How To Master Disciplinary Action Without Damaging Culture
Credit(s): 1 SHRM CEU • This education activity has been submitted to the Compliance Certification Board (CCB)® and is currently pending their review for approval of CCB CEUs
Crime and punishment. Sounds simple enough, but when you get a glimpse of the wide variety of potential misconduct that can strike your organization, it can quickly escalate beyond what’s written in your policies. Together, we explore how you can: develop disciplinary policies that guide effective action against every unique circumstance, coordinate your disciplinary actions with leadership, and ensure that your disciplinary actions serve your culture and organization.
- How do you ensure proportionality in your disciplinary actions?
- How do you interpret broad policies when dealing with unique circumstances?
- How do you punish an individual without doing damage to your culture of compliance?
Lisa Fine
Pearson | Sr. Counsel & Director, Global Compliance
Lisa Fine is Sr. Counsel and Director, Compliance for Pearson Education, the world’s leading learning company. She is involved in all aspects of the ethics and compliance program, including trainings and communications, risk assessments and leading and managing global investigations.
Lisa also co-hosts the "Great Women in Compliance" podcast with Mary Shirley. This weekly podcast focuses on the diversity of the compliance community and the accomplishments of women in our field (and others who support women in compliance). They are also the authors of Sending the Elevator Back Down: What We’ve Learned from Great Women in Compliance (CCI Press 2020), where women share their stories of their careers and experiences.
Mark Happe
Corebridge Financial Retirement Services | Chief Compliance Officer
Mark Happe is a senior financial services compliance attorney who has served as a Chief Compliance Officer and Chief Risk Officer for multiple multinational financial institutions. He was instrumental in building, directing, and scaling the global compliance program that facilitated the successful transition from AIG L&R Retirement Services business to Corebridge Financial. He has worked in Fortune 500 companies, startup organizations, as well as federal regulatory agencies. Mark Happe is an expert at building enduring, positive relationships with clients, legal counsel, business leaders, boards, third-party partners, internal teams, and government regulators, while fostering a consultative and collaborative culture so organizations can meet and exceed their compliance goals.
Matt Kelly
Radical Compliance | CEO & Editor
Matt Kelly is editor and CEO of RadicalCompliance.com, a blog, and newsletter that follows corporate governance, risk, and compliance issues at large organizations; it includes the Compliance Jobs Report, a weekly update on compliance professionals moving around the industry. He also speaks on compliance, governance, and risk topics frequently.
Nick Gallo
Ethico | Chief Servant & Co-CEO
Chief Servant and Co-CEO of Ethico, which provides compliance solutions to some of the largest organizations in the world, Nick is a student of behavioral economics and organizational psychology and has worked with and analyzed hundreds of organizations over his career in advisory services, private equity, and compliance. He has seen first-hand the transformative impact compliance and culture can have on generating sustainably superior results. Nick has a B.S in Finance, Accounting, and Economics from Indiana University, is a member of Mensa International, Certified Public Accountant, and CFA Level 3 candidate, and has dedicated his life to serving -- his community, clients, team -- in order to make the world a better workplace.
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