Please don’t hesitate to call me about anything any time.
Most of my experience with compliance programs has come as an outside investigator or advisor. I’ve seen or worked with hundreds of compliance functions in all types of organizations. As a result, I’m frequently asked what I’ve seen as common strengths and weaknesses.
The answers to both questions relate to the same issue — how integrated compliance is with other functions of an organization. When I’ve seen problems, they often stem from a compliance group working in isolation. In these organizations, when I’ve asked other people their thoughts about the Compliance department, I heard things like, “They issue memos every once in a while,” “We don’t really know them very well,” or “They do their compliance thing.” You get the idea.
