RISKY BUSINESS PODCAST

Creative Risk Mitigation, Airplane Hangars, and the Sexy Side of Compliance

Valerie Charles, StoneTurn

What happens when you find a critical issue just before a multi-million dollar business deal is completed?

 

After starting her career in criminal defense, Valerie Charles, Partner at StoneTurn, transitioned in-house and discovered a passion for preventative criminal law, or as she calls it, the “sexy” side of compliance.

What’s not sexy is discovering a massive compliance risk just days before a multi-million dollar transaction is completed. That’s the situation Valerie found herself in when a partner sent a voluntary disclosure to a government agency that implicated her client. 

In this episode, Valerie sits down with hosts Adam Kaiser and Jordan Feise to share what she did next, and how working through situations like this one have led to the proudest moments of her career. 

In this episode, you’ll learn:

  • Proactive compliance requires creativity.
  • Don’t fear the data.
  • Risk management is no longer just regulatory.

What to listen for:

  • [00:39] – What’s new in compliance? With Jordan and Adam
  • [05:38] – Valerie’s “Oh shit!” moment
  • [08:53] – Navigating a client in “hot water”
  • [11:18] – Overcoming the negative perceptions of compliance
  • [14:20] – Demystifying data and technology
  • [19:03] – Why do compliance and ethics matter?

Tune in wherever you listen…