Essay Sample on Recent Compliance Problem and Enforcement Action

Published: 2021-07-21
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University of Richmond
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The term compliance refers to strict adherence or ability to act within the confines of order, set of rules or request intended for management professionals as stipulated by a state, federal, national and local authorities (Franco et al., 2010). However, compliance may be external or internal within a system. An internal compliance is part of the comprehensive adherence towards the implementation of operations policies of a nation. For instance, this study analyses an internal compliance problem occurred in trade industry in the United States. As reported by (29, 29, & 2017, 2017), an Irish national together with his co-conspirators violated legal compliance to endangered species act. As a result, they were confiscated while smuggling rhino horn libation cup. Hegarty was incarcerated and pleaded guilty awaiting charges to be pronounced against him.

The 2012mid-April failure in compliance occurred when Hegarty, a 40-year-old Irish international committed a compliance problem of failure to declare the export of rhino horn cup as required by the law to the U.S. Fish& Wildlife Services. According to the Endangered Species Act which was enacted to conserve endangered species and the ecosystem, unlawful delivery, reception, carriage, transportation or shipment of endangered species is prohibited by law(Endangered Species | Laws & Policies | Endangered Species Act, n.d.). The act includes but not limited to sell of or offer to sell endangered species of wildlife, including rhinoceros, intestate as required by the U.S. Fish & Wildlife Services act

The regulatory agency and the court acted upon the matter on mid-April 2017 where Hegarty pleaded guilty and is scheduled to receive the charges on November 14, 2017.Consequently, the confession by the accused that he in collaboration with fellow co-conspirator together with other Irish nationals were involved in unlawful possession of endangered species item. The Endangered Species Act outline maximum penalty of up to ten years imprisonment, followed by a term of supervised release of up to three years, and a maximum fine of two hundred fifty thousand U.S dollars or up to twice gross gain if found guilty. Since Hegarty and his co-conspirators pleaded guilty, he is to face the articulated fines on the set date.

My Opinion of the Recent Problem Enforcement Action

The trade industry that engages in products of endangered species of wildlife needs to meet and comply with the legal requirements as stipulated in the Endangered Species Act in the United States. Any breach of legal requirements as spelled out must be regarded as noncompliance and need to be severely prosecuted. For instance, the incidence discussed on the Iranian and his co-accusers violated the legal requirements of the Endangered Species Act by trading on the product of the endangered rhinoceros horn. It paints how corruption is a leading cause of noncompliance. The fact that they were confiscated at the airport as they were to export the product and the bidding at the hotel is a clear indication of corrupt practices in the trade industry.

The Fish and Wildlife service office of law enforcement should be looking forward to partner with the Department of Justice Environment and crime section of Environment and Natural Resource Division together with the Attorney general to crack down on the noncompliant and to lay heavy fines on such individuals to help curb such compliance lawbreakers. The concerned authority needs to tighten laws and impose heavy fines for noncompliance and widen their scope through cooperation with other law enforcement agencies to track and bring to book those found culpable

Enforcement is a necessary product of the process of authorization and supervision, in the sense that a regulator must enforce compliance with rules. Enforcement is as much about investigating, gathering and sharing information as it is about imposing penalties. Public participation and awareness on the protection of endangered species including reporting individuals who are noticed trading unlawfully on the products of or endangered species. A copy of this article may be found at the United States attorneys office for the southern district of Florida at

Section 111 step 3

GRC is a faceted term that means Governance, Risk Management and compliance aiming at ensuring reliability in the organization, addresses uncertainty achievement of objectives and integrity maintenance. Additionally, governance encompasses established processes to be executed by directors as reflected in the structure of the organization with the aim of management and goal achievement. Risk management predicts and manages risks that appear to prevent the organization from achieving is set objectives under some uncertainty. Consequently, compliance is the adherence to the set laws, regulations company policies, and procedures. Therefore, compliance is very vital and is impacting on all business.

For instance, all businesses under compliance should operate within the set rules and regulations which in turn enhance seamless service delivery, quality products or services, and good governance. Better still, in the presence of compliance, the business can meet all the requirements and objectives of the business. Initially, compliance never seemed to become an industry of its own according to my view. After going through the assignment and upon the revelation of compliance being an industry that absorbs thousands of employees in the job market, it is now clear that compliance is growing to become an industry of its own.

Some of the jobs listed at the career builder website include; Accountant, Account Executive, Auditor, Business Analyst, Finance, Analyst, Marketing Manager, IT Director, Customer Service Relations among others. Having closely examined the various available jobs and the average salary offered on each job, I would pick interest in one of the available listed jobs on the website of career builder. Having gone through excellent training in the market management, I develop the positive drive of undertaking in-depth analyses of the strength, weaknesses opportunities and threats of a global business environment with the aim of establishing adequate business strategies. Market segmentation has saturation composition of increased competition in products to be offered in the market. Since consumers would want to know better products and services, their prices and effectiveness, suppliers are interested in the market structure with the aim of establishing a competitive advantage. This knowledge is therefore required in the analysis of market structure and processes, identification of customers need and preferences leading to the development of satisfactory products.

The identification of different products for different people may be made via market analysis to maximize available resources for the benefit of the business and its customers. The attractiveness of the market is fully dependent on current and future understanding of the evolving opportunities, weaknesses, strengths, and threats. The organization may use the finding in changing the negative impression of the business, provides guidelines for the investment decision making and expansion of workforce should there be a need.

Considering salary structure, an annual average salary of $ 130,000 for a marketing manager, in my opinion, that is a fair start although I would prose a salary increment after two years based on the performance, experience, and the salary increment requirement of the U.S nation. Although there is a minimum salary required nationally, there would be room to get involved in a relevant discussion with the human resource manager. However, my general take on the annual average salary is that the salary is fair.

Compliance consideration in the modern business is important plays major roles since it reduces legal problems by decreasing the business risks of being fined, suffering penalties, lawsuits, and even shut down. When compliance requirements are not met, the business risks sanctions and even it can be rendered illegal. Compliance with the legal requirements, therefore, is important for the business today since it operates freely and without fear or threats of contravention of the law. Rules regarding discrimination help the business establish better and concussive environment for the employees leading to more productivity. Safety and security rules results into prevention of injuries, therefore, compliance in business helps in harnessing and improving operation in the business.

Compliance helps the modern business to enhance better public relations. When the legal obligations of the business met, the business can be posted on the website and thereby communicate the right information to the vast majority of employees who may then prefer the products offered by the business. Furthermore, compliance on the advertisement and in the products offers added advantage to the business on matters customer relation. The business stands a chance of higher employee retention when compliance I maintained on matters equal opportunity employment. Employees would then gain confidence, and the canvassing will leads to automatic disqualification. Upon complying with the legal framework guiding business operations on customer protection and security, the business can retain employees.

The compliance function could be approached by following the legal mandates to the latter and carrying out regular assessments on the conformity to the laws with the aim of maintaining the compliance functions. In a business where compliance is lacking, there are several loses that the business is bound to suffer. My main goal therefore as a manager will be revisiting and evaluating the business conformity to enhance the performance of the business.

Companies in the united states with more mature risks practices are better performing financially.They are associated with better decision making thus ore outstanding among the growing companies in the U.S. the companies have an advantage of enjoying scarce resources thus reducing their exposure to negative events. Sustainable development is the major goals of various companies around the world. However, this cannot be attained without compliance with

The available legal systems in the company act. Substantial investment in personnel, technology, and processes are very vital in controlling business risks which focus primarily on the financial control and regulatory compliance. Moreover, good governance and management are the key drivers of such advantages.

My Opinion of the Role of Compliance in Business

In conclusion, investments have failed to address proper investment strategies resulting in more business risks. Additionally, the risk management is not perceived as a management strategy in the enterprise resulting in little confidence in the ability to establish and address the financial impacts caused by these risks. It is therefore important to consider compliance good governance and management will help in solving such economic disadvantages associated with the businesses in the United States.


29, B. Leonardf. S., 29, 2017September, & 2017. (2017, September 29). Irish National Pleads

Guilty to Rhino-Horn Smuggling Scheme. Retrieved October 5, 2017, from Species | Laws & Policies | Endangered Species Act. (n.d.). Retrieved October 5,

2017, from E. Murphy and Joshua H. Leet, Building a Career in Compliance and Ethics: Find your

place in the Business Worlds Hotte...

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