Protiviti Legal Perspectives

The Strategic Alliance of the CCO and CLO – with Michelle Oroschakoff and Kate Ring

In this special edition of the Protiviti Legal Perspectives [https://www.protiviti.com/us-en/legal-perspectives-podcast-series] podcast series, Protiviti Legal Consulting and Hedley May are joined by special guests Kate Ring, a Chief Compliance Officer, and Michelle Oroschakoff, a former Chief Legal Officer, who discuss the dynamic alliance between Chief Compliance Officers (CCO) and Chief Legal Officers (CLO) within the financial services sector and the symbiotic relationship that drives effective governance and risk management strategies within regulated industry. They address regulatory trends, emerging risks, and the role of technology in compliance. You should devote an adequate amount of resources to stay on top of what's happening. Legal will see things emerging maybe through litigation or regulatory action or customer complaints that the compliance department may not be aware of, and vice versa. Compliance may see things emerging through surveillance reports, exceptional reports that legal isn't aware of yet. Being able to share things helps both departments to identify risks and get in front of them. – Michelle Oroschakoff, Board Chair, Focus Financial If you're a lawyer on the legal team who's thought about going to compliance or you're in compliance and you're thinking about going to legal. I say, 'Go for it.' Find that opportunity and get that experience. – Kate Ring, Stash Financial

Advantages of Greater Legal and Compliance Collaboration – with Chad Volkert, Tom Giltrow and Kaitlin Kirkham-Cooper

In a rapidly evolving regulatory landscape, the integration of compliance and legal functions has never been more crucial. In the latest installment of the Protiviti Legal Perspectives podcast series, podcast host Chad Volkert and Protiviti Managing Directors Tom Giltrow and Kaitlin Kirkham-Cooper delve into how legal and compliance departments can work in tandem to navigate the complex regulatory environments of the financial services and technology sectors. Our podcast guests share their insights on optimizing workflows, defining clear roles, and embracing a unified strategy for risk management. This episode is a must-listen for professionals seeking to enhance their organizational strategy through improved operational efficiency and partnership between legal and compliance roles. Compliance and legal often partner or share responsibility, identifying legal and regulatory changes, but then where some of those handoffs occur is actually on the implementation side. Thomas Giltrow, Managing Director There isn't always that clear risk or compliance line of defense, or that second line, in technology companies that we see within financial services. Some of the ambiguity or lack of definition is really a result of there not being a ton of prescriptive regulation in the regulatory environment, at least here in the US. Kaitlin Kirkham-Cooper, Managing Director

Decoding CMMC Compliance for Government Contractor Data - with Perry Keating and Alexander W. Major

In this special edition of the Protiviti Legal Perspectives podcast series, we delve into the complexities of new data protection and cybersecurity government regulations in the defense industry with Alexander W. Major, Partner, McCarter & English, and Perry Keating, President of Protiviti Government Services. The Cybersecurity Maturity Model Certification (CMMC) was recently promulgated, unearthing the intricacies behind protecting Controlled Unclassified Information (CUI), and is poised to have rippling effects across the government and commercial contracting. Join us as we discuss: * What does this mean for your compliance program for the future? * Legal repercussions – and the potential of losing government contracts –  if found non-compliant. * The confusion surrounding CUI and its application challenges across government agencies. * Dramatic reduction in notification regulations in the event of a data breach involving government data. * A shift in focus beyond data confidentiality and privacy to ensuring data integrity resulting from a potential cybersecurity threat   Neither Robert Half nor Protiviti is a law firm and does not provide legal representation. Robert Half project attorneys and Protiviti professionals do not constitute a law firm among themselves. Organizations should consult with their own legal counsel for guidance based on their unique circumstances.

A Recipe for Excellence in the Business of Law - with Mark Smolik

“Technology will help us be better stewards of managing risk by leveraging data to tell a story… It allows businesses to see actual data and say, “Wow, if we partner with legal in a different proactive way, we can avoid some of these costs.” -Mark Smolik, General Counsel Mark Smolik, Chief Legal Officer for DHL Supply Chain in the Americas, is no stranger to the demands placed on today’s corporate legal department. A leader in the legal department, Mark serves an entrepreneurial strategist, a legal and business advisor, a technology enthusiast and a privacy and data champion. Mark sits down with Protiviti podcast host Chad Volkert to talk about his legal career and managing a major global supply chain legal department in episode #4 of the Protiviti Legal Perspectives podcast series. Neither Robert Half nor Protiviti is a law firm and does not provide legal representation. Robert Half project attorneys and Protiviti professionals do not constitute a law firm among themselves. Organizations should consult with their own legal counsel for guidance based on their unique circumstances.

Driving Legal Operations Transformation - with Kim Wolfe

“The demands on a legal department and the expectations have grown exponentially over the past decade. It's not enough to just wait for the business to come to you and give them advice. We're expected to be at the table from the outset, understanding the strategy, being active business partners, trusted advisors, and all of those things require resources, information and technology” -Kim Wolfe, Wells Fargo Legal Department In this episode, podcast host Chad Volkert, Protiviti Managing Director and Global Leader of Legal Consulting, and special guest Kim Wolfe, Head of Legal Business Management for Wells Fargo, discuss the impact of legal operations on the business and how legal executives are increasingly gaining a seat at the table within their organization. Guest: Kim Wolfe, Wells Fargo Neither Robert Half nor Protiviti is a law firm and does not provide legal representation. Robert Half project attorneys and Protiviti professionals do not constitute a law firm among themselves. Organizations should consult with their own legal counsel for guidance based on their unique circumstances.