Corporate Compliance & Investigations
A robust, well functioning, and continuously monitored and enhanced compliance program is no longer a nice-to-have. It’s a necessity. It’s fundamental to solid corporate governance. It’s essential to creating a great workplace culture that enables employees to thrive. And the government expects you to have it.
The core components of a successful compliance program
Nick has designed, implemented, and enhanced compliance programs for one of the biggest tech companies in the world and has advised clients on compliance programs as an outside counsel. He understands the core components of a successful compliance program, yet equally appreciates the need to tailor a program to integrate it without unduly burdening the business. To achieve this, Nick gets to know as much as possible about a company – its mission and priorities, its decision-makers, how it operates, and what motivates its employees. And then he crafts and tweaks a bespoke plan right for the company, its employees, and its customers or users.
In particular, comprehensive and credible internal investigations that timely respond to and mitigate allegations of potential wrongdoing are a cornerstone of a solid compliance program. As a leader of Alphabet’s and Google’s high-risk investigations and data incidents legal team, Nick handled some of the company’s most sensitive investigations. He developed company guidance for conducting best-in-class internal investigations. And he routinely advised executive and Board-level stakeholders regarding outcomes.
A balanced, respectful, and empathetic fact finder, Nick understands that every complainant needs to be heard, every witness needs to know their role, and every subject needs to be treated with respect, an open mind, and without prejudgment. Process and approach matter. And results matter – which is why Nick addresses not just the specific allegations initially raised, but is prepared to address broader issues that may come to light. This approach also prepares him to best advise companies and clients about what to do with the investigation results – and how best to present them to internal or external stakeholders as appropriate.
If your company needs guidance regarding its compliance program, an investigator to look into allegations of potential wrongdoing, training for internal investigations teams, or coaching for your executives, Nick can help.
- Thorough, efficient, fair, and respectful internal investigations into workplace concerns (including discrimination, harassment, retaliation, and bullying), business ethics (allegations of bribery, fraud, and conflicts of interest), financial fraud (insider trading, sales target manipulation, misappropriation of funds), and insider data security incidents (exfiltration or infiltration of confidential data, information access abuse, and leaks)
- Corporate culture reviews (sexual misconduct, civil rights, etc.)
- Corporate compliance program design, reviews, enhancements, and routine audits
- Internal investigation handbooks and training
- Executive or corrective action coaching
- Executive advice