The Lightning Round: Surprise Listener Questions for Mary and Lisa

Great Women in Compliance

Welcome to the Great Women in Compliance Podcast, co-hosted by Lisa Fine and Mary Shirley. Lisa and Mary welcome listeners back to a new season with hot seat questions put forward by their audience without time to prepare. They also give a spoiler alert for their next joint episode as something to look forward to and think about your submissions for the future. Here are the questions Lisa and Mary tackled in this episode:

· How do you continue to learn in order to stay on top of things in your role?

· “If your ideal compliance leader was an animal, which animal, and why?”

· When did you realize that GWIC has grown from the podcast to a larger community? Was there a moment for you?

· If you had an extra $10k and had to spend it within the month- what would you do (personal or professional)?

· As someone who is a global traveler, when you get to go home to New Zealand, once you recover from the flight, what is the first “local”/hometown thing you want?

· Is it ever okay for an E&C investigator to employ deception when interviewing a subject? I've worked at companies that allow very limited exceptions and others that say "never." A common exception involves a subject who might figure out who the reporter is (and then retaliate against her/him). As we seek to do everything and anything possible to prevent retaliation against reporters, the investigator might say to the subject during an interview (in a situation where the internal reporter is known to the investigator), "Please make no effort to guess or otherwise identify the reporter. Doing so risks violating our anti-retaliation policy. The reporter may be anonymous or from outside the company--it doesn't matter. The bottom line is, you must refrain from trying to determine or conclude who it is." Of course, nothing in this example is a lie, but it is deceptive given the investigator knows the reporter isn't external or anonymous. Certain countries may have laws or regulations that answer this question but, importantly, the standards of an E&C investigation--at least in the United States--are not the same as a government-led investigation. Also, many E&C investigators are not licensed attorneys, so there are no "licensed professional" restrictions to consider. So, , do you think it's okay for an E&C investigator, in rare and previously identified instances, to deceive an interviewee when doing so likely could have a material effect on protecting a reporter from retaliation?

· What’s the biggest area (related to your current role) you are curious about and why?

· What are some of the things you are researching right now? (Could be personal- could be professional, could be vague)

· If there was one thing you could change about the way Compliance is perceived by people outside the profession, what would it be?

· We often hear of the importance of the birds and the bees. But in the compliance world, if you could only pick the attributes of one, which would it be and why?

We hope that you enjoyed this episode and welcome any feedback you may wish to send in to [e-mail].