief ethics and compliance officer of Cintas Corp. Ashlee describes her own journey into the ethics and compliance field, her passion for business ethics, and how best to integrate the function into an organization. During the episode, trends in business ethics and drivers for socially responsible companies are discussed, as well as how to advance integrity as part of the business mandate. Ashlee explains how the industry is moving away from a top-down approach based on punishment, and toward a bottom-up approach, where the ethics and compliance program is seen as a competitive advantage and a source of pride.

What You’ll Learn on This Episode

[1:09] How did Foltz find her way to ethics and compliance?

[3:27] Coming from an in-house position and evolving into a private practice, what drove her in that direction?

[4:45] How does she view the opportunity to integrate business ethics into an organization?

[7:27] What are the future trends we can expect to see in business ethics?

[10:11] What is the driver for people wanting to work in a more inclusive and socially responsible workplace?

[12:00] How much does she see ethics and compliance professionals being responsible for advancing integrity as part of the business mandate?

[14:53] How can ethics and compliance Leaders balance scaling a program, yet keep it locally and contextually relevant?

Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, Sound Cloud, Podyssey, or anywhere you listen to podcasts.

S2E1 | Partnerships of Trust: Katie Lawler Invests in Ethics to Create Wins for U.S. Bank

This episode of the Principled podcast is hosted by Ben DiPietro, editor of LRN’s E&C Pulse newsletter, who is interviewing Katie Lawler, global chief ethics officer at U.S. Bank. Most companies will have ethics and compliance as a combined function, but U.S. Bank has a large risk management and compliance department, while ethics sat under human resources.

U.S. Bank saw an opportunity to elevate ethics to a standalone function to build on the company’s strength. Lawler discusses how she transitioned into the newly created role of ethics chief, how she clearly defined business unit roles, and how she gives partners latitude and freedom to do their best work.

 

What You’ll Learn in This Episode

[0:54] What was the career path that let to her current role at U.S. Bank?

[2:30] Was she happy to be the first chief ethics officer, or did she wish there already was a structure in place?

[6:00] How did her background in human resources help she transitioned into her new role?

[7:09] One of her first tasks was to work with her former HR colleagues; did that change her relationship with them? What were some of the issues she had to deal with?

[9:13] What are some ways ethics and compliance people can foster closer relationships with other business units? 

[11:55] Has her successful partnerships resulted in other business units taking notice, and has it changed her relationship with them?

[13:18] How can ethics and compliance better articulate to boardrooms that companies that behave better perform better?

Find this episode of Principled on Apple Podcasts, Google Play, Stitcher, Sound Cloud and Podyssey, or anywhere you listen to podcasts.

S2E2 | Do People Want to Work for Your Company? Joe Kale on How Your Culture Will Determine Your Fate

This episode of the Principled podcast finds our host, Marsha Ershaghi Hames, speaking with Joseph Kale, executive director of ethics and compliance at Creative Associates International. Kale describes his experience building and running the ethics and compliance program at Lockheed Martin. 


The pair discuss the current focus on corporate culture as the ultimate competitive advantage that companies can leverage. They cover why culture matters and how stakeholders are key to change a culture. Kale explains how critical it is all levels of leadership exhibit behavior aligned with company values, and how any inconsistencies can be rectified.

What You’ll Learn on This Episode
[0:57] How did you enter the compliance and ethics field?


[3:49] In your career, what levers or influences do you see in the design of effective compliance and ethics programs?


[5:18] As companies are evolving their compliance and ethics strategies, what hallmarks are you seeing for them to scale their impact?


[7:08] Why does company culture matter?


[8:36] Who are the stakeholders that need to be collaborated with on the inside to really improve company culture?


[10:35] How do you catalyze in middle layer of an organization to mobilize the messaging from the top?


[12:57] How can inconsistent behavior be addressed and scaled when you are doing business outside the U.S.?


[14:52] What are some of the potential disruptors to culture being everyone’s responsibility?


Find this episode of Principled on Apple Podcasts, Google Podcasts, Stitcher, Sound Cloud, Podyssey or anywhere you listen to podcasts.

S1E9 | Following Her Path: Deni Anderson on Climbing the Corporate Ladder and Breaking Gender Stereotypes

In this episode, LRN's Marsha Ershaghi Hames interviews Deni Anderson, director of global compliance operations at Endeavor, a talent, events, and entertainment management company.


Anderson describes how she broadened her understanding on the compliance issues leaders face when she began to work on the inside of organizations. She shares the key traits of good leaders, and how training is necessary to make sure all levels of management support their employees. 


The hidden biases women face in the workplace, and how they can limit opportunities for female leaders, are explored. Anderson offers her thoughts on how to work to eliminate the barriers for women at work, including work/life balance programs, mentorship tracks for women leaders, and eliminating negative gender stereotypes. 

WHAT YOU'LL LEARN THIS EPISODE...

[00:35] How did she decide to pursue a career in the compliance and ethics field?


[02:46] What has she seen as she shifted from being on the outside as a solution provider to bringing that in-house to organizations?


[04:33] What skills or traits do leaders today need to carry forward?


[06:23] What is her advice to companies that want to get their middle management teams involved in driving compliance and ethics?


[08:04] What are the most significant barriers to women rising in leadership?


[10:25] What are some of the strategies the next generation of women can use to break through those barriers?


[12:39] What will be some of the biggest disruptors as the compliance and ethics field evolves?


Find this and other episodes of Principled on Apple Podcasts, Google Play, Stitcher, Sound Cloud, Podyssey, or anywhere you listen to podcasts.

S1E8 | Courage of Conviction: Rashmi Airan’s Journey From Convicted Felon to Ethics Evangelist

This Principled podcast series comes in celebration of LRN Corp.’s 25th anniversary. Today, Rashmi Airan is interviewed by LRN’s Marsha Ershaghi Hames.

Airan is someone who once was caught up in the grandeur of goals, rather than paying attention to real and detrimental consequences of her actions. She grew up a perfectionist, and pressured herself to succeed. She achieved tremendous success and eventually opened her own real estate and law practice.

Everything changed when she started working with a big developer client and became mixed up in some “creative” transactions. Not realizing the severity of her actions, Airan stayed quiet. She received a visit from the FBI in May 2011, and was interrogated for four hours.

Two years passed after the interrogation before she was charged with bank fraud. Airan pled guilty and owned her mistakes. She realized she had ignored red flags and was silent when she should have spoken up. She served six months in prison.

Since her release, she’s been sharing her story with others. Looking back, she realizes she got lost trying to keep up with appearances. If she had it to do over again, Airan said she would pay closer attention to details. She learned while the situation happened, it doesn’t define her.


What You’ll Learn on This Episode

[0:58] Could you share a little bit about your background?

[4:53] What happened with the interrogation?

[7:24] What have you learned looking back if you had to go back and coach yourself? What would you do differently and where were the red flags?

[10:07] Were you so focused on the outcome you couldn’t stop and ask the right questions?

[12:53] Are we developing and coaching the next generation of leaders to be culturally aware and culturally sensitive?

[14:52] How are you charting the path forward? What are some of objectives you have?