Next-Gen Ethics and Compliance: Ana-Paola Capaldo de Aoun Builds Bridges to Get Buy-in

Being a company that has a purpose beyond profit is important not just from a values and culture perspective, but as a recruiting tool” 

Ana-Paola Capaldo de Aoun

In today’s Principled episode, Ana-Paola Capaldo de Aoun, director of ethics and compliance for Tech Data Corporation speaks with LRN’s Dr. Marsha Ershaghi Hames. Ana-Paola has been passionate about the field of compliance since she was an undergraduate student. She went on to law school and focused her research on the field, while building up a network of like-minded professionals. She has worked in compliance for her entire career, and remains proactive in seeking out mentors from which she can learn. Her focus is on creating programs that resonate across cultures and locations, working collaboratively with other business units, and ensuring the business has a purpose beyond profit. 

ABOUT ANA-PAOLA CAPALDO DE AOUN 

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Ana-Paola Capaldo de Aoun is a global compliance attorney, serving as Director of Ethics and Compliance for the Americas at Tech Data Corporation, one of the world’s largest distributors of technology products, services, and solutions and currently ranked No. 88 on the Fortune 500®. Previously, she was Associate General Counsel of Global Ethics and Compliance at Laureate Education, the world’s leading higher education provider with more than 70 universities in 25 countries across the Americas, Europe, Asia, Africa, and the Middle East.     Ana-Paola leads the Americas team and compliance efforts in the region, and is responsible for assisting with the full range of activities associated with maintaining the ethics and compliance program of the Company, with a focus on anti-corruption activities, internal investigations, and regulatory issues. She is also responsible for the implementation of a broad-ranging anti-bribery/anti-corruption compliance program, including policy development, risk assessment, training delivery, communication, controls, as well as due diligence protocols for third party agents and consultants and acquisitions. She has obtained her Leading Professional in Ethics and Compliance (LPEC) certification - the symbol of excellence, competency, and credibility in the E&C industry around the world.

WHAT YOU'LL LEARN THIS EPISODE...

  • [1:03] How did the Office of Compliance find you?
  • [1:07] During undergrad, Ana-Paola was involved in a program with the US Department of State, developing training for law enforcement officers on how to engage with foreign diplomats. She became very interested in compliance and directed her research in law school around the topic, which also naturally led to networking with attorneys practicing in compliance. She started working at a boutique firm that specialized in compliance right after graduation.
  • [3:57] How much did mentorship shape how you approached compliance?
  • [4:11] Mentorship was critical to Ana-Paola’s career, because when she started out compliance wasn’t something that many lawyers were talking about. She was very proactive in reaching out to experts in the field, in order to have mentors and bosses that were previously Chiefs of Compliance or Professors.
  • [6:24] How do you challenge some of the defensive ways that programs were set up in order to chart the next course?
  • [6:38] Ana-Paola feels an enormous responsibility to compliance as someone who has come from a different country and worked in different industries. Compliance is now focused on resonance and how it affects the work culture, as the workforce continues to change. She’s also very in touch with how you reach people in an organization, which is much more about marketing and creative than it is a legal compliance analysis.
  • [9:00] How do you scale policy and principles to a local level, especially outside the US?
  • [9:22] The first thing is understanding the business by getting out there and seeing first-hand what will resonate with your people across cultures and countries. Engaging with marketing in the business is also a great way to understand how they are reaching customers in different locales. In addition, engaging and collaborating with other business units and understanding the best medium for training in each locale are key.
  • [12:55] What are some of the areas you think that Compliance and Ethics Officers need to keep an eye on looking forward?
  • [13:22] Data analytics is critical, starting with cleaning up data and having it in a format that is digestible and can provide valuable insight for the business. Automation and artificial intelligence are also going to be important, not to eliminate entire functions but to move professionals onto high-value activities. Being a business with a purpose beyond profits will also be important for recruiting the next generation of employees. 

Don’t miss our next episode! Be sure to subscribe to Principled on Spotify, Apple Podcasts, Google Play or wherever you listen to podcasts.

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