Driving Compliance Excellence Through Culture

About this episode

Noreen Fierro discusses how Principal Financial Group maintains its ethics and compliance program with a focus on corporate culture.

In the highly regulated world of financial services, running a top-notch ethics and compliance program is table stakes for maintaining one's ability to do business at all. But Principal Financial Group recognizes that this goes deeper than merely abiding by regulatory expectation. By maintaining high ethical standards and reinforcing the understanding of (and adherence to) its Global Code of Conduct, related policies, and legal and regulatory requirements across the organization by delivering education, training, and conducting risk assessments, Principal has earned the coveted Compliance Leader Verification designation through 2026 from Ethisphere. In this episode, Noreen Fierro, Senior Vice President, & Enterprise Chief Ethics & Compliance Officer of Principal explains how the company maintains its best-in-class ethics and compliance program by keeping culture at the center of it. To learn more about the great work that Noreen and her colleagues are accomplishing at Principal, please visit their Governance, Ethics, & Risk page at https://www.principal.com/sustainability/governance-ethics-risk To learn more about the Compliance Leader Verification program, and to see how well…

People in this episode

Guest: Noreen Fierro

Topics covered

• ethics
• compliance
• financial services
• corporate culture
• risk management

Keywords

• ethics
• compliance
• financial services
• Global Code of Conduct
• risk assessments
• Ethisphere
• Corporate Culture

Mentioned in this episode

Organizations: Principal Financial Group, Ethisphere

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