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6 Loy. U. Chi. J. Reg. Compl. 58 (2021)
Understanding Ethics and Compliance: A Practitioner's Guide to Effective Corporate Compliance Programs

handle is hein.journals/lausyco6 and id is 63 raw text is: Understanding Ethics and Compliance: A Practitioner's Guide to Effective Corporate Compliance Programs Isaac Mamaysky J.D. Thanks for taking this investigation so seriously, said the grateful witness. The manager's behavior is pretty bad. To be honest, I actually looked you up on the company directory before our meeting and saw that you're both lawyers. I'm glad our legal team is handling this. We do take these things very seriously, one of the investigators replied. But I should explain that we're not acting as lawyers today. We are both lawyers, in the sense that we're admitted to the bar, but the Ethics and Compliance Department isn't part of the Legal Department. A lot of employees think it is, but it's not. We're investigating as neutral fact finders. Ethics and Compliance doesn't actually do legal work. I'm not sure I follow, said a now-confused witness. You're both lawyers, you work in our Ethics and Compliance Department, and you're investigating a potential violation of law, but you're not acting ... as lawyers?2 To the witness' surprise, that assessment was basically correct. Ethics and compliance (E&C) professionals occupy a unique space in their companies. They are commonly attorneys, and a key part of their job is ensuring that the company and its employees comply with relevant 1 Isaac Mamaysky is a Partner in the national Employment Law and Human Resources practice of Potomac Law Group PLLC. He is also a member of the Albany Law School faculty, where he sits on the industry advisory committee for the law school's Human Resources: Law, Leadership, and Policy program. 2 This hypothetical exchange reflects the spirit of multiple internal investigations that I have conducted, while maintaining the confidentiality of each of them. 58

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