The Compliance Life

The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Asha Palmer, CECO at Convercent.

Palmer discusses her decision to join Convercent—traditional CECO plus more. She believes that the profession must continue to go toward collaboration, conversation, and digitalization. Her belief is that CECOs must be seen as business partners and that technology will fuel and help drive that partnership. She concludes on why CECOs must start thinking about and approaching things differently.

Resources

 Asha Palmer LinkedIn Profile

Convercent by One Trust

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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Asha Palmer, CECO at Convercent.

 It was Palmer’s consulting business that helped her better understand the true state of the ethics & compliance profession. She began at the beginning but early on saw that compliance was often seen as a back-office function, with siloed systems and multiple stakeholders. She observed companies trying the same things over and over with stale training, unclear objectives of certain processes and procedures. All of this informed her approach to compliance.

Resources

Asha Palmer LinkedIn Profile

Convercent by One Trust

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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Asha Palmer, CECO at Convercent. 

Palmer moved to Abu Dhabi where she had a non-traditional, non-linear path. In this part of her journey, she discovered compliance, which became her professional passion when she was teaching Business Ethics. She worked in IP at Coca-Cola and eventually joined a Sovereign Wealth Fund with portfolio businesses across the world?

Resources

 Asha Palmer LinkedIn Profile

Convercent by One Trust

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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Asha Palmer, CECO at Convercent.

 Asha knew since age 8 she wanted to be a lawyer from watching Claire Huxtable on The Cosby Show. She also wanted to attend a Historic Black College and University and chose Spelman in Atlanta. She attended NYU and joined a major Atlanta firm as a litigator before joining the Department of Justice in the Northern District of Georgia.

Resources

 Asha Palmer LinkedIn Profile

Convercent by One Trust

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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Gabe Hidalgo, Managing Director at K2 Integrity and former CCO. 

In is role at K2 Integrity, Hidalgo sees problems and issues for clients through a variety of lenses. His time as a CCO gives him insight and empathy into the challenges of a CCO. His time at the Federal Reserve Bank of New York gives him insight into the regulatory mindset for financial institutions. He continues to emphasize that the buck stops with the CCO. AML compliance will only grow and continue to become more important, not simply for financial institutions but for commercial corporations going forward.  

Resources

 Gabe Hidalgo LinkedIn Profile

Gabe Hidalgo K2 Integrity Profile

K2 Integrity

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Hidalgo moved into CCO chairs at Community Federal Savings Bank and at Noble Bank International. His role in both of these financial institutions was primarily AML  compliance but it included broader compliance roles as well. The biggest lesson was that the ‘buck stops with the CCO’. Ultimately it is your responsibility and you must have accountability of all areas of compliance. As a CCO a key trait is empathy which you must employ in your dealings with other executives and employees. He believes you must connect with your employees. 

Episode 4-Beyond the CCO Chair

In is role at K2 Integrity, Hidalgo sees problems and issues for clients through a variety of lenses. His time as a CCO gives him insight and empathy into the challenges of a CCO. His time at the Federal Reserve Bank of New York gives him insight into the regulatory mindset for financial institutions. He continues to emphasize that the buck stops with the CCO. AML compliance will only grow and continue to become more important, not simply for financial institutions but for commercial corporations going forward.   

Resources

 Gabe Hidalgo LinkedIn Profile

Gabe Hidalgo K2 Integrity Profile

K2 Integrity

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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Gabe Hidalgo, Managing Director at K2 Integrity and former CCO.

As a native New Yorker, Hidalgo was deep impacted by 9/11. He wanted to join the fight against terrorism and did so by leaving insurance defense work and moving into AML compliance. From this start, Hidalgo worked at a wide range of financial institutions, consulting firms and eventually the Federal Reserve Bank of New York, all in the AML field.

Resources

 Gabe Hidalgo LinkedIn Profile

Gabe Hidalgo K2 Integrity Profile

K2 Integrity

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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Gabe Hidalgo, Managing Director at K2 Integrity and former CCO. Hidalgo is a native New Yorker and first generation American which form a big part of how and why he eventually found his way into compliance. After law school he worked for in-house for an insurance company and later as an insurance defense lawyer. Both experiences gave him insights into the importance of language in interpreting insurance policy coverage issues and how to marshal arguments to persuade juries at trial.

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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Jonathan Kellerman, Partner at StoneTurn and former CCO at Allergan. In this final episode, Kellerman and myself look down the road for what’s next for Compliance. 

Kellerman sees compliance at a cross-roads today. He believes it needs to evolve from a critical support function while controlling the narrative on how compliance wants to define the functionality, value and relevance of the profession Compliance needs to become a real-time provider of not only compliance insights but also business performance. The compliance function needs new skill sets (new muscles) such as data analytics, digital engagement, advance adult learning and other skills to help change the tune about compliance. 

Resources

 Jonathan Kellerman LinkedIn Profile

Jonathan Kellerman StoneTurn Profile

StoneTurn

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The Compliance Life details the journey to and in the role of a Chief Compliance Officer. How does one come to sit in the CCO chair? What are some of the skills a CCO needs to success navigate the compliance waters in any company? What are some of the top challenges CCOs have faced and how did they meet them? These questions and many others will be explored in this new podcast series. Over four episodes each month on The Compliance Life, I visit with one current or former CCO to explore their journey to the CCO chair. This month, my guest is Jonathan Kellerman, Partner at StoneTurn and former CCO at Allergan. In this Episode 3, we details Kellerman’s move to the CCO chair at the company which became Allergan.

 Kellerman was recruited by Saunders, who by then had moved to the company which became Allergan. Kellerman took over as the Global Chief Compliance Officer and served on the Executive Leadership Team. He had to engage “new muscles” for both of there roles. He led the design, creation and implementation of a risk management function that brought a singular focus to ethics and accountability, while serving on the ELT.

Resources

Jonathan Kellerman LinkedIn Profile

Jonathan Kellerman StoneTurn Profile

StoneTurn

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