Carrie Penman
Chief Risk & Compliance Officer
NAVEX
As one of the earliest ethics officers in the industry, Carrie Penman has been with NAVEX since 2003 after serving four years as deputy director of the Ethics and Compliance Officer Association (ECOA) now ECI. A scientist by training, she developed and directed the first corporate-wide global ethics program at Westinghouse Electric Corporation from 1994-1999.
As Chief Risk and Compliance Officer for NAVEX, Carrie leads the company’s formal risk management processes. She also oversees its internal ethics and compliance activities employing many of the best practices that NAVEX recommends to its customers.
Carrie has extensive client-facing risk and compliance consulting experience, including more than 15 years as an advisor to boards and executive teams; most recently as NAVEX’s SVP of Advisory Services. She has also served as a corporate monitor and independent consultant for companies with government settlement agreements.
Carrie was awarded the inaugural Lifetime Achievement Award for Excellence in Compliance 2020 by Compliance Week magazine. In 2017, Carrie received the ECI’s Carol R. Marshall Award for Innovation in Corporate Ethics for an extensive career contributing to the advancement of the ethics and compliance field worldwide.
Articles by the author
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22 Nov 2024 Carrie Penman
Two Individuals Distorted the SEC Office of the Whistleblower Report – and Not Just This Year
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16 Jul 2024 Carrie Penman
Unintended Consequences: Do Case Closure Time KPIs Influence Compliance Program Effectiveness?
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20 Feb 2024 Carrie Penman
Risk & Compliance as a Strategic Imperative for the Board
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21 Nov 2023 Carrie Penman
SEC Office of the Whistleblower Annual Report to Congress – 3 Things You Need to Know
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13 Feb 2023 Carrie Penman
The Whistleblower Landscape – Reporting Trend Changes May Compel Organizations to Reassess Their Programs
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13 Sep 2022 Carrie Penman
Executive Summary: 2022 Risk and Compliance Survey Benchmark Report
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31 Jan 2022 Carrie Penman
Risk and Compliance Management Includes Oversight of ESG
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17 Nov 2021 Carrie Penman
The SEC’s Record Whistleblower Reporting and Payouts Is a Wake-up Call for Organizations and Their Internal Reporting Systems
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14 Oct 2021 Carrie Penman
Misinformation, Misrepresentation and Miscalculations: The True Cost of Misguided Academic Field Research (Hoax Reports) on Company Internal Reporting Systems
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4 Aug 2021 Mary Bennett, R.Ph.
New Benchmark Report Reveals Key Risk & Compliance Insights
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16 Jul 2021 Carrie Penman
Watch Out for Hoax Reports to Your Hotline
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15 Jul 2021 Carrie Penman
ESG Ownership: Compliance, Convergence and Opportunity
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17 May 2021 Carrie Penman
Incident Management in 2021: Growth, Variation & Volatility
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19 Nov 2020 Carrie Penman
From Compliance to Risk Management to Better Performance
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30 Jul 2020 Carrie Penman
We Need to Preserve and Protect Whistleblowing in This Time of Challenge
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27 Jul 2020 Carrie Penman
DOJ Guidance: Establish an Effective Compliance Program - and Prove it with Data
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7 Jul 2020 Carrie Penman
6 Tips to Go From Disaster Recovery to Business Continuity Planning
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27 Apr 2020 Carrie Penman
Relationships are Important, Now More than Ever
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21 Apr 2020 Carrie Penman
After COVID-19, Where Was the Board?
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