S3:E13 | Building Your Mental Resiliency | Compliance in Context

The Securities Compliance Podcast: Compliance In Context

Welcome back to Compliance In Context podcast! On today’s show, Given the speed and complexity of rulemaking this year from the SEC, we thought we’d give you a break from the technical, and focus on a few tips on how to handle the physical and mental parts of being a compliance officer. To help guide us through this conversation, we welcome in Debbie Hennelly, founder of Resiliti and an expert on organizational resilience by creating cultures of integrity, innovation, and inclusion. In our Headlines section, we look at the recently published SEC Enforcement numbers and review the recent rulemaking on the investment adviser oversight of service providers. And finally, we’ll wrap up today’s show with another installment of History Has Your Back, where we examine the life of Eve Ball and embracing a new perspective as we enter into the season of annual compliance reviews.

Show

Headlines

• 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

Quotes

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