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Misconduct: Options (& Responsibilities) for Compliance Officers & Three Questions with Garin Bergman

What are some strategies and options for the compliance officer that is aware of misconduct occurring at their organization? This can be one of the most complicated topics that a compliance officer can face.  And there are not always a lot of good solutions.  But what options should the compliance officer consider?  And what should the compliance office expect from their organization? This week, Eric explores the answers to these questions.

Three Questions with Garin Bergman, President, Guidant Technology, LLC

Garin L. Bergman founded Guidant Technology in May 2016 after spending almost 15 years in various compliance roles.  

Prior to Guidant, he spent five years at IDEX Corporation as the Chief Compliance Officer and three years at Dover Corporation as Director Corporate Compliance where he developed formal compliance programs for thousands of employees around the world.  While at both IDEX and Dover he focused his attention in a number of areas including data privacy, getting the company Safe Harbor certified, refreshing the Code of Conduct and the global hotline, establishing an online training program, developing compliance audit programs and updating and creating a number of compliance policies.

Garin spent six years at Ingersoll Rand (IR) from 2002 – 2008 where he specialized in anti-corruption reviews and investigations as well as internal audit projects.  He worked his way up from a senior auditor to an Audit Manager while spending 18 months in Shanghai setting up the IR Asia Pacific audit department.



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