On Episode 13 of Season 3 of the Securities Compliance Podcast: Compliance in Context, host Patrick D. Hayes is joined by Debbie Hennelly, founder of Resiliti and an expert on organizational resilience by creating cultures of integrity, innovation, and inclusion, to discuss how to handle the physical and mental parts of being a compliance officer. In the Headlines section, Patrick looks at the recently published SEC Enforcement numbers and reviews the recent rulemaking on the investment adviser oversight of service providers. Finally, Patrick wraps up the show with another installment of History Has Your Back, where he examines the life of Eve Ball and embracing a new perspective as we enter into the season of annual compliance reviews.
Season 3, Episode 13 Topics:
FY 2022 SEC Enforcement Results
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers
Interview with Debbie Hennelly
What is mental resiliency?
What is burnout and when does it occur?
How can compliance officers deal with burnout?
What are ways compliance professionals can prevent burnout?
How do we recognize when burnout is occurring?
Tips and insights on dealing with burnout
How can maximize our own potential and the performance of team members?
Valuable resources for dealing with burnout
Final Segment – History Has Your Back
Examining the life of Eve Ball and how to embrace second chance opportunities inside your compliance program and as part of your annual review
24:09 - “The transformational piece of what we do is when we get people in the organization who are outside of ethics and compliance to really own the preventive stuff and get them to understand that, even if risk management is in our job title, we’re not the ones–really–that control the risk. They do.” - Debbie Hennelly
34:34 - “When you get into ethics and compliance, the legal floor for behavior is just a floor and going beyond what the law or regulations require is when the companies values or mission or purpose, the culture, is what drives behavior or should drive behavior beyond what’s legally required.” - Debbie Hennelly
About the Securities Compliance Podcast: Compliance in Context
Introducing the Securities Compliance Podcast: Compliance in Context presented by Calfee, Halter & Griswold and the National Society of Compliance Professionals and hosted by Patrick D. Hayes, Partner and leader of Calfee's Investment Management practice.
Designed as a personal master class for the securities legal and compliance professional, this podcast embodies Patrick’s passion to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision makers.
The opinions expressed by guest speakers and panelists during Securities Compliance Podcasts may not necessarily reflect the viewpoints of the attorneys and professionals of Calfee, Halter & Griswold LLP or its subsidiaries or affiliates. Calfee’s educational content is intended to inform and educate readers about legal developments and is not intended as legal advice for any specific individual or specific situation. Please consult with your attorney regarding any legal questions you may have. With regard to all content including case studies or descriptions, past outcomes do not predict future results.
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