Culture Is King: Strategies for Developing and Maintaining a Culture of Ethics and Compliance

Steven Ortquist, President, Arete Compliance Solutions, LLC. Marianne Jennings, Professor Emeritus, Arizona State University.

April 9, 2019

  • What is a Culture of Ethics? A Culture of Compliance? Can you measure and monitor your culture? What are red flags to watch for?

  • Who is responsible for maintaining an appropriate organizational culture? What is the compliance officer’s role? How can a compliance officer and compliance staff best work to impact and/or help others understand the importance of culture?

  • How do the concrete obligations of a CCO (e.g., to maintain a “seven elements” compliance program) relate to the creation and maintenance of an ethical culture? Who should the CCO partner with to best impact the culture of an organization?

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