Deb discusses the unique leadership challenges of privacy, disclosure, and maintaining credibility while undergoing treatment. Deb, a corporate communications professional and founder of Wise Women Communications, discusses what leaders should share with boards, HR, close colleagues, and clients, emphasizing the importance of controlling the narrative to prevent rumors and coordinating with medical teams to plan around energy levels, treatment, and time away. She describes resilience as “grit,” encourages leaders to delegate and empower teams, and urges organizations to strengthen business continuity and contingency planning so no single person holds ultimate authority. Deb highlights the importance of a support “tribe,” the benefits of humor, and advises compliance professionals to listen with empathy while addressing any legal disclosure obligations.

Key highlights:

• Cancer Coaching for Executives
• Work Impact and Treatment Planning
• Resilient Leadership in Crisis
• Support Tribe and Community
• Humor as Medicine
• Compliance, Empathy, and Culture

Resources:

Deb Krier on LinkedIn

Your Cancer Coach Website 

The Business Power Hour Podcast

Innovation in Compliance is a multi-award-winning podcast that was recently ranked Number 4 in Risk Management by 1,000,000 Podcasts.

They highlight her new books, “Mastering GRC: The Lawyer’s Guide to Success in Governance, Risk and Compliance” and “The AI-Enabled Law Firm” (co-authored with Lee Denner). Carole explains she wrote “Mastering GRC” to help lawyers applying legal skills in GRC roles move from reactive problem-solvers to proactive enterprise leaders by embedding in business objectives, asking better questions, and collaborating across audit, risk, legal, and compliance. She recounts OCEG’s origins and its GRC Capability Model, certifications, and global growth. Carole discusses balancing legal oversight with business partnership, including the risks of privilege when acting in business roles. Looking ahead, she predicts rapid AI-driven change in legal practice, stressing technology and data-meaning (“semantic layer”) issues, and the need to adapt existing GRC frameworks for speed and volatility.

Key highlights:

• Why These Two Books
• From Counselor to Leader
• Integrated Governance Mindset
• How OCEG Built GRC Standards
• Oversight vs Business Partner
• Future of Legal GRC and AI
• Managing Volatility With Frameworks

Resources:

Carole Switzer on LinkedIn

OCEG

The AI-Enabled Law Firm

Mastering GRC: The Lawyer’s Guide to Success in Governance, Risk and Compliance

Innovation in Compliance, a multi-award-winning podcast, was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts.

Dr. Lall Law explains TLIF (transforaminal lumbar interbody fusion) and ETLIF, which integrates direct nerve root stimulation into reconstructive spine surgery to address persistent pain from chronically injured nerves even after decompression and fusion. Dr. Lall describes the innovation as team-driven, highlighting collaboration and detailing the regulatory path for a novel Class III device, including a feasibility proof-of-concept study, third-party data management, and an independent data and safety monitoring board. Dr. Lall outlines how compliance leaders should align with business speed while managing FDA requirements, data integrity, ethics, and risk, and he notes future impacts from neuromodulation, robotics, and image guidance.

Key highlights:

• Back Surgery Basics and Electrified TLIF Explained
• Innovation Origin Story
• Regulatory and Collaboration Hurdles
• Clinical Trials and Data Integrity
• How Compliance Can Help Innovators

Resources:

Dr. Rohan Lall on LinkedIn

Synerfuse Company Website

Innovation in Compliance is a multi-award-winning podcast that was recently ranked Number 4 in Risk Management by 1,000,000 Podcasts.

They discuss the shift from viewing AI as a tool to treating it as an operator with humans as mentors handling exceptions, and what this means for compliance, GRC, and risk management. Aravind contrasts minimum viable product (MVP) with minimum viable function (MVF), emphasizing end-to-end autonomous business functions, probabilistic performance, and continuous learning. They cover governance needs, including guardrails, policy-as-code, auditability of agent decisions, model drift monitoring, and automated “trust but verify.” Aravind provides a telecom outage-troubleshooting example with compliance notification obligations, addresses board-level AI governance using emerging standards like ISO 42001, suggests KPIs (accuracy, autonomy), recalibrates operational metrics, and introduces “context graphs” to capture decision data over time.

Key highlights:

• AI From Tool to Operator
• Compliance in the MVF Era
• Trust but Verify at Scale
• Scaling to Multi-Agent Systems
• Board Level AI Governance
• Misconceptions and Practical Next Steps

Resources:

Aravind Parthasarathy on LinkedIn: https://www.linkedin.com/in/aravindsarathy/

New Rocket Website: https://www.newrocket.com/

Innovation in Compliance is a multi-award-winning podcast that was recently ranked Number 4 in Risk Management by 1,000,000 Podcasts: https://www.millionpodcasts.com/Risk-Management-podcasts/

Nav describes building a peer-learning platform through his podcast, developing digital maturity benchmarks with organizational scorecards, and co-authoring a book on digital maturity. He outlines an AI readiness gap driven by executive imposter syndrome, FOMO-driven pressure, education and alignment gaps, and lack of roadmap, citing Gartner’s view that 89% of AI initiatives fail for reasons beyond technology, including “pilot purgatory.” Nav’s maturity approach emphasizes measuring the current state across multiple pillars, including technology, data, customer experience, leadership/strategy, and talent/culture; aligning with business outcomes; upskilling; refining; integrating with governance; tracking meaningful KPIs; and scaling responsibly. He stresses C-suite-led governance, leader engagement in change management, and maintaining customer trust through human oversight of AI-generated content.

Key highlights:

• Cracking the Maturity Code Format
• AI Readiness Gap and FEAR
• Who Owns AI Governance
• Start Small and Scale Fast
• Human AI Collaboration and Trust
• Key Takeaways for Executives

Measure Your Digital Maturity — Stop Guessing. Start Scaling.

Take the Digital Maturity Assessment to benchmark your organization, identify blind spots, and connect your digital strategy to real-world outcomes that matter.

Assess your Digital Maturity Now: https://go.navthethi.com/digital-maturity-assessment

Resources:

Nav Thethi on LinkedIn

Nav Thethi Website

Nav Thethi podcast-The NavThethi Show

Cracking the Maturity Code with Nav Thethi on YouTube

Innovation in Compliance was recently ranked Number 4 in Risk Management by 1,000,000 Podcasts.

They note West Texas shale generally needs about $60 oil to break even, making $50 oil politically and economically problematic. They explain that Venezuela’s heavy crude requires specialized extraction technology and extensive, aging infrastructure upgrades to reach the market, potentially costing billions and taking decades, with some estimates placing Venezuela’s break-even price at $80 or higher. They emphasize governance, corruption, degraded PDVSA human capital, contract enforceability, and unresolved debts (including reported $12B owed to ConocoPhillips) as key barriers, making Venezuela “uninvestible” for most majors and suggesting only high-risk players might consider entry amid unclear U.S. strategy.

Key highlights:

• Venezuela Heavy Crude Basics
• Infrastructure Rebuild Challenge
• Human Capital and Governance
• Old Debts and Legal Risk
• Government Plan or Subsidies

Resources:

Loren Steffy on LinkedIn

Stoney Creek Publishing 

Innovation in Compliance was recently ranked Number 4 in Risk Management by 1,000,000 Podcasts.

Jim Massey is a distinguished figure in risk management, known for translating complex ideas into practical strategies that empower business leaders. With a wealth of experience from boardrooms to executive sessions, he is a highly sought-after keynote speaker who enlightens audiences on how to navigate risks in high-pressure situations. Through his books, including his prior work, Trust in Action, Jim champions prioritizing and understanding risks, focusing on critical gaps and opportunities rather than attempting to address all risks equally. He is a proponent of using AI to streamline and revolutionize risk assessment processes, advocating a proactive approach in which leaders view risk as a potential driver of innovation and growth rather than merely a hurdle to overcome.

Key highlights:

• Transforming Compliance Professionals into Risk Advisors
• Adaptive Decision-Making in Uncertain Environments
• Real-time AI Risk Cards for Executives
• Embracing Risk as Catalyst for Innovation in Business
• Embracing Risk as an Innovation Catalyst

Resources:

Jim Massey on LinkedIn

Jim Massey Website

Risk in Action: The Leader’s Guide to Act with Clarity

Innovation in Compliance was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts

Sampson traces his path from commercial litigation to representing healthcare practices on HIPAA/privacy and reimbursement matters, then moving in-house at a network of plastic surgery centers, where he managed compliance focused on fraud, waste, and abuse, and on evolving out-of-network billing rules leading into the No Surprises Act. Sampson explains how compliance programs can create business value beyond risk mitigation by uncovering inefficiencies and opportunities, such as identifying downcoding in medical billing and using complaint investigations to spot growth areas. He describes how his litigation background helps him anticipate how issues will unfold over time in investigations and litigation, thereby improving his credibility with business leaders. They discuss building a culture of compliance in fast-growing healthcare organizations, tracking regulatory changes across primary and secondary sources, and leveraging AI and data analytics to detect claim outliers and strengthen compliance.

Key highlights:

• Healthcare Compliance Shift
• Fraud, Waste, and Abuse
• Compliance Creates Value
• Building Compliance Culture
• Tracking Regulatory Changes
• AI in Compliance Analytics

Resources:

Evan Sampson on LinkedIn

Post & Schell

Innovation in Compliance was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts.

Tim describes his background in banking operations automation, including large-scale digital transformation and the development of compliance products, and explains how large language models since 2023–2024 enable the automation of unstructured compliance work without extensive model training. He outlines key challenges in AML/KYC operations—15% of bank headcount tied to compliance, heavy manual repetitive investigations across multiple systems, and cultural resistance to adopting technology.

Tim emphasizes “explainability” through consistent, repeatable investigations with audit logs and screenshots that mirror human workflows, and “trust” through transparency, compliant vendor choices, and clear communication of limitations. Tim introduces Vivox compliance analyst, “Rachel,” a platform of collaborating agents that supports onboarding, customer due diligence, and false-positive reduction, improved via structured human feedback (thumbs up/down) to learn firm-specific standards.

He explains how Vivox stays aligned with evolving regulations by engaging with bodies such as the UK FCA and tracking frameworks such as the EU AI Act and Singapore guidance, with a focus on auditability and explainability. Tim predicts most compliance work will shift to AI agents, with humans handling complex cases and a new role of “compliance engineer” emerging to configure and evaluate agents, alongside industry consolidation and operating-system-style vendor platforms.

Key highlights:

• From Banking Automation to Founding Vivox AI: The Opportunity in LLMs
• What’s Broken Today: Manual Investigations, Backlogs, and Culture Gaps
• Explainable + Trusted AI: Audit Trails, Screenshots, and Transparency
• Regulators’ Top AI Concerns: Black Box, Bias, and 99% Accuracy
• Inside ‘Rachel’: The AI Compliance Analyst & Human-in-the-Loop Feedback
• The Future: Compliance Engineers, Agent “Operating Systems,” and Consolidation

Resources:

Tim Khamzin on LinkedIn

Vivox AI

Innovation in Compliance was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts.

Matt recounts his path into regulatory risk and compliance work that led to founding LogicGate and launching its Risk Cloud platform in 2015. A major focus is AI governance. Tom and Matt explore how and why senior management is asking compliance teams to provide governance frameworks despite the absence of a single standard (e.g., NIST/ISO/SOC). Matt explains organizations need scalable processes to triage and route large volumes of AI usage requests, apply guardrails based on data sensitivity and criticality, and avoid becoming a bottleneck to innovation. He emphasizes training and culture to address employee misuse, highlighting risks of exposing proprietary data and the need to define what information is acceptable to input into AI models.

The discussion turns to LogicGate’s culture and how it has been sustained during rapid, organic growth (no acquisitions). Matt outlines LogicGate’s six values: Be as One, Embrace Your Curiosity, Empower Customers, Raise the Bar, Own It, and Do the Right Thing. For evaluating AI and modernizing compliance programs, he frames value in three outcomes: making money, reducing costs, or reducing risk, and describes LogicGate’s value realization framework that translates efficiency and ROI into business terms. He also describes Risk Cloud as an orchestration layer for compliance programs and anticipates more “intentional AI” and selective use of agentic capabilities rather than fully autonomous end-to-end program execution.

Key highlights:

• From Consulting to GRC: Coding, Madoff Investigation, and Founding LogicGate
• Why AI Is Supercharging the “G” in GRC
• LogicGate’s Culture Playbook: Values That Scale with Hypergrowth
• How to Evaluate AI Tools in Compliance: Proving Value, ROI, and “Intentional AI”
• Cybersecurity in 2026: AI-Powered Social Engineering, Deepfakes, and Risk Mapping
• What’s Next for GRC by 2030: Agents, Responsible AI, and Tech as the Glue

Resources:

Matt Kunkel on LinkedIn

LogicGate

Innovation in Compliance was recently ranked Number 4 in Risk Management by 1,000,000 Podcasts.

With a rich background in Israel’s intelligence community and significant experience with cybersecurity vendors, Golan champions integrating frameworks with analytics to effectively assess and navigate risks, emphasizing governance as a vital component for sustained innovation. He advocates proactive measures to address AI-enabled insider threats, urging businesses not to wait for perfect regulatory clarity amid the fast-paced evolution of AI technologies. Golan’s holistic approach to compliance transcends mere regulatory adherence, focusing on business-driven proficiency in cybersecurity and AI to meet the dynamic demands of the business landscape.

Key highlights:

• Financial Models for AI Risk Governance
• Enhancing AI Governance with Adaptive Frameworks
• Empowering Innovation Through Strategic Governance and Compliance
• Unified Approach: AI-Cybersecurity in Enterprise Risk Management

Resources:

Yakir Golan on LinkedIn

Kovrr 

Innovation in Compliance was recently ranked Number 4 in Risk Management by 1,000,000 Podcasts.

Shah outlines his extensive professional background, including his prior roles at the SEC and DOJ. The conversation explores key developments from 2025, including the Executive Order pausing certain FCPA investigations, the Blanche Memo’s four criteria for opening FCPA cases, and the implications of revisions to the Corporate Enforcement Policy. He also analyzes the Communications Cellular enforcement action to highlight practical compliance lessons, focusing on strengthening AML controls, managing third-party risk, and deploying proactive compliance measures amid renewed anti-corruption scrutiny.

The episode concludes with a forward-looking discussion of emerging anti-corruption risks associated with advanced AI technologies, large AI construction projects, and related permitting activities, both in the United States and globally. Shah offers strategic recommendations for compliance professionals seeking to anticipate and manage these evolving risks.

Key highlights:

• 2025 as a Pivotal Year in FCPA Enforcement

• The Blanche Memo and Corporate Enforcement Policy Revisions

• Anti-Money Laundering and Third-Party Risk Management

• Large AI Construction Projects and Permitting Risks

• Global Anti-Corruption Laws and Compliance

• Key Takeaways for 2026

Resources:

Anik Shah on LinkedIn 

Sandisk

Innovation in Compliance was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts.

With over 30 years of experience in corporate branding and image consulting, Sheila shares insights on how visibility and presence can enhance trust and credibility in the business world. The discussion covers why first impressions are essential business assets, the role of visual aesthetics in professional settings, and the strategic benefits of being the CEO of one’s personal brand. Sheila also emphasizes the importance of updating personal photos and continuously evolving one’s brand to ensure it aligns with personal and professional goals. The episode offers practical advice for both men and women in various professional environments, highlighting personal branding as a critical business strategy.

Key highlights:

• The Importance of First Impressions
• Gender and Professional Presence
• The Dichotomy of In-Person vs. Online Presence
• The Impact of Casual Dress in Professional Settings
• Taking Ownership of Your Personal Brand
• Measuring Success in Personal Branding
• Sheila Anderson’s Book: ICU

Resources:

Sheila Anderson on LinkedIn

Image Power Play website

I.C.U. – The Comprehensive Guide to Breathing Life Back into Your Personal Brand on amazon.com 

Innovation in Compliance was recently ranked 4th among Risk Management podcasts by 1,000,000 Podcasts.

They take a deep dive into the critical role of AI governance, highlighting its importance for accountability and competitive advantage, and stress the need for decentralized, automated governance to ensure fair and unbiased outcomes. The discussion also covers the interplay between leadership, accountability, and culture in achieving AI success, and outlines the three primary functions of AI: customer relationships, operations, and business models. The episode emphasizes the need for execution over ambition for AI value creation and addresses how legal and compliance professionals can keep pace with the rapidly changing business environment through AI.

Key highlights:

• The Importance of AI Governance
• Distributed Governance and Compliance
• AI’s Impact on Business Models and Operations
• Decentralization and High Performance

Resources:

Download the AI Executive Whitepaper:

Text the word PLAYBOOK to 415.960.1161. 

or

Visit https://whitepaper.download/

• Websites

https://roeblingstrauss.com/

https://www.sakurasky.com/

• LinkedIn 

LinkedIn: Bill Sanders

LinkedIn: Olivia Storelli

LinkedIn: Andrew Stevens

Books:

• From Hierarchy to High Performance by Bill L. Sanders
• Hot or Hype is a podcast hosted by Olivia Storelli and Andrew Stevens

Innovation in Compliance was recently ranked 4th among Risk Management podcasts by 1,000,000 Podcasts.

Angie shares her professional background, having led the Integrity and Compliance group for the Americas at Juniper Networks before its acquisition by HPE. Key discussions include the evolving role of compliance as a strategic influencer within organizations, the intersection of ethics and integrity with ESG, and the importance of trust in building effective compliance programs. Angie emphasizes the need for compliance professionals to understand business strategy, leverage technology, and build trust to drive sustainable growth. The talk also covers the future outlook for compliance leaders and provides advice on preparing the next generation of compliance professionals.

Key highlights:

• Compliance as a Strategic Business Function
• Influence and Trust in Compliance
• Compliance as a Driver of Business Success
• Managing Reputational Risk
• Future of Compliance Leadership

Resources:

Angie McPhail on LinkedIn

Innovation in Compliance was recently ranked 4th among Risk Management podcasts by 1,000,000 Podcasts.

Cristina has an extensive background in communications, business, and practical philosophy. Cristina introduces her '10+1 Commandments', a set of ethical guidelines for human interaction with artificial intelligence. They discuss the compelling need to integrate these principles into business compliance and governance frameworks. The commandments aim to provide a high-level, universal, and perpetual moral code that addresses the risks and ethical considerations of AI in the corporate world. Cristina emphasizes the importance of maintaining ethical AI practices amidst the evolving regulatory landscape.

Key highlights:

• Philosophy in Everyday Life
• Ancient Wisdom and Modern Application
• The 10+1 Commandments Explained
• Applying the Commandments in Business
• Governance and Ethical AI

Resources:

Cristina DiGiacomo on LinkedIn

Website-10+1 

Innovation in Compliance was recently ranked the 4th podcast in Risk Management by 1,000,000 Podcasts.

Zack explains how these roles can supplement companies that lack certain expertise or can’t afford full-time positions, particularly highlighting the benefits of long-term relationships. The discussion also covers the distinctions between compliance and broader risk management, the flexibility of fractional contracts, and the importance of alignment in risk management practices across different organizational departments.

Key highlights:

• Exploring the Concept of Fractional CCO
• Long-term Benefits of Fractional Roles
• Risk Professional Services vs. Compliance
• Applications and Benefits of Fractional Roles
• Challenges and Considerations

Resources:

Gerry Zack on LinkedIn

Risk-Trek website

Innovation in Compliance was recently ranked 4th among Risk Management podcasts by 1,000,000 Podcasts.

Steph Holmes and EQS are both at the forefront of integrating artificial intelligence (AI) into compliance programs to enhance their efficiency and effectiveness. With a focus on practical applications, Holmes views AI as a crucial tool for expanding resources, especially as organizations face increasing regulatory changes and economic pressures. She advocates for the responsible, sustainable, and explainable adoption of AI, emphasizing that compliance professionals should embrace it rather than fear it. Holmes discusses the importance of blending AI capabilities with human oversight to ensure compliance tasks are managed accurately and risks are mitigated effectively.

Miller outlines his recent job transition from Google, where he was the Head of Supply Chain Compliance and Social Responsibility. He delves into the complexities and innovations of Source Intelligence, a company focused on supply chain transparency and compliance. He also talks about his book 'Guide to Supply Chain Compliance Laws and Regulations,' and highlights the growing significance of supply chain mapping due to new regulations. The conversation examines the pivotal roles of data accuracy, supplier collaboration, and AI in enhancing supply chain compliance. Miller predicts a more technical and relationship-driven future for supply chain professionals, stressing the importance of strategic partnerships. The discussion also explores four market realities that companies can't ignore, emphasizing the pitfalls of outdated metrics and manual processes. Finally, Travis shares his insights on balancing automation with human judgment to optimize compliance operations.

Key highlights:

• The Importance of Supply Chain Compliance
• Supply Chain Mapping and Regulations
• Full Material Declarations and Their Significance
• AI in Supply Chain Compliance
• The Future Role of Supply Chain Professionals
• The Compliance Playbook and Market Realities

Resources:

Travis Miller on LinkedIn

‘Guide to Supply Chain Compliance Laws and Regulations ‘

The Compliance Playbook is Broken on LinkedIn

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

They discuss her book 'Higher Ground,' its impact, and the evolution of conversations around business ethics and sustainability. Alison also shares insights about her new community on Substack, the importance of writing for clarity and communication, and the significance of sustainability in business operations. They explore the changing regulatory environment and the need for more pragmatic and inclusive conversations around sustainability. The episode concludes with Alison's thoughts on teaching ethics and sustainability, engaging with students, and the future of sustainability in business.

Key Highlights

·      Discussing 'Higher Ground' and Its Impact

·      Building a Community on Substack

·      The Importance of Writing

·      Corporate Sustainability Trends

·      Teaching and Professional Insights

·      Future of Sustainability and Final Thoughts 

Resources

Alison Taylor on LinkedIn

Higher Ground on Amazon.com

Check out my latest book Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com. 

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts. 

Our discussion centers around the integration of AI, innovation, and compliance within corporate environments. Chris and Hemma share insights about their current data analytics efforts and the transformative role of AI in enhancing compliance processes. They discuss the importance of human judgment, exploring new technologies, and creating a forward-thinking compliance culture. Audience members are encouraged to think creatively about leveraging technology to address compliance challenges and prepare for a rapidly evolving business landscape.

Key highlights:

• Current State of AI and Data Analytics in Compliance
• Challenges and Opportunities in AI Implementation
• The Role of AI in Risk Management
• Human Judgment and AI: A Balanced Approach
• Future of AI in Compliance and Business
• Future of AI Agents in Compliance

For a full replay of the Webinar, click here.

For the konaAI white paper on AgenticAI, click here.

To listen to the award-winning podcast Upping Your Game on the use of AI in a compliance program, click here.

Check out my latest book, Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

Adam and Tom address the complexities and challenges of security and compliance. Adam discusses how his journey into the compliance sector began with his efforts to achieve PCI compliance in his previous role, which illuminated a significant market gap for comprehensive compliance education and support. Driven by a passion to make compliance processes less burdensome, his vision for a comprehensive compliance-tracking company centers on delivering effective solutions that enable organizations to meet regulatory requirements with greater ease and efficiency. Through educational resources such as blogs and podcasts, Total Compliance Tracking demystifies the compliance process, helping organizations and individuals alike manage compliance responsibilities more effectively.

Key takeaways:

• Evolution from Developer to Compliance Industry Leader
• Revolutionizing Compliance Management with Bold Messaging
• Comprehensive Solution for Data Control Challenges
• Compliance Education Resources for Security and Compliance

Resources:

Connect with Adam Goslin

• LinkedIn

Connect with Total Compliance Tracking

• Website
• LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

Jason elaborates on his professional background and his decade-long journey at Oracle. He delves into the transformative role of AI in combating financial crimes, exploring how AI has evolved from predicting false positives to using behavioral models and generative AI to enhance investigation processes. Their discussion touches on AI's potential to shift from detection to prevention, the impact of real-time AML, and the significance of automating noise in compliance investigations. They also discuss the importance of regulatory relationships and the emerging challenges in risk management. The episode concludes with insights into the future skills needed in compliance roles and the critical role of corporate culture in implementing AI solutions.

Key highlights:

• AI’s Role in Financial Crime Prevention
• Proactive vs. Reactive Approaches
• AI in Investigations and Triage
• Emerging Challenges in Risk Management
• Future of AI in Compliance
• Skills for Next-Gen Compliance Officers

Resources:

Jason Somrak on LinkedIn

Oracle Financial Services

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

The discussion covers root cause analysis (RCA), the importance of creating a culture of accountability, and effective delegation without abdicating responsibility. Gina emphasizes the significance of asking open-ended, curious questions, continuous coaching, and managing up for sustained organizational success. They also touch on the role of trust, psychological safety, and clear communication in enhancing team performance and leadership practices, making it a must-listen for compliance officers and corporate leaders.

Key highlights:

• The Importance of Root Cause Analysis
• Creating a Culture of Accountability
• Effective Delegation Strategies
• Trust, Psychological Safety, and Communication
• Applying Strategies in Different Contexts
• Sustainable Leadership Practices

Resources:

Gina Cotner on LinkedIn

Athena Executive Services

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

LinkedIn

Check out my latest book, Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

Carol shares valuable insights on how compliance professionals can leverage LinkedIn to build their personal brand and gain credibility with senior management. She introduces her Brilliance Framework, which includes strategies such as leading with authenticity, utilizing the rule of three for memorable branding, maximizing digital real estate, and emphasizing the importance of engagement. Tune in to enhance your LinkedIn strategy and make a lasting impression in your career.

Key highlights:

• Building a Compliance Professional’s Brand
• Reframing Compliance Communication
• Introducing the LinkedIn Brilliance Framework
• Maximizing LinkedIn’s Digital Real Estate
• The Importance of Visuals on LinkedIn
• Engagement: The Gold of LinkedIn

Resources:

Carol Kaemmerer on LinkedIn

Carol Kaemmerer ⁠Website

LinkedIn for the Savvy Executive Second Edition

The LinkedIn Brilliance Framework™: Amplify Your Professional Presence

Tom Fox

Instagram

Facebook

YouTube

Twitter

Key takeaways:

– 🌟 The significance of recognizing employees as individuals, not just numbers. 

– 📈 Growth initiatives like SOAR and Isof that empower employees. 

– 🎉 Celebrating achievements through consistent and meaningful recognition. 

– 🌍 Aligning company goals with the United Nations Sustainable Development Goals. 

– 🤝 Ensuring client and employee cultural alignment for mutual success.

Highlights:

• The Importance of Culture in Outsourcing
• Growth and Development Initiatives
• Celebration and Community Engagement
• Client Experience and Cultural Fit
• Consistency in Culture Implementation

Connect with Outsource Access:

🔸 Outsource Access on ⁠LinkedIn⁠

🔸 Outsource Access ⁠website⁠

🔸 Brad Stevens on ⁠LinkedIn⁠

Resources:

Tom Fox

⁠Instagram⁠

⁠Facebook⁠

⁠YouTube⁠

⁠Twitter⁠

⁠LinkedIn⁠

Check out my latest book, Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from ⁠Amazon.com⁠. 

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by ⁠1,000,000 Podcasts⁠. 

Brad is the Founder and CEO of Outsource Access, to discuss the transformative power of culture in outsourcing. Brad shares his journey from a product disaster to building a thriving business with over 500 employees in the Philippines. Discover how focusing on culture before scaling people has led to Outsource Access’s success and changed perceptions of offshoring.

Key takeaways:

– 🌍 Changing perceptions of outsourcing from sweatshops to growth opportunities.

– 🤝 The importance of treating employees well to foster loyalty and growth.

– 🌟 Building a people-centric business that prioritizes culture.

– 📈 The impact of culture on business growth and client satisfaction.

– 🏆 The ten pillars of culture that drive Outsource Access’s success.

Key highlights:

• Changing Perceptions of Outsourcing
• The Journey of Outsource Access
• Building a People-Centric Business
• The Ten Pillars of Culture
• Commitment to Community and Employee Well-Being

Connect with us:

🔸 Outsource Access on LinkedIn

🔸 Outsource Access Website

🔸 Brad Stevens on LinkedIn

Resources:

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Check out my latest book, Upping Your Game: How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

Corinna shares insights about her transition from management consulting to founding her own coaching business, with a focus on leadership transformation and executive communication. She discusses the launch of her book ‘High-Stakes Communication Mastery for Leaders’ and her new podcast ‘the/SHIFT for Leaders.’ The conversation delves into effective communication strategies, building trust within teams, and the importance of self-awareness. Corinna emphasizes clarity in leadership and provides practical advice, including her ‘five by five’ reflection method to improve self-awareness and leadership effectiveness.

Key highlights:

• Leadership and Compliance
• Effective Communication and Trust Building
• Navigating Conversations on Difficult Topics
• Addressing Diverse Audiences
• Digital Leadership and Talent Acquisition
• Strengthening Compliance Communications

 Resources:

Corinna Hagen on LinkedIn

Zaradigm

High-Stakes Communication Mastery for Leaders on Amazon.com

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Check out my latest book, Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

Lori shares insights from her extensive career, highlighting key federal compliance frameworks like NIST 800-53, FedRAMP, and NIST 800-171. Lori stresses the importance of proactive compliance strategies and scalable GRC programs. As AI integration accelerates, she also addresses the challenges of adapting compliance frameworks to keep pace with technological advancements and the need to foster collaboration within organizations to effectively meet regulatory requirements.

Key highlights:

• Federal Auditing Frameworks
• Proactive Compliance Strategies
• Scalable GRC Programs
• AI and Compliance Landscape
• Future of Auditing in the Age of AI

Resources:

Lori Crooks on LinkedIn

Cadra

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Check out my latest book, Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

Meyers shares his journey from starting in IT to becoming a prominent figure in cybersecurity, privacy, and M&A security. He recounts the evolution of cybersecurity from the 1980s to the present day, highlighting key lessons learned along the way. He discusses the philosophical divide between U.S. and European attitudes toward data privacy, the importance of a cross-functional approach to cybersecurity and privacy within companies, and how emerging technologies like agentic AI are reshaping the industry. He also shares insights from his new book, ‘Privacy Snippets for the Cybersecurity Professional,’ aimed at helping professionals bridge the gap between cybersecurity and privacy. Additionally, Meyers’s passion for Comic-Con offers a unique perspective on how creativity and community engagement can inform and enrich professional practices.

Key highlights:

• Robert Meyers’ Professional Background
• Early Cybersecurity Challenges
• Evolution of Privacy and Security
• Roles and Responsibilities in Cybersecurity
• Agentic AI and Future Challenges
• Comic-Con and Personal Interests
• Advice for Aspiring Professionals

Resources:

Privacy Snippets for the Cybersecurity Professional on Amazon

Robert Meyers’ Profile on Amazon

Robert Meyers ‘on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Zwick discusses the complexities and common concerns around outsourcing under GDPR, emphasizing the importance of compliance and data protection. They explain how Emapta supports clients in achieving GDPR compliance while outsourcing, including risk assessments, data flow mapping, and maintaining secure work environments. The conversation delves into the practical aspects of handling Subject Access Requests (SARs), the integration of compliance into operational workflows, and the importance of maintaining ongoing monitoring and updates. Zwick also touches upon how ESG initiatives and compliance are seamlessly woven into Emapta’s operations, providing a sustainable approach to global outsourcing. Lastly, advice is given to business leaders on how to future-proof their outsourcing strategies in light of GDPR, encouraging them not to shy away from global talent opportunities due to compliance fears.

Key highlights:

• Company Overview and Global Operations
• Outsourcing and GDPR Compliance
• Risk Assessment and Data Security
• Subject Access Requests (SAR)
• Outsourcing Contracts and GDPR Obligations
• Integrating Compliance into Operations
• Future-Proofing Your Outsourcing Strategy  

Resources:

Connect with Inge Zwick

• LinkedIn

Connect with Emapta Global

• Website
• LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

In this episode, Tom visits with Neta about her recent transition to Diligent following its acquisition of her GRC entity Vault. Neta discusses the strategic reorganization at Diligent that underscores their commitment to compliance technology, and how this alignment bodes well for the future of their technology. She also sheds light on the integration of AI within compliance solutions, exploring its transformative impact on risk prediction, investigation processes, and operational efficiency, while emphasizing the enduring importance of human expertise in ethical decision-making.

Key Highlights

·      The Acquisition Journey

·      Role and Responsibilities at Diligent

·      AI and Compliance Technology

·      Predictive Risk and Future of AI in Compliance

Resources:

⁠Neta Meidav on LinkedIn

⁠⁠Diligent⁠

Tom Fox

⁠Instagram⁠

⁠Facebook⁠

⁠YouTube⁠

⁠Twitter⁠

⁠LinkedIn

Kapoor delves into the evolving landscape of risk management, emphasizing the importance of midyear reviews and integration of various risk themes like operational risk, audit compliance, and cybersecurity. He elaborates on the role of AI in GRC, stating how generative and agent AI can streamline compliance processes and enhance risk management strategies. The conversation also touches on the increasing significance of cybersecurity, geopolitical instability, and climate impact on risk assessment. Kapoor highlights the shift from compliance to a more resilient and risk-aware culture within organizations.

Key highlights:

• Gaurav Kapoor's Professional Journey
• The Importance of July in Risk Management
• AI's Role in GRC
• Emerging Risks and AI Applications
• Counseling Boards on Risk Management
• Top Concerns for the Second Half of 2025
• Evolving Role of Compliance and Risk Officers

Resources:

MetricStream Website and on LinkedIn

Gaurav Kapoor on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Nina shares her experiences and insights from her podcast ‘Manage Self, Lead Others,’ which has been running for six years. She elaborates on her career transition from teaching and film production to training and self-employment. Nina also introduces her new book based on her podcast and discusses effective conversation techniques, including using non-threatening language openings. She advocates for a learning culture within organizations and speaks about the importance of middle managers in fostering a productive and innovative work environment. The episode concludes with information on how to connect with Nina and access her various works.

Key highlights:

• Nina Sunday’s Podcast Journey
• Exploring Difficult Conversations
• Nina’s Professional Background
• Middle Management Challenges
• Effective Communication Techniques
• The Role of Vulnerability in Leadership
• Developing Future Leaders
• Utilizing Podcasts for Business Growth

Resources:

Visit Nina Sunday’s Website

Brain Power Training

Substack

New Book: Manage Self, Lead Others: Constructive Conversations, True Self Leadership and Culture You Can’t Fake on Amazon

Follow Nina Sunday on:

Facebook

LinkedIn

C-Suite Radio

C-Suite TV

Grab Nina Sunday’s book on Amazon

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Carty shares insights from her decade-long experience in the GRC field and offers detailed perspectives on how leaders can model ethical behavior within their organizations. The conversation dives into how Diligent helps companies assess and document leadership effectiveness and the role of AI in enhancing compliance initiatives. Carty emphasizes the necessity of leaders acting as ambassadors of culture and the impact of measurable outcomes in compliance programs. The episode also explores the integration of AI and chatbots to provide real-time compliance support to employees, ensuring efficiency and ease of access to crucial information. 

Key Highlights 

·      Importance of Tone at the Top

·      Leadership and Ethical Culture

·      AI in Compliance

·      Employee Engagement and Technology

·      Actionable Takeaways for Compliance Professionals

 Resources:

⁠Amanda Carty on LinkedIn

⁠⁠Diligent⁠

 Tom Fox

⁠Instagram⁠

⁠Facebook⁠

⁠YouTube⁠

⁠Twitter⁠

⁠LinkedIn

Dr. Cummins shares his journey from being a successful chiropractor to a professional speaker and trainer, emphasizing the importance of effective communication in corporate settings. They explore the connections between speaking, selling, compliance, and internal communication, highlighting how clear and compelling communication can foster a better corporate culture and increased engagement. Dr. Cummins also introduces concepts such as ‘invitational selling’ and the power of storytelling in business. The episode concludes with details about Dr. Cummins’ latest book, ‘Non-Professional Speaking,’ and his upcoming event, ‘Building Your Business from the Stage. ‘

Key highlights:

• Dennis Cummins’ Professional Journey
• The Importance of Communication in Corporations
• Invitational Selling Explained
• The Power of Storytelling
• The Danger of Unscripted Moments
• Building Trust Through Clear Speaking
• Upcoming Event: Building Your Business from the Stage
• Writing Non-Professional Speaking

Resources:

Non-Professionally Speaking: How Professionals Turn Small Talks Into Big Profits on Amazon

Visit Dr. Dennis Cummins’ Website

Follow Dr. Cummins on:

Facebook

LinkedIn

Link to Speaker Demo Video

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Tom and Jessica will explore the future of compliance training, covering key challenges such as cybersecurity and data privacy. They discuss the transformative role of AI in creating adaptive, targeted training and the importance of continuous and varied communication methods to drive home compliance messages. Jessica emphasizes the need for a comprehensive compliance education strategy, integrating training, communication, and culture, tailored to the diverse ways different generations consume information.

Key highlights:

• Future of Compliance Training
• Adaptive Learning and AI
• Targeted Training Examples
• Generational Differences in Training Delivery
• Importance of Compliance Culture

Resources:

⁠Jessica Czeczuga on LinkedIn⁠

⁠⁠Diligent⁠

Tom Fox

⁠Instagram⁠

⁠Facebook⁠

⁠YouTube⁠

⁠Twitter⁠

⁠LinkedIn

In this episode, Roxeanne Petraeus sits down with LaSalle Vaughn, a seasoned compliance leader and Navy veteran. They delve into Vaughn's extensive experience in scaling compliance programs for both large and small companies, emphasizing the importance of top leadership buy-in, cross-functional collaboration, and creative compliance training solutions. Vaughn shares his journey to becoming a board member, the significance of network relationships, and how his military background informs his approach to building a strong compliance culture. The discussion also highlights the unique qualities of the Ethena compliance platform and the necessity of effective customer support. Listeners gain valuable insights on effective compliance strategies and career development in the compliance field.

Key highlights:

• LaSalle Vaughn's Background and Experience
• Scaling Compliance Programs
• Getting C-Suite Buy-In for Compliance
• Cross-Functional Collaboration in Compliance
• Path to Board Service
• Military Influence on Compliance and Culture

Resources:

LaSalle Vaughn on LinkedIn

Ethena Website

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

Cotner delves into her professional background and the organic development of a strong team culture at Athena. She emphasizes the critical role of accountability as a cultural standard and provides actionable insights for leaders on how to instill this within their organizations. Key takeaways include the significance of consistency, the balance between compassion and accountability, and the role of follow-up as a leadership tool. With real-world examples and practical advice, Cotner provides a comprehensive guide to building and maintaining a high-performing, accountable team.

Key highlights:

• Gina Cotner’s Professional Background
• The Importance of Team Culture
• Accountability in High-Performing Teams
• Misunderstandings About Accountability
• Building a Culture of Accountability
• Consistency and Psychological Safety
• Follow-Up as a Leadership Tool
• Compassion in Leadership

Resources:

Follow Athena Executive Services on:

Company’s Website

LinkedIn

Instagram

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

With over two decades of experience in asset management, compliance, and regulatory affairs, Lagosh anticipates a pivotal shift towards AI and cryptocurrency regulations. She predicts a lighter enforcement landscape but stresses the importance of a conservative, informed approach to compliance, encouraging firms to future-proof their programs by staying abreast of regulatory changes and engaging in cross-team collaboration. Her insights, shared on platforms like the “Innovation in Compliance” podcast, highlight the necessity of strong leadership support and continuous learning to effectively navigate the dynamic regulatory environment, particularly in the realm of emerging technologies.

Key highlights:

• Regulatory Futurism: AI and Crypto Compliance
• “Colorado’s Groundbreaking AI Safety Legislation”
• Proactive Compliance Planning for Regulatory Changes
• Navigating Compliance Uncertainties with AI Integration
• Regulatory Insights on Safer.AI Website

Resources:

Allison Lagosh on LinkedIn

Saifr.ai

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Check out my latest book, Upping Your Game—How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

Carol shares her professional journey, from marketing communications expert to LinkedIn branding specialist. They discuss the significance of LinkedIn in today’s digital landscape, focusing on its role in establishing a professional brand, the importance of a deliberate and cohesive personal brand, and effective strategies for leveraging LinkedIn’s digital presence. Carol also elaborates on her five-point LinkedIn Brilliance Framework and the ‘rule of three’ to enhance clarity and retention of personal branding messages. This insightful conversation highlights how professionals, particularly young graduates and executives, can utilize LinkedIn to improve their careers and individual brands. Key highlights:

• The Power of LinkedIn for Branding

• Personal Branding for Young Professionals

• LinkedIn as a Professional Storefront

• The Rule of Three for Effective Messaging

• Maximizing LinkedIn’s Digital Real Estate

• The LinkedIn Brilliance Framework

Resources:

Carol Kaemmerer on  ⁠LinkedIn⁠

Carol Kaemmerer ⁠Website⁠

 Tom Fox

⁠Instagram⁠

⁠Facebook⁠

⁠YouTube⁠

⁠Twitter⁠

⁠LinkedIn

Linda shares her extensive professional journey, from serving as a CMO at notable media companies to founding LeadHERship Global. They discuss the impressive yet under-recognized contributions of women entrepreneurs in the U.S. economy, highlighting stats and trends around new business ventures led by women, especially women of color. Linda emphasizes the ongoing difficulties women face in accessing capital and offers practical steps for success, including addressing stereotypes, learning from each other, and creating supportive networks. The conversation closes with insights on how LeadHERship Global helps women thrive professionally and how men can support this movement. Linda also mentions her recent anthology, “LeadHERship Unveiled,” which features inspiring stories from women leaders.

Key highlights:

• Current Landscape for Female Entrepreneurs
• Challenges in Funding for Women Entrepreneurs
• Practical Steps for Women Entrepreneurs
• The Vision Behind LeadHERship Global

Resources:

•  Facebook
• Twitter
• Instagram
• LinkedIn

LeadHERship Website

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Walden is a prominent advocate for interdepartmental collaboration, particularly in the realm of compliance and fraud risk management. With his company specializing in AI-driven compliance solutions across diverse industries, Walden emphasizes the importance of breaking down data silos to promote transparency and improve communication among internal auditors, compliance teams, and IT departments. He views collaboration as a strategic imperative driven by data and governance, emphasizing that data should be the ultimate equalizer, thereby promoting a culture of collaboration that effectively achieves organizational goals. By leveraging shared data sources and advanced technology, Walden believes organizations can enhance their oversight, detect potential fraud, and address data privacy issues, ultimately improving their ability to prevent financial losses and maintain regulatory compliance.

Key highlights:

• Breaking Down Data Silos for Collaboration
• Enhancing Collaboration Through Data Transparency and Technology
• Unified Data Approach for Enhanced Fraud Prevention
• Advanced Fraud Detection with Machine Learning
• Proactive Monitoring for Financial Security

Resources:

Vince Walden on LinkedIn

KonaAI

Original Podcast Recording

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

 Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

Halder shares his extensive background in mobile app security, including developing the first mobile malware and presenting at prestigious conferences like Black Hat and DEF CON. The conversation covers the evolving market need for specialized mobile app security tools, the unique challenges faced by mobile applications compared to web applications, and the critical importance of integrating security early in the development lifecycle—a concept known as the ‘left shift’ approach. Halder also explores AI-powered cyberattacks and how Appknox is utilizing AI to develop defensive strategies. The discussion highlights regulatory blind spots in the US regarding mobile security, the challenges of managing mobile app security in large multinational corporations, and best practices for ensuring robust mobile app security.

Key highlights:

• Market Need and Opportunity for AppKnox
• Appknox Security Assessment of Perplexity’s Android App
• Regulatory Blind Spots in US Cybersecurity Frameworks
• Engaging with Large Multinational Companies
• AI-Powered Cyber Attacks and Defensive Strategies
• Importance of the Left Shift Approach in Mobile App Security

Resources:

Subho Halder on LinkedIn

Appknox

Appknox Resources Page

Appknox Blog: Is Perplexity AI Safe to Use? Security Flaws in the Android App

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

They chat about the intersection of compliance, risk management, and AI. Jana discusses her background in high-growth business process outsourcing and data analysis, as well as her journey to joining my company. She explains the concept of Certificates of Insurance (COIs) and their importance in managing risk for companies. The conversation examines how myCOI empowers vendors and owners to manage their insurance requirements more efficiently through the use of AI, highlighting key industry trends and the impact of AI on speed, accuracy, and user experience. Jana also discusses the future of AI in risk management and its potential to enhance employee engagement and foster a positive company culture.

Key highlights:

• Understanding COIs in Construction
• Risk Management and Insurance
• Evolution of COI Management with AI
• AI’s Impact on Vendors and Owners
• Customer Expectations and AI
• Future of AI and Company Culture

Resources:

Jana Brost on LinkedIn

myCOI

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

John shares his extensive legal background, spanning 25 years in criminal defense, and how his journey led him to write a book aimed at addressing the self-limiting beliefs prevalent in the legal profession. The conversation delves into the five lies lawyers commonly tell themselves, including the myths that constant work is necessary for success and that busyness equates to productivity. John provides actionable insights on how lawyers can overcome these lies, avoid burnout, and create a more fulfilling professional life. We also explore the importance of legacy, the concept of ‘leadership alchemy,’ and the critical role of being open to personal and professional growth.

Key highlights:

• Writing ‘Break the Law’
• The 5 Lies
• Legacy and Paying It Forward
• Leadership Alchemy and Coaching

Resources:

John Kormanik on LinkedIn

John Kormanik on Instagram

John Kormanik Coaching on YouTube

John Kormanik Website

Break the Law Intro

Burnout Proofing Tactical Guide

Edge Index Assessment

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

They discuss the importance of staying consistent with compliance programs, the role of regulatory bodies worldwide, and the practical implications of modern slavery and trade sanctions. Kristy emphasizes the need for a strategic focus on forward-looking risks and the benefits of combining Diligent's software capabilities with expertise in compliance services. They also underscore the importance of maintaining psychological safety and a speak-up culture within organizations.

Key highlights:

• The Importance of Consistency in Compliance
• The Power of Combining Compliance Services with Technology
• Strategic Focus for Compliance Officers

Resources:

Kristy Grant-Hart on LinkedIn

Spark Compliance

Visit Diligent Website

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

In this episode, Roxeanne Petraeus sits down with Catherine Choe, Chief of Staff to the Chief Legal Officer at Zendesk to discuss Choe’s unique career path leading to her current role at Zendesk. The conversation delves into compliance best practices, highlighting Choe’s insights on making training programs effective and engaging. They explore the implementation of innovative approaches like the ‘test out’ feature and the potential impact of AI on compliance. The discussion underscores the importance of a customer-centric approach and adaptability in compliance training.

Key highlights:

• Catherine Choe’s Career Journey
• Best Practices in Compliance
• Operationalizing Compliance Training
• Innovative Approaches: Test Out
• AI’s Impact on Compliance
• Feedback and Customization

Resources:

Catherine Choe on LinkedIn

Zendesk Website

Zendesk on LinkedIn

Ethena Website

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

In this episode, host Tom Fox converses with Stephanie Font, Director for Operations Optimization Group at Diligent, to discuss the ever-evolving landscape of economic sanctions, trade policies, and data privacy. Font shares insights on how businesses can stay compliant amidst rapid regulatory changes, emphasizing the importance of continuous monitoring, thorough due diligence, and understanding one’s business partners. The conversation also touches on new regulatory trends such as BIS address specifications, Mexican cartels being designated as FTOs, and the implications of the Uyghur Forced Labor Prevention Act.

Key highlights:

• Economic Sanctions and Trade Policy
• Compliance and Business Operations
• Staying Updated on Regulatory Changes
• Cartels and Foreign Terrorist Organizations
• Data Privacy and Cybersecurity
• Human Rights and Business Culture

Resources:

Stephanie Font on LinkedIn

Visit Diligent Website

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

In this episode, Roxanne Petraeus explores the intersection of compliance, technology, and AI with Ben Sperry, Deputy Chief Compliance Officer at Bestow. Sperry is a tech-driven life insurance provider that shares its journey from political science and legislative analysis to its current compliance role. The discussion delves into Bestow’s innovative approach to making life insurance accessible through technology and the challenges and strategies of implementing effective compliance training programs. Sperry highlights the importance of employee engagement and specific training tailored to different roles and departments. He also discusses the increasing significance of AI in the compliance landscape, both in terms of governance and practical application, and shares insights on using AI to enhance training effectiveness. The episode discusses the value of close vendor support and technical integration to streamline compliance processes.

Key highlights:

• Bestow’s Unique Approach to Life Insurance
• Challenges and Strategies in Compliance Training
• Leveraging AI in Compliance
• Future Trends and Final Thoughts

Resources:

Ben Sperry on LinkedIn

Bestow on LinkedIn

Bestow Website

Ethena Website

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Tom and Clint take a dive into the pressing issues of human trafficking and modern slavery and their significance to the business community. Palermo highlights his professional journey in compliance, beginning in 2018 at Diligent, and discusses the regulatory landscape across various jurisdictions, including notable laws like Canada’s S-211, the EU’s CS3D Directive, and the US’s Uyghur Forced Labor Prevention Act. The conversation emphasizes the importance of knowing third parties (KY3P), managing reputational risks, and maintaining continuous due diligence to ensure ethical business practices and compliance.

Key highlights:

• Significance of Human Trafficking and Modern Slavery
• Global Regulations on Forced Labor
• Impact of Forced Labor on Businesses
• Reputational Risks and Moral Imperatives
• Solutions and Compliance Programs

Resources:

Clint Palermo on LinkedIn

Visit Diligent Website

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

In this episode, Roxanne Petraeus visits with Lori Stahl, Chief People Officer at Synaptics Incorporated. Stahl discusses the intersection of HR and compliance training and covers the importance of a seamless, non-siloed approach to training; the challenges of staying current with compliance laws; and the benefits of using an external platform like Ethena for consistency and ease. Stahl also highlights the value of tailored, role-specific training and real-time microlearning to enhance employee engagement and effectiveness. The conversation concludes with a discussion on future innovations, including the potential of AI and adaptive learning in compliance training.

Key highlights:

• HR and Compliance Training Overlaps
• Challenges of Siloed Training
• Effective Compliance Strategy
• Choosing Athena for Compliance Training
• The Importance of Customer Success
• Future of Compliance Training

Resources:

Lori Stahl on LinkedIn

Synaptics Incorporated on LinkedIn

Synaptics Incorporated Website

Ethena Website

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Roberts shares her professional journey, including transitioning from working for a major consulting firm to becoming an entrepreneur and fractional COO. She emphasizes the importance of strategic planning, relationship building, and effective change management in achieving business success. She also highlights how fractional COOs can provide valuable expertise to visionary founders and smaller companies, ensuring operations run smoothly and effectively.

They explore the critical role of a fractional COO in supporting business growth, optimizing processes, and leveraging AI to enhance efficiency. Roberts introduces her Operations Gold Mine Framework, an eight-part process that helps businesses develop sustainable and scalable operations. Listeners will gain insights into the unique challenges and opportunities presented by the fractional COO model and practical tips for fostering resilience and creativity in the entrepreneurial space.

Key highlights:

• Roberts’s Professional Journey
• The Fractional COO Model
• Leveraging AI in Business
• CEO and COO Relationship Dynamics
• Operations Gold Mine Framework

Resources

La Tonya Roberts on LinkedIn

Harmony Consulting

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

In this episode, Roxanne Petraeus welcomes Karen Oddo, Senior Managing Counsel and Legal Compliance at Unity Technologies. Karen shares insights on Unity’s software platform, which is predominantly known for video game development, and its expansive global footprint. The discussion dives into best practices for compliance training, emphasizing the importance of user experience and personalized content to engage employees effectively. Karen highlights the significance of targeted risk-based training and the benefits of leveraging advanced analytics to improve compliance programs. With anecdotes from her experience and her value in working with Ethena’s customizable and responsive platform, Karen offers practical advice for compliance leaders looking to enhance their training efforts.

Key highlights:

• Compliance Training Best Practices
• The Importance of User Experience in Compliance Training
• Customizing Compliance Training with Ethena
• Leveraging Analytics for Targeted Training
• The Value of Strong Vendor Support

Resources:

Karen Oddo on LinkedIn

Unity Technologies on LinkedIn

Unity Technologies 

Ethena 

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Reuter shares her extensive law, compliance, and athletics background, including her journey from being a volleyball player to her professional career in the insurance industry. The discussion covers SageSure's business operations as a managing general agency (MGA) and the importance of collaboration and strategic thinking in her role. Reuter also highlights the significance of robust compliance programs in regulated industries, the implementation of the Athennian tool for corporate governance, and future growth plans, emphasizing the need for efficiency and forward-thinking in compliance and legal departments.

Key highlights:

• Reuters’ Academic and Professional Journey
• The Business of SageSure
• Lessons from Volleyball: Skills in Professional Life
• Regulatory Compliance in the Insurance Industry
• Leveraging Athennian for Corporate Governance
• Future Vision and Industry Involvement

Resources:

SageSure on LinkedIn

Kerri Reuter on LinkedIn

SageSure Website

Athennian Website

They highlight the role of psychological safety and emotional regulation. Jen shares a personal story illustrating the importance of self-awareness and self-regulation in maintaining effective communication during stressful times. She also introduced the C.A.R.E.S. framework, which provides practical tools for managing tough conversations and establishing trust. Irina Alexander, founder & CEO of the Academy of MotivAction, joins to give a call to action, emphasizing the significance of their approach to improving professional and personal relationships through enhanced communication strategies.

Key highlights:

• Understanding Communication Breakdown
• Personal Story: Handling Stressful Conversations
• The Importance of Psychological Safety
• The C.A.R.E.S. Framework for Effective Communication
• Practical Tips for Better Conversations
• Corporate Communication: Speak Up and Listen Up

Resources:

Academy Of MotivAction Website

Academy Of MotivAction on LinkedIn

Jen Hardy on LinkedIn

Irina Alexander on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

X

LinkedIn

They use the metaphor of stress 'driving the bus' to highlight the various ways unmanaged stress manifests, from irritability to substance abuse and eventual burnout. Irina also distinguishes between burnout and breakdown, noting that while burnout is cumulative stress, a breakdown is a singular event. The discussion extends to the corporate world's awareness of the costs of stress and the importance of self-awareness in improving performance and emotional well-being. Irina shares actionable steps to cultivate self-awareness and sheds light on the pitfalls of equating control with strength. She emphasizes that authentic leadership requires flexibility and adaptation. The episode concludes with a teaser for the next episode, covering emotional regulation and trust rebuilding in high-pressure situations.

Join us tomorrow, where we conclude our 3-part series by visiting with Jen Hardy on Communication, Emotional Stability & the Power of Trust.

Key highlights:

• Understanding Stress and Burnout
• Corporate Stress and Productivity
• Self-Awareness and Emotional Wellbeing
• High Performers and Burnout Indicators
• Personal Rituals for Grounding

Resources:

Academy Of MotivAction Website

Academy Of MotivAction on LinkedIn

Jen Hardy on LinkedIn

Irina Alexander on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

X

LinkedIn

We take a deep dive into the costs and impacts of high-stress professions. They discuss the universal toll of pressure in male- and female-dominated fields, the detrimental effects of hustle culture, and how societal norms often glamorize overworking. Jen and Irina emphasize the importance of self-awareness, emotional regulation, and the need for proactive care. They share personal anecdotes and professional insights on mitigating the negative impacts of stress, providing practical and neuroscience-based strategies through their CARES program. The discussion aims to destigmatize seeking help and promote healthier, more sustainable work habits.

Join us tomorrow where we discuss Tactical Resilience: How Awareness & Self-Mastery Shape Performance.

Key highlights:

• The Hidden Costs of High-Pressure Jobs
• Hustle Culture and Its Impact
• Addressing Shame and Guilt in High-Stress Professions
• The Importance of Rest and Recovery
• Personal Experiences with Stress and Health
• Proactive Care and Stress Management
• Challenging Deep-Seated Beliefs

Resources:

Academy Of MotivAction Website

Academy Of MotivAction on LinkedIn

Jen Hardy on LinkedIn

Irina Alexander on LinkedIn

Tom Fox

Instagram

Facebook

YouTube

X

LinkedIn

They discuss their professional backgrounds, the founding of ModeOne, and their solutions to common challenges in data collection for compliance purposes. The conversation covers the shift from full data extraction to targeted data collection, navigating the complexities of encrypted communications, and the evolution of cloud compliance and AI integration. Key takeaways include the importance of targeted data collection, the use of AI in compliance monitoring, and strategies for balancing data privacy and protection.

Key highlights:

• Founding ModeOne: The Journey
• Innovation in Compliance and Cybersecurity
• Role of the Chief Innovation Officer
• Risk Management Frameworks
• Future of Cloud Compliance and AI
• Top Action Items for Compliance Officers
• Preparing for the Future: 2030 and Beyond

Resources

Matt Rasmussen on LinkedIn

Ryan Frye on LinkedIn

ModeOne Technologies in LinkedIn

ModeOne Website

Mobile Device Data Collection: What You Need to Know in 2025

ModeOne News

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Coni discusses her extensive background, including her time as a FEMA inspector and trainer, and how it led her to her current mission of educating communities on disaster resilience through her initiative, Be Prepared Be Ready. The highlight of their conversation is Coni’s Kits for Kids initiative, which empowers young people to become spokespeople for emergency preparedness in their communities, thereby addressing broader concerns, including mental health and sustainability. Throughout the episode, Coni emphasizes the importance of local community involvement and innovative solutions in disaster preparedness and sustainability, making a strong case for proactive measures to mitigate the impacts of increasing climate-related disasters.

Key highlights:

• The Importance of Crisis Preparedness
• Kits for Kids Initiative
• Community and Organizational Collaboration
• Preparedness and Sustainability in Business
• Innovative Solutions for Disaster Resilience
• Kits for Kids: Spokesperson Campaign

Resources:

Coni Meyers on LinkedIn

Coni Meyers on Instagram

Coni Meyers on Facebook

Be Prepared Be Ready

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Nikki shares her professional background and foray into NLP and how it transformed her communication skills, leading her to start her own business, Sales Maven. We cover key insights on simplifying the sales process using strategic conversations and frameworks like the ‘Selling Staircase’ and debunking common misconceptions about sales. Nikki emphasizes the importance of building rapport and permission-based selling, making the process more collaborative and less daunting for sellers and buyers.

Tom and Nikki also touch upon the importance of storytelling in making content memorable and techniques for scaling businesses by training teams to recognize buying signals and create curiosity. Whether in the corporate world of compliance or an entrepreneur looking to scale your business, this episode offers valuable strategies that can be applied across various fields. Don’t miss Nikki’s gift—a free training course on asking the right questions in sales calls, available through her website.

Highlights include:

• Exploring NLP and Sales Techniques
• The Selling Staircase Framework
• Building Relationships in Sales
• Positioning Yourself as a Solution Provider

Resources:

Nikkie Rausch on LinkedIn

Your Sales Maven

Free Training called Seal The Deal

Your Sales Maven Podcast

The Selling Staircase: Mastering the Art of Relationship Selling

Your Sales Maven Facebook & Instagram

Tom Fox

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Christine shares her extensive background as a legal executive and outlines her current work in advising general counsels on governance and sustainability issues at her consulting firm, CURI Insights. Christine emphasizes the importance of a cross-functional committee to oversee AI governance and highlights AI technology’s rapid evolution and inherent risks. The episode also covers the implications of the EU AI Act, the urgency of building AI literacy, and the challenges of managing AI risks in a dynamic regulatory landscape. As AI continues to evolve at a breakneck pace, Christine offers practical advice on how companies can keep up and ensure robust governance frameworks are in place to mitigate risks.

Key highlights:

• AI Governance and Compliance
• AI Governance in 2025
• EU AI Act and Its Implications
• Building AI Literacy in Compliance
• Future of AI and Compliance

Resources:

Christine Uri on LinkedIn

Allie K Miller

Luiza Jarvosky

Hard Fork podcast

CURI Insights

Tom Fox

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Alyssa founded SuccessBridge, LLC, to offer tailored solutions that bridge strategic and tactical needs for diverse organizations. Her approach is centered on understanding each client's unique situation and embedding herself with their teams to ensure that the solutions provided are both effective and sustainable. Alyssa views every challenge as an opportunity for growth, emphasizing the importance of effective communication and collaboration to navigate workplace changes successfully. Through SuccessBridge, LLC, she aims to empower organizations to build strategic people processes and develop digital upskilling programs, thereby driving transformation and fostering continuous improvement and adaptability.

Key highlights:

• Strategic Team Building Solutions by SuccessBridge
• Cultural Alignment Through Hiring Touchpoints
• Navigating Complexities in Workplace Technology Implementation
• Strategic Flexibility: Navigating Dynamic Organizational Changes
• Custom Solutions Through Embedded Team Approach

Resources:

Alyssa Borden on LinkedIn

SuccessBridge, LLC 

Tom Fox

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Sean discusses his professional journey, emphasizing lessons from his military service, such as the importance of recognizing bad leadership, discipline, patience, and service. He further delves into his podcasts and books, focusing on resilience, leadership, and business positioning. Highlighting key concepts like gratitude, transformational leadership, and overcoming self-defeating behaviors, Sean provides actionable insights for corporate compliance officers and executives. This episode is packed with practical advice on building a supportive workplace culture, creating positive work environments, and achieving long-term success through values-based goals.

Key highlights:

• Resiliency and Leadership Insights
• Military Service Lessons
• Resilience and Mental Health
• Transformational Leadership
• Business Positioning and Category Design
• Values-Based Goals and Compliance

Resources:

Sean Douglas on LinkedIn

The Success Corps

Tom Fox

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Jeff shares the evolution of the support group, which now boasts over 1,300 members and focuses on providing spiritual and emotional support to those navigating the white-collar criminal justice system and their families. Jeff discusses the importance of community and the group’s diverse membership, which includes individuals from various backgrounds affected by white-collar crime. He also highlights the group’s expansion into advocacy work, including initiatives for federal pardon and expungement reform and the right to banking for formerly incarcerated individuals. Jeff reflects on his journey through addiction, incarceration, and redemption, emphasizing his commitment to helping others through similar struggles. The episode concludes with ways for listeners to engage with Jeff and support his impactful work.

Key highlights:

• White Collar Support Group Overview
• Diversity and Evolution of the Group
• Family Support and Integration
• ABA White Collar Conference and Legal Assistance
• Federal Pardon and Expungement Reform
• Right to Banking Initiative
• Personal Journey and Reflections

Resources:

Jeff Grant on LinkedIn

Grant Law

White Collar Support Group

Tom Fox

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Their discussion begins by examining the transformative impact of Neuro-Linguistic Programming (NLP) and other self-discovery tools on their personal and professional lives. They further explore their CARES approach, which stands for Communication, Awareness, Resiliency, Emotional Literacy, and Self-Mastery, designed to help high-stress professionals, including first responders and corporate workers, manage stress, prevent burnout, and build resiliency. Irina and Jen share their journey from being educators and entrepreneurs to founding the Academy of MotivAction and the programs and initiatives they offer designed to foster better communication, stronger relationships, and overall well-being in high-stress environments.

Key highlights:

• Jen Hardy’s Journey: From Educator to NLP Expert
• Irina Alexander’s Background and Meeting Jen
• Understanding the Cycle of Overcommitment
• The CARES Approach for First Responders
• Expanding CARES to Corporate and High-Stress Environments

Resources:

Jen Hardy on LinkedIn

Irina Alexander on LinkedIn

The Academy of MotivAction

Tom Fox

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Kris shares her journey from starting as a paralegal to becoming a prominent figure in financial education, particularly focusing on living trusts and safe money strategies. She provides valuable insights into how individuals can ‘crash-proof’ their finances using tools like equity index annuities and index universal life policies. Kris underscores the importance of early financial planning and debunks myths surrounding investments, emphasizing the need for safe and sustainable financial practices. She also touches upon the significance of living trusts and asset protection in traditional estate planning. Kris’s mission is to educate millions on healthy money strategies, especially amidst current financial volatility. Kris discusses her podcast ‘Money 9-1-1,’ which covers health, wealth, and peace of mind, and her book ‘Ready for PREtirement: 3 Secrets for Safe Money and a Fabulous Future.’

Key highlights:

• Mission to Educate on Financial Strategies
• Living Trusts and Asset Protection
• Insurance as an Investment Tool
• Long-Term Health Care Solutions
• Social Media Outreach and Podcast

Resources:

Kris Miller on LinkedIn

Money 9-1-1 Podcast

Ready for PREtirement on Amazon.com

Tom Fox

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Sam elaborates on the essential role of a Chief Culture Officer who collaborates with the CEO to establish a culture by design rather than by default. This service allows organizations of all sizes, from those with 24,000 employees to those with just 26, to benefit from their extensive expertise in developing and maintaining a high-performance culture. Sam emphasizes the importance of leadership in driving culture and shares how a fractional chief culture officer can provide the necessary support and tools to ensure that the organization’s values and culture are consistently upheld across all levels. The episode delves into the practical aspects of working with different sizes of organizations, the importance of continuous cultural assessment, and the role of leadership in fostering a sustainable, high-performance culture.

Key highlights:

• Introducing the Fractional Chief Culture Officer
• Defining the Role and Importance of a Chief Culture Officer
• The Continuous Nature of Culture Management
• Tailoring Services to Client Needs

Resources:

The Accountability Institute

Sam Silverstein

Tom Fox

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In this episode, Tom is in a riveting conversation with Mike Whitmire, Co-founder & CEO at FloQast. They dive into Mike’s professional journey, starting from his early days at Ernst & Young, navigating the complexities of Sarbanes-Oxley (SOX) compliance, and eventually founding FloQast. Mike shares his firsthand experiences with the challenges in accounting and compliance, such as the talent gap and behavior change within organizations, and explains how FloQast’s closed management and compliance software addresses these issues. The discussion deeply delves into risk orchestration and its critical role in modern compliance strategies.

Additionally, Mike provides insights into his passion for podcasting and touches on his book, ‘Shift Happens,’ co-authored to highlight the rise of the operational accountant. The episode wraps up with a focus on FloQast’s innovative solutions that integrate daily accounting tasks with compliance requirements, thus simplifying processes for finance professionals. Tune in to hear how a common pain point in the accounting world led to the creation of a transformative software solution.

Key highlights:

• Challenges in Accounting and Compliance
• Risk Orchestration and Compliance
• Mike’s Podcast and Book

Resources:

Mike Whitmire on LinkedIn

FloQast

Purchase Shift Happens on Amazon.com.

Tom Fox

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Tom and Todd have too much fun, deep-diving into the intricate relationship between missed bonuses and ethical decision-making in a corporate environment. They discuss how unmet expectations around bonuses can lead to the rationalization of unethical or illegal behavior by employees. They emphasize the importance of managers understanding the broader implications beyond economic incentives, as ignoring these psychological factors can introduce significant risks to an organization. They also talk about the Institute for Corporate Governance and Ethics. Tune in to hear two top commentators talk about financial and other incentives in compliance and how these dynamics can affect overall corporate compliance. Learn strategies to mitigate associated risks.

• Understanding Behavioral Ethics in Business
• Impact of Missed Bonuses on Ethical Decision Making
• Rationalizing Unethical Behavior
• Perception of Company Care
• Potential for Unethical or Illegal Behavior
• The Institute for Corporate Governance and Ethics

Resources:

Todd Haugh on LinkedIn

Indiana University-Kelley School of Business

Institute for Corporate Governance and Ethics

Todd Haugh at Kelley School of Business

Tom Fox

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Pat discusses his transition from the military to civilian life, the creation of Chart House Solutions, and his role in guiding clients through professional and personal challenges. He introduces the EC3 principle for talent retention—expectations, communication, commitment, and consistency, drawing parallels from his military service to corporate environments. He also highlights the importance of structured training and the concept of ‘falling forward’ in professional development. He discusses the Lego Serious Play method, emphasizing the role of serious play in improving corporate settings and engagement. Pat stresses that coaching at all organizational levels fosters effective leadership and a sustainable company culture.

Key highlights:

• Pat McNeil’s Professional Background
• The EC3 Principle for Talent Retention
• Lego Serious Play Method in Corporate Training
• Falling Forward: Embracing Failure in Professional Development
• Training with Purpose: Driving Culture and Engagement
• The Importance of Coaching in Professional Development

Resources:

Pat McNeil on LinkedIn

Chart House Solutions

Tom Fox

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Sage and Scott offer compelling perspectives on the role of artificial intelligence in compliance. Sage views AI as a tool to augment human capabilities, enabling compliance professionals to process large volumes of information swiftly and focus on strategic decision-making, provided the AI tools are built on trusted data sources. Meanwhile, Scott highlights AI’s potential to enhance compliance programs by reducing false positives, improving risk management, and offering real-time regulatory insights, which can make compliance efforts more efficient and proactive. Both experts agree that AI’s integration into compliance streamlines processes and empowers professionals to address compliance challenges with greater confidence and foresight.

Key highlights:

• The Superpower of AI in Compliance
• Enhancing Compliance Processes with AI
• Proactive Compliance Measures with AI Technology
• AI-Powered Compliance Strategies for Risk Prevention

Resources:

Sage Franch on LinkedIn

Scott McCleskey on LinkedIn

RuleBook.ai

Tom Fox

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Stephan discusses his journey from Austria to running businesses across Europe and the United States and shares insights into his work with major corporations like Siemens, Toyota, and Volkswagen. The conversation highlights the importance of employee engagement, compliance, and corporate culture in driving productivity and ethical business practices. Stephan explains the dangers of disengaged employees and emphasizes the need for companies to create environments that foster engagement and loyalty.

Stephan also delves into the differences in corporate wellness practices between Europe and the United States and how cultural factors influence employee engagement and compliance. He shares his CHC process for assessing and improving corporate health, which involves gathering employee feedback and implementing changes across three dimensions: personal responsibility, leadership development, and process optimization. Stephan believes companies can enhance employee and organizational performance by focusing on these areas, ultimately making them more competitive in the marketplace.

Key highlights:

• Stephan’s Background and Career Journey
• Corporate Engagement and Compliance
• The Impact of Disengagement
• Cultural Differences in Corporate Wellness
• Employee Engagement Strategies
• Consulting Process and KPIs

Resources:

Stephan Poschik on LinkedIn

Corporate Health Consulting GmbH

Corporate Health Consulting & CHC Franchise LLC 

Tom Fox

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Brad shares his journey from engineering to coaching, emphasizing the shift business owners need from service delivery to managerial roles as their companies grow. The discussion covers the complexities of leadership evolution, the impact of AI on professional services, and strategies for scaling and potentially selling a business. Brad provides practical advice on managing client relationships, mentoring emerging leaders, and navigating the intricacies of corporate transitions. Tune in to gain valuable insights on personal and business growth, whether you are an entrepreneur or a compliance professional.

Key highlights:

• Challenges in Leadership Transition
• Dealing with Client Expectations
• Mentorship and Leadership Development
• Mastermind Groups Explained
• Preparing for Business Acquisition

Resources:

Brad Farris on LinkedIn

Anchor Advisors

Tom Fox

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Colin shares his journey from banking and finance law to in-house compliance roles, eventually co-founding CompliSun, an AI-enhanced compliance management system. Colin discusses his experience handling regulatory challenges, building compliance programs from scratch, and innovating within fintech. He also delves into his book ‘Unleashing Innovation: Compliance Strategies for FinTech Disruptors,’ which offers practical guidance for compliance professionals. Additionally, Colin explores his dual passion for art, explaining how being an artist has contributed to his mental well-being and professional success. Listeners will gain valuable insights into integrating AI in compliance, effective training techniques, and the importance of creating a strong compliance narrative for regulators.

Key highlights:

• Colin Darke’s Professional Journey
• Authorship and Book Insights
• CompliSun: AI-Enhanced Compliance
• Regulated vs. Non-Regulated Industries
• AI Revolution in Compliance
• Art and Compliance: A Unique Intersection

Resources:

Colin Darke on LinkedIn

CompliSun

Unleashing Innovation-Compliance Strategies for Fintech Disruptors

Tom Fox

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Christian discusses his journey from initially supporting the Navy and Marine Corps to founding Actfore, a company focused on automating breach notifications using onshore software powered by patent-pending AI technologies. The conversation delves into how Actfore simplifies breach notifications and the impact of AI and machine learning in improving speed, precision, and data security in incident responses. Christian also speaks on the importance of unified risk management, future data governance trends, and the regulatory requirements for data transfers between the US and EU. This episode offers valuable insights into leveraging data mining to enhance compliance and cybersecurity measures.

Key highlights:

• Automation and Innovation in Data Breach Response
• AI and Machine Learning in Data Mining
• Compliance and Data Governance
• Reverse Domino Effect in Incident Response
• Future of Data Mining and Risk Management

Resources

Christian Geyer on LinkedIn

Actfore

Tom Fox

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The two Toms delve into specific risks unique to car dealerships and how to manage customer and employee relations to avoid regulatory problems effectively. Kline shares his extensive experience from almost 35 years in the industry, detailing strategies like proactive online reputation management and creative contractual clauses designed to preempt legal issues from customer disputes. They also discuss the complexities of insurance policies in the automotive sector and the importance of understanding coverage as a risk mitigation tool. Kline introduces ‘Tuck the Octopus,’ a metaphor for handling the multifaceted challenges dealerships face, emphasizing customer service’s importance in fostering long-term loyalty.

Key highlights:

• Key Risks in Automobile Dealerships
• Managing Customer and Employee Complaints
• Upstream Risk Management
• Tuck the Octopus: A Creative Solution
• Service Aspect of Dealerships

Resources:

Tom Kline on LinkedIn

Better Vantage Point

Tuck the Octopus

Tom Fox

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Rui discusses innovative measures in client-side security and PCI DSS compliance, his professional background, and the significance of the PCI DSS Version 4 update in enhancing client-side environments, mainly focusing on controlling third-party vendors to prevent unauthorized data access. The discussion outlines the strides taken in making transactions secure and offers insights into the broader implications of data privacy and compliance trends. Listeners will gain a comprehensive understanding of the intersection between technology and compliance in the context of data security alongside the evolving regulatory landscape.

Key highlights:

• Exploring Client-Side Security and PCI DSS Compliance
• The Importance of PCI DSS Version 4
• Challenges and Solutions in Client-Side Security
• Jscrambler’s Role and Customer Engagement
• Future of Client-Side Security and Compliance

Resources:

Rui Ribeiro on LinkedIn

Jscrambler

Tom Fox

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They discuss the often-overlooked aspects of compliance in direct marketing business. Anik shares his remarkable journey from being an online marketer for over two decades to facing a civil investigative demand from the FTC just as he was about to sell his company. This life-altering experience led him to focus on marketing compliance, creating AI-powered software, a podcast, a book, and an academy aimed at helping businesses market compliantly while still achieving high conversion rates. The episode delves into the complexities of FTC, SEC, and FINRA regulations and provides actionable insights into maintaining compliance to avoid legal pitfalls.

Key highlights:

• The Turning Point: FTC Investigation
• Lessons Learned and New Mission
• Understanding FTC Marketing Compliance
• The Pentagon of Compliance
• The Importance of Substantiation in Marketing
• The ‘Don’t Say That’ Podcast

Resources:

Anik Singal on LinkedIn

Complily

Don’t Say That podcast

Tom Fox

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In this episode, Tom Fox has an enlightening discussion with John Sun, CEO of Spring Labs, sponsor of this podcast, as they delve into the transformative impact of AI on compliance in the financial sector.

John shares his journey from a Chief Risk Officer at Avant to leading Spring Labs, an AI company focused on creating innovative compliance tools for financial institutions. The episode explores the significant gap in existing compliance tools and the company’s contributions to making compliance processes more efficient and adoptable. They cover the challenges faced by compliance professionals in communicating the value of these tools to quantitative-oriented stakeholders and highlight how AI-powered solutions like Zanko ComplianceAssist, Agent Assist, and Customer Assist are enhancing efficiency and accuracy.

Additionally, the conversation touches on how AI is being used to convert unstructured conversational data into actionable insights, leading to better business decisions and process improvements. This episode offers valuable insights for financial institutions aiming to use customer feedback as a strategic resource and emphasizes the growing importance of AI in compliance and data management.

Key Highlights:

• The Genesis of Spring Labs
• Strategic Value of Compliance Management
• Leveraging AI in Compliance
• Streamlining Customer Service with AI
• Leveraging Data for Business Efficiency
• AI’s Role in Structuring Data
• Future of AI in Compliance

Resources:

John Sun on LinkedIn

Spring Labs

Tom Fox

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In this episode, Tom welcomes Monica Goyal, the Vice President for Legal Innovation and Lawyer at Caravel LLC and Briefly LLC, to explore the transformative potential of technology in the legal industry.

Monica has a non-traditional journey to the legal profession, beginning with her educational background in electrical engineering and firsthand experience in Silicon Valley. From this perspective and after law school and work in the legal field, she observed multiple process inefficiencies. She discusses how advanced technologies like generative AI and data analytics can address these inefficiencies, improving corporate governance, contract management, and the overall delivery of legal services.

Monica highlights the importance of legal innovation officers in law firms and the role of Caravel Law’s unique model in providing backend support to legal professionals, allowing them to escape administrative tasks and focus on core legal work. She also touches on the innovative concept of fractional in-house counsel, which serves businesses needing more support than external counsel without the full expense of a general counsel. Listeners will gain insights into the growing necessity for legal tech skills and the benefits of tools such as Athennian for document automation. Monica underscores the value of emerging technologies and encourages further exploration of resources like Caravel and Briefly for legal professionals.

Key Highlights:

• Monica Goyal’s Unique Journey into Law
• Innovations in Corporate Legal Departments
• Communicating Tech Solutions to Legal Professionals
• Caravel’s Unique Business Model
• Management with Athennian

Future of Legal Tech and Data Analytics

Resources:

Monica Goyal on LinkedIn

Caravel LLC

Athennian

Tom Fox

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In this episode, Tom welcomes Christy-Ann Jordaan, a Paralegal with extensive experience in the commercial real estate sector.

Christy discusses her career journey, starting from her early days in law firms to her current role at BOSA Properties in Vancouver. She elaborates on the evolution of technological solutions in the legal field, emphasizing the benefits of automating manual tasks and enabling self-service information access. Christy highlights how these innovations have improved efficiency, reduced workload, and enhanced service quality. She shares insights into the implementation of Athenian, a digital solution for managing corporate records, which has transformed their operations by centralizing data and enabling secure access. Looking ahead, Christy is excited about future tech advancements, including AI-powered corporate record management. Listeners are encouraged to connect with her on LinkedIn or explore BOSA Properties’ website for more information about the company’s endeavors.

Key Highlights:

• Christy’s Professional Journey
• Technological Evolution in Legal Work
• Athenian Solution: A Game Changer
• Future Tech Solutions and AI

 Resources:

Christy-Ann Jordaan on LinkedIn

Bosa Properties

Athennian

Tom Fox

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In this episode, Tom welcomes Tina Grubisa, Industry Consultant, Fund Operations at Athennian, to discuss how Athennian can help to drive a culture of governance at your organization.

In this episode, Tina Grubisa discusses her career transition from finance to a tech startup, ultimately landing at Athennian as a Fund Operations consultant. Athennian, a cloud-based entity management platform, is known for aiding private equity, law firms, and corporations in automating compliance tasks and enhancing corporate governance. The conversation covers Athennian’s value proposition in the market, focusing on its innovative use of AI to evolve from a system of record to one of engagement and intelligence. Tina highlights Athennian’s role in helping clients stay ahead of regulatory demands, such as the SEC’s private fund rule, and building a culture of governance within an ESG framework. Additionally, the platform’s user experience and customer feedback are integral to its ongoing innovation process. Tina also explores future trends in governance and compliance, emphasizing the increasing importance of transparency and the potential impact of AI by 2030.

Key Highlights:

• Building a Culture of Governance
• Corporate Trends and AI in Governance
• Future of Workflow Platforms
• Advice for GRC Professionals Going Forward

Resources:

Tina Grubisa on LinkedIn

Athennian

Tom Fox

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In this episode, Tom welcomes back Evie Wentink to discuss the importance of rethinking ethics and compliance practices.

Evie shares insights from her recent LinkedIn articles on best practices for ethics hotlines and the importance of finding creative ways to engage employees in compliance topics. She reads a whimsical Dr. Seuss-inspired piece on reaching ethics hotlines and emphasizes the need for compliance messaging to be approachable and engaging. Additionally, Evie discusses the challenges compliance professionals face with limited budgets and offers practical solutions such as leveraging LinkedIn for networking and creating low-cost, effective compliance awareness tools.

The conversation also touches on the significance of changing the narrative around ethics and compliance for younger generations. Evie shares her experiences discussing compliance with her children and highlights the need for better education in schools to prepare future employees. She concludes by mentioning her new website, Ethical Edge Experts, and various platforms she’s using to spread compliance awareness. Tom and Evie agree on the necessity of continuous dialogue and innovation in the compliance field.

Key Highlights:

• Rethinking Compliance Practices
• Creative Messaging for Ethics Hotlines
• Leveraging Low-Cost Resources
• Engaging Managers in Compliance

Resources:

Evie Wentink on LinkedIn

Evie’s Top 10 Compliance Back to Basics

Tom Fox

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Emphasizing the importance of active listening, Shultz shares the significance of listening again before advising, to foster a collaborative partnership with business teams. Forming personal connections is highlighted, particularly through face-to-face interactions with investment teams, which helps in understanding different personas and building strong relationships over time. Our discussion also touches on the evolving role of data analytics in the compliance field, stressing its criticality in managing global data and mitigating risk in today's super funds landscape. This episode is a must-listen for anyone aiming to step into or advance within the compliance profession.

Key Highlights

·      Introduction to Compliance Professional Skills

·      The Importance of Listening and Advising

·      Building Strong Relationships

·      The Role of Data Analytics in Compliance

Resources

Greg Shultz on LinkedIn

Tom Fox

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In this episode, Tom welcomes back, Travis Howerton, a co-founder of RegScale, the sponsor for this episode, to take a deep dive into automating compliance solutions for the digital transformation of compliance.

Howerton advocates for the integration of automation in compliance to keep pace with rapid technological advancements, thereby maintaining competitiveness and efficiency. Through digitizing regulations by using the latest standards and forming strategic partnerships, Howerton and RegScale are transforming traditional compliance from a manual, burdensome task into an automated, streamlined process, thereby redefining the role of compliance professionals as key contributors to secure and innovative operations.

We discuss the three pillars of cybersecurity: confidentiality, integrity, and availability. While much focus is placed on safeguarding confidentiality to protect sensitive information, the speaker highlights that integrity issues pose a significant threat, particularly in sensitive industries like healthcare and critical infrastructure. Compromised integrity can lead to dire physical consequences, making it the most concerning aspect of cybersecurity.

Key Highlights:

• Introduction to Cybersecurity’s Three-Legged Stool
• Focus on Confidentiality in Cybersecurity
• The Critical Importance of Data Integrity
• Real-World Implications of Integrity Issues
• The Sleepless Nights of a Cybersecurity Analyst

Resources:

Travis Howerton on LinkedIn

RegScale

Tom Fox

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In this episode, Tom welcomes Stuart Breslow, a member of the Board of Directors at STAR Compliance., who takes a deep dive into the evolution of tech solutions for compliance.

Breslow has had extensive journey in compliance, including professional roles at Morgan Stanley, Credit Suisse, McKinsey, and Google Cloud. He was the CCO at Morgan Stanley. Our conversation takes a deep dive into the transformation of compliance through technological solutions, the evolution of Codes of Conduct, and the impact of digital tools on compliance efficiency.

Breslow advocates for the use of technology to scale compliance efforts, address evolving challenges, and integrate compliance more seamlessly with business operations. Emphasizing data analysis and proactive risk identification, Breslow believes that modern compliance tools not only enhance efficiency and effectiveness but also contribute significantly to business profitability. Breslow also explores the future role of generative AI and how STAR Compliance is poised to leverage advanced data management to enhance compliance functions.

Key Highlights:

• Evolution of Compliance Technology
• The Role of Codes of Conduct in Compliance
• Digital Transformation in Compliance
• Future of Compliance with Generative AI

Resources:

Star Compliance

Tom Fox

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In this episode, Tom and Maria discuss her diverse career trajectory from accounting to healthcare compliance and delve into the complexities of ethical selling, aggregate spending challenges, and the growing role of AI in the compliance industry. Drawing on her extensive experience, she offers valuable insights on balancing roles in compliance and HR, the impact of data analytics, and the future landscape of healthcare compliance.

Key Highlights

• Passion for Healthcare
• Challenges in Healthcare Compliance
• Balancing Compliance and HR Roles
• The Role of Data Analytics and AI in Compliance
• Future of Healthcare Compliance

Resources

Maria Villanueva on  LinkedIn 

Tom Fox

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In this episode, Tom welcomes back Alan Saquella to discuss critical issues surrounding retaliation, whistleblowers, and fostering a speak-up culture within corporations.

Saquella, drawing from his extensive background in law enforcement, corporate compliance investigations, and academia, delves into the challenges middle managers face due to the fear of retaliation from senior leadership. The conversation also explores the ethical dilemmas in C-suite decisions regarding vendor and supplier selection, the mechanics and significance of whistleblower hotlines, and the crucial role of senior leadership in promoting ethical practices. Alan further emphasizes the importance of protecting whistleblowers and ensuring the effectiveness of compliance mechanisms through education, promotion, and a trust-centric approach.

Key Highlights:

• Retaliation and Whistleblowers
• Middle Managers and Ethical Dilemmas
• Vendor and Supplier Selection Ethics
• Whistleblower Programs and Confidential Hotlines
• Role of Senior Leadership in Ethical Practices
• Whistleblower Protection and Corporate Culture

Resources:

Alan Saquella on  LinkedIn

Tom Fox

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In this episode, Tom speaks with John Byrne, founder and CEO of Corlytics.

John shares his background as a serial entrepreneur focusing on technology and finance and discusses the inception and mission of Corlytics. The conversation delves into the complexities of regulatory compliance, the need for real-time risk assessments, and the integration of AI and machine learning in regulatory monitoring.

John also explores how Corlytics helps financial institutions navigate evolving regulations, including ESG metrics, and forecasts the future regulatory landscape. This episode offers valuable insights for professionals interested in compliance, risk management, and the role of technology in these fields.

Key Highlights:

• Founding Corlytics and Its Mission
• Real-Time Risk Assessment
• Policy Management and Global Compliance
• Impact of Current Events on Financial Institutions
• The Rise of ESG in Financial Institutions
• Future of Regulation and AI

Resources:

John Byrne on LinkedIn.

Corlytics

Tom Fox

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In this episode, industry experts discuss the challenges of affordable housing and the role of banks and government programs in addressing these issues. They highlight the inefficiencies of current programs, such as low-income housing tax credits, and propose a comprehensive, targeted approach similar to a Marshall Plan to increase affordable housing supply. The conversation also explores local government initiatives, innovative building techniques, and the complex dynamics of community acceptance. The episode concludes with insights into the personal impact of housing finance and the need for a multifaceted approach involving both public and private sectors.

Highlights and Issues

·      Challenges in Affordable Housing

·      Inefficiencies in Current Housing Programs

·      Local Government Initiatives

·      Innovative Housing Solutions

·      Complexities of Homelessness and Housing

·      Collaborative Approaches to Housing Affordability

Tom Fox

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Commercial real estate investment has long been lucrative, attracting investors with significant returns and diversification potential. Low interest rates previously created favorable borrowing conditions and boosted market values, but recent rate hikes have led to market corrections and investor uncertainty. Investors should consider entering the commercial real estate market during these corrections, as they present unique opportunities to acquire income-producing properties like office buildings, strip centers, and mini storage units. They highlight alternative investment vehicles like ETFs and mutual funds as lower-barrier entry points. They also emphasize financial literacy, highlighting the importance of long-term investing and cautious selection of financial advice. The episode concludes with thoughts on how the housing market affects different demographics and the need for innovative solutions.

Highlights and Issues

• The Impact of Low Interest Rates
• Financial Literacy and Long-Term Investing
• The Role of Financial Advisors as Educators
• Current inflation is a culprit

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The remote work trend has profoundly influenced the commercial real estate market, leading to a notable decrease in office space demand and sparking urban revitalization efforts. They ask whether the 20% decline in property values is a temporary phase rather than a precursor to a market crash. They note that the market’s dynamics can significantly differ based on specific buildings and locations, and he underscores the importance of being prepared for higher interest rates and down payment requirements. Investors should focus on long-term goals and diversify their portfolios to navigate these turbulent times effectively, ensuring sustained success in the evolving commercial real estate landscape. Their conversation underscores the importance of adaptability and diversification amid economic fluctuations.

Highlights and Issues

• Current State of Commercial Real Estate
• Impact of Work From Home
• San Francisco’s Real Estate Transformation
• Investment Strategies in Commercial Real Estate
• Tourism and Hospitality in Indianapolis
• Market Reactions and Long-Term Investment
• Inflation and Interest Rates

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They discuss Anne’s extensive career in global trade, Descartes’s comprehensive suite of supply chain management tools, and Anne’s specific role in the Global Trade Intelligence pillar. Key topics include the challenges companies face in regulatory compliance, the role of AI in mitigating supply chain disruptions, and the importance of data quality in leveraging advanced technologies for risk management. The conversation spans current automation levels, future AI evolution, and practical approaches to enhancing data transparency and compliance processes within the supply chain framework.

Key Highlights:

• Anne’s Professional Journey
• Global Trade Intelligence at Descartes
• Microservices and Data Privacy
• AI and Supply Chain Disruptions
• Data Quality Issues in Compliance
• Future of AI in Supply Chain Management

Resources:

Anne van de Heetkamp on  LinkedIn

Descartes

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Arthur Mueller has over 20 years of experience in anti-financial crime programs across various institutions. He explains his current role at WorkFusion, where he leverages AI and machine learning to enhance compliance programs. The discussion encompasses the evolution of AML practices, the role of digital workers like Tara in automating routine tasks, and the benefits of AI in improving risk management, efficiency, and worker satisfaction in financial services. Arthur provides real-life examples of how AI can help mitigate risks, streamline operations, and enhance employee productivity and retention.

Key Highlights

• Evolution of AML and Financial Crime Programs
• WorkFusion's Role in Financial Crime Prevention
• Digital Workers and AI in Compliance
• Adverse Media Screening and Automation
• Introducing Tara: The Digital Payment Screening Analyst
• The Future of AI in Financial Crime Compliance

Resources:

Arthur Mueller on  LinkedIn

WorkFusion

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In this episode, Tom Fox visits with Lisa Levy,  a thought leader renowned for her expertise in addressing succession planning challenges. We take a deep dive into this topic on this edition of Innovation in Compliance.

Lisa believes that succession planning in 2024 is more important than ever due to the complexities introduced by having five generations in the workforce, each with diverse expectations and work ethics. Lisa advocates for embedding succession planning into company culture as a strategic, intentional exercise that involves understanding employees' skills, aspirations, and institutional knowledge to nurture and grow talent internally. She champions the use of technology, such as AI tools, to personalize growth plans and emphasizes the need for continuous evaluation, transparency, and communication to implement a successful succession planning framework, ensuring organizational resilience and smooth leadership transitions.

We discuss how the younger generations, including millennials and Gen Z, have shifted the employment paradigm by seeking roles that align with their values. Lisa reflects on their own journey of becoming 'wholly unemployable' over 15 years and highlights how Gen Z entered the workforce during the pandemic, taking on gigs like Uber and DoorDash as traditional roles were shut down. This generational shift shows a move towards prioritizing personal fulfillment over conventional job security.

Key Highlights:

• Lisa Levy on her Unemployable Journey
• Millennials and Value-Driven Careers
• The Paradigm Shift in Employment
• Gen Z's Workforce Entry During the Pandemic

Resources:

Lisa Levy on  LinkedIn 

The Preferred Disruption and Innovation Catalyst

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Minerva is an invaluable tool for financial investigators, enabling quick and efficient data analysis to support informed decision-making. She discusses Minerva’s capability to search for critical data, such as adverse media and criminal activity, enhancing the investigator’s role through automation and speed. By combining the expertise of skilled investigators with advanced data science, Minerva significantly maximizes the effectiveness of AML investigations in today’s data-rich environment.

We take a deep dive into how Minerva integrates AI into its processes for detecting financial crime. The technology employs simple data aggregation to target relevant data sources, performing entity resolution for a nuanced and accurate view of clients. This approach minimizes false positives, streamlines work for the Financial Intelligence Unit and ensures that information examined is meaningful and precise.

Key Highlights:

• Introduction to Minerva’s AI Integration
• Data Aggregation and Intelligence
• Entity Resolution and Contextual Data
• Accurate Client Risk Assessment
• Reducing False Positives

Resources:

Jennifer Arnold on  LinkedIn 

Minerva

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In this episode, Tom Fox interviews Lori Darley, a former professional dancer and current leadership coach.

Lori shares her career evolution from dance to founding Conscious Leaders, a coaching firm specializing in leadership development. She discusses the principles of self-awareness, personal responsibility, and the clearing process, which are central to her coaching philosophy.

Lori also emphasizes the importance of intentional leadership in fostering a positive corporate culture and touches on her experience in the compliance arena. Additionally, she talks about her book, ‘Dancing Naked,’ which explores her journey and insights as a conscious leader.

Key Highlights:

• Lori Darley’s Professional Journey
• What is Conscious Leaders?
• The Clearing Process Explained
• Conscious Leaders Wisdom Circle
• Impact on Corporate Culture
• Generational Tensions and Coaching Benefits

Resources:

Lori Darley on  LinkedIn 

Conscious Leaders

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Curious about Compliance as a Service and AI integration? If so, this episode is for you as Tom Fox interviews Matt Lowe, Chief Strategy Officer at MasterControl.

Matt shares his professional background, details MasterControl’s role in the quality management and life sciences markets, and discusses the company’s incorporation of AI in their software solutions.

The conversation delves into how AI is transforming compliance and quality assurance in the life sciences, the benefits and challenges of implementing AI, and the future outlook of AI in the industry.

Matt also touches on risk-based approaches to AI deployment and the evolving discussions around AI in industry consortia.

Key Highlights:

• Incorporating AI in Compliance Training
• Generative AI in Quality Management
• Quality Assurance and Compliance
• AI’s Role in Compliance and Risk Management
• Implementing AI in Life Sciences
• Future of AI in Life Sciences

Resources:

Matt Lowe on LinkedIn 

Master Control

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Paige Hanson and Brandon Woolf are seasoned cybersecurity professionals. Hanson’s perspective, shaped by her role in developing a national training program for law enforcement and co-founding SecureLabs, emphasizes the importance of integrating security and compliance within organizations to foster a security-first culture and facilitate cross-departmental communication. She envisions a future where advanced AI systems enhance security environments and advocate for auditable processes for small to medium-sized enterprises.

Woolf, with his background in diverse cybersecurity roles, advocates for the integration of security and compliance within an organization. He highlights the importance of having a wide range of frameworks available to cater to the diverse needs of different industries and clients and sees a growing trend, especially for SMBs, in compliance as a service due to increasing security threats.

Key Highlights:

• SecureLabs: Affordable GRC Software for SMB Compliance
• Enhancing Organizational Culture Through Security Integration
• Cybersecurity Compliance Benefits through Auditable Processes
• Compliance Audits: Minimizing Fines Through Documentation
• AI-driven Compliance Solutions for Enhanced Security

Resources:

Paige Hanson on LinkedIn 

Brandon Woolf on LinkedIn

securelabs.ai

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In this concluding Episode 5, we discuss how making ethics and compliance training playful can enhance learning.

Our learning brain likes games. When people shift into a playful state of mind, they immerse themselves more deeply into the learning activity. Their mood brightens, their mind opens up, and they are intensely focused and more receptive to new information. Playful learning supports a deeper understanding of concepts, better recall of knowledge, and better transfer of skills to novel problems.

They explore the concept of the ‘Magic Circle’ in gaming, which engenders an immersive, playful state of mind that fosters openness and engagement. By employing game-based learning experiences like the ‘Ethics Kit Find Your Path’ card game, the discussion showcases how ethical scenarios can be addressed in an interactive, fun way.

Through the use of commitment, action, and resource cards, employees engage in collaborative problem-solving related to their organization’s ethical dilemmas. The episode emphasizes the importance of experiential, social, and strength-based learning, arguing that an engaging user experience (UX) in training not only makes learning enjoyable but also more effective in reinforcing ethical behaviors within organizations.

Highlights and Key Issues Discussed:

• Introducing Playful Learning in Ethics and Compliance
• The Magic Circle: A Concept for Playful Learning
• Implementing Playful Learning: The Ethics Kit Card Game
• Benefits and Outcomes of Playful Learning Experiences
• Expanding Playfulness Beyond Games: Engaging Training Delivery
• Key Takeaways from the Series

Resources:

Suggested Readings

• Zosh, J. M., Hopkins, E. J., Jensen, H., Liu, C., Neale, D., Hirsh-Pasek, K., Solis, S. L., & Whitebread, D. (2017). Learning through play: a review of the evidence (white paper). The LEGO Foundation, DK.
• Parker, Rachel & Thomsen, Bo & Berry, Amy. (2022). Learning Through Play at School – A Framework for Policy and Practice. Frontiers in Education. 7. 10.3389/feduc.2022.751801.

 Carsten Tams on LinkedIn

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Experiential learning means learning by doing. When we are passive learners in front of a screen, clicking on the forward button or checking boxes, learning remains shallow. Experiential ethics learning is not simply about feeding abstract information about an ethics topic into learners’ minds. It is instead about the tight coupling of thinking with doing. An experiential learning activity is about posing a problem that is relevant to the learner. It is then up to the learner to tap into their existing knowledge, to use their ingenuity and creative problem-solving skills to find a feasible solution for the problem at hand.  

Using practical examples, Carsten explains how experiential learning engages learners in problem-solving and hands-on experiences, leading to better retention and application of knowledge. They explore the historical roots of the concept, drawing from thinkers like Aristotle, Confucius, John Dewey, and modern cognitive research. The discussion also covers ways to implement experiential learning in organizational settings, addressing potential concerns about documenting these methods for regulatory compliance.

Highlights and Key Issues Discussed 

·      Introduction to Experiential Learning in Compliance and Ethics Training

·      Exploring the Basics of Experiential Learning

·      Applying Experiential Learning in Compliance and Ethics

·      Historical Context and Theoretical Foundations of Experiential Learning

·      Practical Implementation and Documentation for Compliance Professionals

 Resources

Carsten Tams on LinkedIn

Emagence Consulting

For Additional Reading

·      Dewey, J. (1938). Experience and education. New York: Simon and Schuster.

·      Kolb, D.A. (2015). Experiential Learning: Experience as the Source of Learning and Development, 2nd Ed. New York, NY: Pearson.

·      Burch, G. F., Giambatista, R., Batchelor, J. H., Burch, J. J., Hoover, J. D., & Heller, N. A. (2019). A Meta‐Analysis of the Relationship Between Experiential Learning and Learning Outcomes. Decision Sciences Journal of Innovative Education, 17(3), 239–273. doi:10.1111/dsji.12188

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When we instruct people about prohibited behaviours, and how the company detects and discipline misconduct, employees often feel mistrusted and alienated. They tune out. This is deficit-based learning. It approaches the learner as a risk factor or potential delinquent. It aims to constrain unwanted behaviour. When employees can learn how to effectively shape and safeguard the ethical workplace they aspire to, they feel inspired and tune in. This is strength-based training. It approaches the learner as a valued partner in maintaining integrity. It assumes that people have capabilities, It aims at eliciting and strengthening the positive ethical faculties already present in most people.

Tom and Carsten urge a shift in perspective so that learners are viewed as valued partners, drawing upon the principles of self-affirmation theory and strength-based approaches found in various sectors like healthcare and education. This approach aims to engage learners by acknowledging and enhancing their capabilities, ethical values, and problem-solving skills, thus fostering a sustainable ethical culture within organizations. Examples of successful applications of this approach, including innovative training methods and programs like UNESCO’s card game and the 'Giving Voice to Values' curriculum, are highlighted. The conversation underscores the importance of designing training that not only prevents misconduct but also supports and develops employees' strengths, thereby enhancing overall company culture.

 Highlights and Key Issues Discussed

·      The Problem with Deficit-Based Training Approaches

·      The Power of a Strength-Based Approach

·      Real-World Applications and Success Stories

·      Practical Steps Towards Strength-Based Training

·      Building a Sustainable Ethical Culture

 Resources

Books and Articles

• Saleebey, D. (Ed.). (2009). The Strengths Perspective in social work practice (5th ed.). Boston: Allyn and Bacon.
• Pulla, Venkat. (2012). What are Strengths based Practices all about?
• Banaji, M., & Dobbin, F. U. (2023, September 17). Why DEI training doesn’t work—and how to fix it. The Wall Street Journal. Retrieved March 11, 2024
• Dobbin, F., & Kalev, A. (2022). Getting to diversity: What works and what doesn’t. The Belknap Press of Harvard University Press.

Carsten Tams on LinkedIn

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Tom and Carsten take a deep dive into why traditional E&C training often fails to engage employees and lacks impact on their behavior, despite significant investments. This episode sets up the problem by exploring the historical context of E&C training, the difference between European values-focused and American rules-regulation approaches, and how these methods have evolved. 

Their discussion highlights several barriers to effective training, including training being seen as a checkbox exercise, the deficit-focused nature, passive learning methods, isolation, and a lack of playfulness. They also touch on the promising findings that training can be effective when it delivers a positive user experience, emphasizing the need for innovative approaches to improve engagement and behavioral impact. The podcast series aims to explore solutions and strategies for making E&C training more engaging and effective, grounded in four proven principles of learning design. 

Highlights and Issues

·      Introduction to the Series on Ethics and Compliance Training

·      Identifying the Problem with Current Ethics and Compliance Training

·      Exploring the Ineffectiveness of Traditional Training Approaches

·      The Four Engagement Killers in Compliance Training

·      Towards a More Effective Training Approach: Preview of Upcoming Episodes

Resources

Articles

• Dvorak, N. (2021, November 10). 4 Hard Truths About Ethics and Compliance Training
• Fosway Group. (2023). Digital Learning Realities 2023
• Fredeen, I. (2019, June 19). Do Your Expectations Align with Reality — Why Compliance Training Needs More Attention

Carsten Tams on LinkedIn

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Steve Brown has maintained a lengthy career in the compliance industry, currently holding the position of Head of Business Compliance and Business Development at StarCompliance. Throughout his career of over two decades, he has served in important roles in investment banking compliance and advised global firms on risk and regulatory issues. 

StarCompliance, a company that specializes in employee compliance software across 117 countries. They delve into the importance of compliance culture within corporations, the role of technology in enhancing compliance efforts, and the unique perspective Brown brings to technology solutions from his extensive compliance background. They also touch upon the significance of a comprehensive compliance solution and the future of compliance technology, including the potential applications of AI, machine learning, and data analytics to anticipate and navigate regulatory challenges.

Key Highlights:

• Global Ethics Compliance Solutions by Star Compliance
• AI Integration for Evolving Compliance Challenges
• Data-Driven Compliance Culture Enhancement Solutions
• Ethical Culture through Integrated Compliance Analytics

Resources:

Steve Brown on LinkedIn 

StarCompliance

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Today, Tom Fox visits Sue Bingham, Founder and Principal of HPWP Group. She helps visionary, courageous leaders create a high-trust culture of adult communication and high expectations that results in attracting and retaining truly great people.

Sue Bingham has a unique perspective on compliance in the workplace, shaped by her vast experience and passion for nurturing positive work environments. Anchored in the principles of trust, value, and respect, she advocates for a shift from the conventional approach to compliance, which often entails a litany of rules, to one that promotes positive assumptions about employees.

Bingham believes that while compliance is crucial for legal requirements and operational changes, it should not be at the expense of treating employees as valuable adults deserving of respect and dignity. Her conviction that a culture of trust and positive assumptions can drive behavioral change at work is reflected in her book “Creating a High-Performance Workplace,” a testament to her commitment to fostering effective leadership and high-performing workplaces.

Key Highlights:

• Trust-Based Approach for High Performance Culture
• Fostering Trust and Valuing Employees for Success
• Developing Commitment and Accountability in the Workplace
• Balancing Compliance and Commitment in Organizations

Resources:

Sue Bingham on LinkedIn 

HPWP Group

Creating the High Performance Work Place on Amazon.com

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With a background in business analysis and self-taught coding, Kunkel identified a need for a more comprehensive and user-friendly approach to governance, risk, and compliance (GRC) solutions, leading to the creation of Logic Gate. The platform was designed to meet businesses’ evolving needs without requiring constant developer intervention, utilizing a flexible data model and advanced graph database technology for superior efficiency.

Kathmann, with over 20 years of experience in security and compliance, stresses the importance of industry expertise in delivering effective solutions, focusing on ensuring the platform meets the highest security standards and adapts to changing business requirements seamlessly. Kunkel and Kathmann’s perspectives highlight the crucial role of innovative technology in simplifying GRC processes and addressing the complex regulatory, risk, and compliance needs of organizations.

Key Highlights:

• Adaptive Logic Gate Platform for GRC
• Harnessing Data for Strategic Compliance Oversight
• Real-time Risk Optimization for Business Growth
• Cyber Risk Alignment Between CISO and CEO
• Executive Level Engagement for Cybersecurity Strategy
• Tailoring Risk Communication to Stakeholder Priorities
• Dynamic GRC Systems with AI-driven Controls

Resources:

Matt Kunkel on LinkedIn 

Nick Kathmann on LinkedIn 

LogicGate

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Staci Wright is a seasoned entrepreneur with a diverse portfolio of six successful businesses, ranging from service-based to product-based ventures, established over the past two decades. Her perspective on the “heart profit movement” is rooted in her belief in the power of compassion, care, and connection in the workplace to not only enhance productivity but also address important societal issues.

This perspective is born from her experience leading “IP2Market,” a company that merges manufacturing patented products with a focus on building brands that prioritize employees’ welfare.

As the founder of the Heart Profit movement, Staci has implemented initiatives like onsite childcare, meals, and mental health coaching in her workplaces, embodying her view that a supportive environment allows employees to flourish rather than merely survive. This approach to business, she believes, fosters a more compassionate era where profit does not come at the expense of employee care.

Key Highlights:

• Footrest-Inspired Self-Care Products for Bath Time
• Compassionate Workplace Culture Initiative
• Employee Wellbeing Initiatives in Manufacturing
• Cultivating Compassionate Work Environments for Success
• Compassionate Workplace Solutions: Profit with Heart

Resources

Staci Wright on LinkedIn 

Heart Profit

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Today, Tom Fox visited Susan K. Younger, a self-styled ‘relationship architect. Find out how her strategies will help you to drive your corporate culture.

Susan K. Younger, an expert with a diverse background in architecture and massage therapy, has carved a unique path in her career by integrating practices from both fields. She views transformative leadership as a dynamic process to adapt and evolve in accordance with changing times. Her perspective is influenced by her unique professional journey, from retail architecture to a holistic approach to body structures and environmental spaces.

Susan believes in the importance of openness to new ideas and perspectives, considering different viewpoints, and willingness to modify processes for better outcomes. For her, the essence of transformative leadership lies in staying curious and receptive, thereby driving positive change within organizations.

Key Highlights:

• What is a relationship architect?
• Interpersonal Structure Builder
• Cultural Values in Multinational Transformative Leadership
• Proactive Contributors Fostering Positive Work Culture
• Understanding Value Perspectives for Compliance Engagement
• Enhancing Workplace Collaboration Through Generational Values

Resources:

Susan K. Younger on LinkedIn 

Susan K. Younger website

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Today, Tom Fox visited Glenn Andrew on his initiative, Allstar Leadership.

Glenn Andrew is an accomplished professional with an extensive background in ocean engineering and business leadership, marked by his initial experience in submarine building and subsequent progression into leadership roles.

Andrew subscribes to the belief that self-leadership is a fundamental process that individuals must master before they can effectively lead others. He views self-leadership as a continuous journey, not a final destination, emphasizing the development of skills such as managing overwhelm, clarifying goals, and honing emotional intelligence.

His views are influenced by his professional experiences and his personal transformation, including the recent achievement of losing 53 pounds, a testament to his conviction in the role of physical health in effective self-leadership.

He underscores the importance of continuous learning, effective communication, vision-sharing, and a focus on long-term impact in both personal and professional spheres as the cornerstones of successful leadership.

Key Highlights:

• Enhancing Leadership Through Self-Management Journey
• Physical Well-being for Effective Leadership
• Leadership Impact through Lifelong Learning Journeys
• Biological-Based Communication Style Assessment Tool

Resources:

Glenn Andrew on LinkedIn 

Allstar Leadership

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Today, Tom Fox visited with Matt DeLauro, SEON’s Chief Revenue Officer. Matt discussed the SEON software solution for fraud risk and anti-money laundering.

Matt DeLauro is a financial industry veteran with over two decades of experience specializing in developing and implementing software solutions for various financial entities. With a focus on financial services and fintech, he currently serves as the chief revenue officer at SEON, a company dedicated to fraud prevention and anti-money laundering (AML) technology.

DeLauro’s perspective on AML regulations stems from his deep understanding of the fraud community’s interconnected nature and the increasing importance of AML measures due to factors like international conflicts and national security threats.

He emphasizes the need for real-time detection services and robust compliance controls in the face of evolving threats, highlighting the impact of sanctions and sanctioned individuals on the need for enhanced compliance.

Ultimately, DeLauro views AML as a critical tool in combating financial crimes and preserving the integrity of the global financial system.

Key Highlights:

• Enhanced Efforts Against Financial Crimes
• Real-time Fraud Detection in Financial Services
• Automating SAR Generation with Machine Learning
• Real-time Fraud Detection through Device Fingerprinting
• Sub secondary Detection of Fraudulent Transactions in Real-Time

Resources:

Matt DeLauro on LinkedIn 

SEON

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Jeff Gould is lauded as America's storyteller. He is honing the story of America at 250 in 2026 through his project, America at 250. Gould's perspective on American history is one of profound reverence and recognition for the country's narrative, viewing it as a remarkable tale among governmental histories.

His perspective is heavily influenced by the opportunities he sees for individuals to combat injustice and foster a fairer system, a theme ingrained in his work with America 250. He places substantial emphasis on acknowledging the flaws and mistakes of historical figures yet, concurrently, underscores the potential that the country and its people hold for growth and progress. Through this lens, Gould sees American history as a symbol of hope and freedom, and thus, he constantly challenges individuals to uphold and perpetuate these values for future generations.

Key Highlights:

• Celebrating America's 250-year Journey
• Reviving American Heritage Through America’s Story
• Democratic Ideals: From Tyranny to Resilience
• Founding Fathers' Longevity in Constitutional Design
• Leaders who have shaped American identity throughout history

Resources:

Jeff Gould on LinkedIn 

I Like That Story

America’s Story 250

Tom Fox

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Onno Koelman is a seasoned professional with a robust background in leadership development and training and the founder of Dynamic Leader Development. Koelman’s perspective on leadership development and training is centered on dynamic growth and adaptation, emphasizing the importance of vertical development. His experiences working closely with organizations, including collaborating with key leaders such as a Chief Technology Officer, have shaped his belief that leadership training should go beyond traditional methods and instead focus on developing a more sophisticated way of filtering the world and being less reactive. He also highlights the importance of clarity, a supportive climate, and the right competence within teams to build high-performing teams. Furthermore, Koelman acknowledges the complexity of leading multigenerational teams and suggests that leaders should understand and cater to the different motivations and responses of team members from different generations.

Key Highlights:

• Vertical Growth in Adaptive Leadership Development
• Transitioning to Management: Developing Coaching Skills
• Balancing Task-Oriented and Relationship-Based Leadership Model
• Fostering Clarity, Support, and Competence in Teams
• Influential Shadow: Understanding Leaders’ Impact

Resources:

Onno Koelman on LinkedIn 

Dynamic Leader Development 

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Keith Laska, a professor at Fordham University and founder of Learn Bitcoin, says that Laska’s perspective on bitcoin is that it can serve as both an investment and a monetary system, depending on the individual’s location and use case.

In the United States, he sees bitcoin as a high-growth investment that can outpace inflation, while in countries with high inflation rates like Argentina, Turkey, or Lebanon, he views bitcoin as a more stable and reliable monetary system compared to their local currencies.

This dual perspective is shaped by his extensive experience and dedication to staying at the forefront of the evolving field of bitcoin and blockchain.

Key Highlights:

• Evolution of Bitcoin from 2009 to ETFs
• Blackrock’s Successful Spot Bitcoin ETFs Approval
• Enhancing Compliance with Blockchain Contracts and AI
• Fluency in Bitcoin: Educating Future Industry Professionals

Resources:

Keith Laska on LinkedIn 

Tom Fox

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Ernesto Gerardo is a seasoned professional with a diverse background in martial arts, business, and coaching. His perspective on his journey from martial arts to real estate investment and veteran coaching is shaped by his unique career trajectory, starting as a martial artist and gym owner, transitioning into the business world, and now running multiple successful ventures. Ernesto leverages his expertise in real estate investment and entrepreneurship to coach and educate clients, including veterans and aspiring entrepreneurs. He is passionate about empowering veterans through his Military Millionaires program, providing resources and support in areas such as real estate investment, financial planning, mental health services, and job placement.

Join Tom Fox and Ernesto Gerardo on this episode of the Innovation in Compliance podcast to learn more about Ernesto’s journey and his insights on real estate investment and veteran coaching.

Key Highlights:

• From Martial Arts to Business Success
• Leveraging Personality Traits for Real Estate Success
• Optimizing Veteran Benefits for Financial Success
• Empowering Veterans to Build Wealth and Stability

Resources:

Ernesto Gerardo on LinkedIn

The Military Millionaires

Tom Fox

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Jay Rosen is a seasoned professional with a background in investment banking and a keen interest in ethics and compliance programs. Rosen’s in-depth analysis of FCPA enforcement actions over the past ten years shaped his perspective on ethics and compliance programs. He believes companies should consider their internal setup before hiring a third party for assistance. He suggests that while an outside perspective can sometimes lead to a deeper investigation, a mature ethics and compliance program with sufficient in-house resources can also be effective. Rosen emphasizes the importance of objectivity in these programs and proposes a compromise of working with a fractional monitor if the company lacks the necessary headcount. He sees the increasing use of data analytics and self-reporting as key factors in improving ethics and compliance efforts within organizations.

Resources:

Jay Rosen on LinkedIn | Twitter

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Jeff’s perspective on the importance of such support groups is shaped by his extensive experience going through the full white collar criminal experience, including jail, disbarment, release, and recovery. He has organized over 400 meetings, creating a safe space for individuals to share their experiences and challenges. Jeff views these groups as a vital resource, filling a significant gap in the criminal justice system by providing knowledge, empathy, and compassion to those who have been isolated and stigmatized. His advocacy for the rights and leniency of individuals prosecuted for white collar crimes is driven by his desire to bring their complex human tragedies to light and promote noncustodial sentences for low-level and nonviolent crimes. Through his work, Jeff continues to expand the impact of these support groups, viewing them as a lifeline for those navigating the challenges of white collar crimes.

Key Highlights:

• The 400th Meeting
• Supporting Families of White Collar Criminals
• Transforming Lives Through Spiritual Guidance
• Supporting White Collar Crime Victims and Advocacy

Resources:

Jeff Grant on LinkedIn | Twitter

Grant Law

Prisonist.org

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Dr. Jacobson brings a unique perspective to her work, shaped by her diverse experiences ranging from serving in the military in Israel to running chiropractic offices in New York and Arizona. Dr. Jacobson’s holistic approach to organizational leadership and communication is rooted in her belief that work positioning, repetitive movements, and physical challenges are all interconnected and can impact the overall functioning of an organization. Drawing from her experiences in war, military, healthcare, and even competitive amateur ballroom dancing, she emphasizes the importance of core human connection skills such as conflict reduction, effective communication, and motivation. Her background as a chiropractor also gives her insights into understanding people and their behavior, including habits that affect posture and confidence. Join Tom Fox and Dr. Karen Jacobson on this episode of Innovation in Compliance.

Key Highlights:

• Understanding behavioral styles is crucial for effective communication in the workplace.
• Adapting communication for different generations and cultural differences is essential for effective workplace communication.
• Effective leadership outside the United States requires understanding and respecting different cultures and customs.
• Understanding personal strengths and leading with them can lead to more effective leadership.

Resources:

Karen Jacobson

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Tom Fox

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Steve Vincze is a seasoned professional with a rich background as an in-house corporate commercial compliance lawyer, specializing in building trust and implementing compliance programs in businesses. His perspective on the subject is rooted in the belief that developing a human connection is key to building trust and implementing successful compliance programs. Drawing from his experience, including being recruited by Tap Pharmaceuticals to implement their first compliance program, he emphasizes the importance of modeling the behavior he wants from others and creating an environment where people feel comfortable sharing. He views compliance programs as tools to empower individuals rather than restrict them, and he strives to change the perception of compliance by demonstrating that it can be a tool for confidence and success. Join Tom Fox and Steve Vincze on this episode of the Innovation in Compliance podcast to learn more about his unique approach.

Key Highlights:

• Establishing Trust through Human Connection
• Experienced Professionals Providing Comprehensive Consulting Solutions
• Expert Compliance Program Implementation Services
• The Impact of Artificial Intelligence on Data Security

 Resources:

Steve Vincze on LinkedIn

Trestle Compliance

 Tom

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Key Highlights:

• Proactive Compliance through Regulatory Intelligence Automation

• Streamlining Regulatory Compliance with AI

• Leveraging Data Analytics for Proactive Compliance

• Revolutionizing Compliance with Emerging Technologies

Resources:

Caroline Shleifer on LinkedIn

RegAsk

Tom Fox

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Jag Lamba, the CEO and founder of Certa, is an engineering expert who has led his team in developing AI tools for streamlining procurement and compliance processes. Lamba's perspective on these tools is that they are a game changer, particularly for non-procurement users who often struggle with navigating new tools and forms. To address this, Certa has integrated an email chat bot for request intake, making the process more user-friendly and familiar. Lamba believes that this approach will result in increased buy-in from business users and improved efficiency in procurement and compliance processes. His dedication to solving real problems with AI sets Certa apart as a leader in the industry. Join Tom Fox and Jag Lamba on this episode of Innovation in Compliance to learn more about Lamba's innovative approach to streamlining procurement and compliance processes.

Key Highlights:

• Streamlined AI Design with Natural Language
• Enhancing Organizational Agility with Certa Assist
• Instant Report Generation with Insights AI
• Email Chat Bot for Simplified Request Intake

Resources:

Jag Lamba on LinkedIn

Certa

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Ed Parcaut, a dynamic individual who transitioned from phone sales to a successful real estate radio show host, has a unique perspective on his journey. Parcaut discovered his knack for connecting with people through his voice during his 18-year tenure in phone sales. When presented with the opportunity to host a local talk radio show, he initially questioned the relevance of radio in the digital age, but soon recognized its enduring popularity.

He launched his radio show, "Real Estate Jerky," which began as a platform for real estate and mortgage discussions but later expanded to include community topics. Parcaut also recognized the potential of podcasting and began uploading his radio show as a podcast to reach a wider audience. He firmly believes in the power of audio platforms in promote businesses and foster connections. Join Tom Fox and Ed Parcaut as they delve deeper into this topic on the next episode of the Innovation in Compliance podcast.

Key Highlights:

• Ed's Voice-Driven Journey to Global Connections
• Promoting Homeownership and Community Engagement
• Ed's Expertise in Real Estate Market Profitability
• Insights into Housing Affordability and Trends
• The Power of Repurposing Content for Podcasting
• California's Property Tax Protection Law

Resources:

Ed Parcaut on LinkedIn

Lending for Living

Tom

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Paul Trulove is a seasoned cybersecurity expert with a strong background in identity management, currently serving as the CEO of Secure Auth. With 15 years of experience in the field, Trulove is a strong advocate for the evolution towards password-less authentication in cybersecurity. He sees a shift away from traditional username and password authentication towards more secure and user-friendly methods that leverage device-level capabilities and biometrics. Trulove emphasizes the importance of organizations embracing and funding these changes and the need for collaboration across different industries to ensure a comprehensive and secure authentication framework. Join Tom Fox and Paul Trulove on this episode of the Innovation in Compliance podcast to delve deeper into this fascinating topic

Key Highlights:

• Secure Auth: Making Authentication Secure and User-Friendly
• The Evolution Towards Password-Less Authentication
• Identity-Driven Zero-Trust Cybersecurity Approach
• The Rise of Password-Less Authentication Technology
• The Evolution of Authentication and Access Management

Resources:

Paul Trulove on LinkedIn

SecureAuth

Tom

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Mohamed Lazzouni, a distinguished individual with a robust background in physics and solid-state physics, currently serves as the Chief Technology Officer at Aware. Lazzouni firmly believes in the potential of behavioral biometrics to enhance security and compliance, particularly in the financial services industry. He asserts that biometrics can be used to verify customer identities during online transactions, thereby eliminating the need for physical visits to a branch. Furthermore, he sees the analysis of biometric data such as face recognition, voice prints, and fingerprints to ensure the registered identity of a customer is trustworthy. Lazzouni also highlights the role of biometrics in data management and compliance, ensuring that personally identifiable information is collected, stored, and managed securely and in compliance with relevant laws and regulations. He is particularly excited about the potential of behavioral biometrics, such as unique gestures and interactions with devices, to further enhance security and provide new opportunities for businesses and individuals. Join Tom Fox and Mohamed Lazzouni on this episode of Innovation in Compliance to delve deeper into this fascinating topic.

Key Highlights:

• Exploring Nature at a Unique Scale
• Leveraging Unique User Interactions for Security
• Enhancing Identity Verification with Biometric Technology
• Biometric Security Solutions for System Integrators
• Biometric Security Revolution: Face and Voice Recognition

Resources:

Mohamed Lazzouni on LinkedIn

AWARE

Tom

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Alex Cotoia is with the Volkov Law Group and has transitioned from a traditional legal background into the compliance arena. He strongly believes in the importance of continuous professional development for compliance professionals, emphasizing the need for mentorship and growth opportunities, particularly for those in leadership positions. Alex’s perspective is shaped by the dynamic regulatory climate and the increasing extraterritorial impact of legislation and regulation, which underscore the urgency of continuous development in the compliance field. He also highlights the significance of acquiring soft skills, such as negotiation, building relationships, and strategic planning, in addition to the legal aspects of compliance. Alex values collaboration and believes that reaching out to other compliance professionals for guidance and mentorship can benefit professional growth. Join Tom Fox and Alex Cotoia as they delve deeper into this topic on the next episode of the Diligent Podcast.

Key Highlights:

• Navigating the Dynamic Regulatory Landscape for Compliance Professionals
• Developing Essential Soft Skills for Compliance Professionals
• Continuous Growth and Development in Compliance
• The Importance of Compliance in Career Development

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com

Yee Chow is a seasoned professional in the sustainability space, currently serving as the Director of Solution Engineering and Consulting at Diligent. With over 16 years of experience, Chow has witnessed the evolution of the chief compliance officer's role in ESG compliance. Chow's perspective on this evolution is that it has become a significant and integral part of corporate agendas. Previously, ESG was seen as a side topic for companies to gain more credentials and marketing, but in recent years it has become a major focus for the majority of corporations globally. This shift has led to changes in the roles of chief compliance officers and internal management, with ESG now being elevated to their level of responsibility and accountability. Chow believes that this shift is necessary and beneficial for companies in the future. Join Tom Fox and Yee Chow on this episode of the Diligent Podcast to delve deeper into this topic.

Key Highlights

·      Elevated ESG Compliance Leadership: CCO's Evolving Role

·      Mandatory Reporting on ESG Factors

·      Integrating ESG into Board Meetings and Discussions

Ready for Purpose Driven Compliance? Diligent equips leaders with the tools they need to build, monitor and maintain a culture of open, transparent ethics and compliance. For more information and to book a demo, visit Diligent.com

Join us tomorrow where we conclude our series with a review of professional development and mentoring for compliance professionals. 

Jessica Czeczuga is a seasoned corporate training and compliance professional, currently serving as the Principal Instructional Designer at Diligent. Jessica’s perspective on the importance of Board oversight in corporate training and compliance is shaped by her extensive experience and deep understanding of compliance programs. She emphasizes the crucial role of the Board in setting the tone for the organization’s culture, advocating for active communication from the Board about the importance of training to all employees. Jessica also suggests that the Board should be more significant in discussions about your organization’s compliance efforts, ensuring it meets its stated commitments. She views the Board as another group within the organization that requires tailored training and active involvement in promoting a culture of compliance. Join Tom Fox and Jessica Czeczuga as they delve deeper into this topic.

Key Highlights:

• Driving Compliance and Training Messaging
• Fostering Alignment Through Board Involvement
• Assessing the Impact of Multinational Training

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com

Join us tomorrow as we consider navigating the current ESG landscape.

Renee Murphy has a rich compliance, governance, and risk management background. Having served as both an internal and external auditor and currently the Chief Evangelist of Diligent, she brings a unique perspective to managing board-level conflicts of interest and implementing ESG practices. Renee believes that conflicts of interest at the board level can have serious implications and emphasizes the importance of identifying and addressing these conflicts to prevent financial misconduct. She also advocates that boards prioritize disclosing their ESG practices and carbon emissions, as stakeholders will increasingly demand this. Her expertise and insights are shaped by her diverse experiences, including her role as a lead analyst at Forrester Research and her work with Fortune 500 companies. Join Tom Fox and Renee Murphy as they delve deeper into these topics on the next episode of the Diligent Podcast.

Key Highlights:

• Board Members Sitting on Multiple Boards
• Conflicts of Interest at the Board Level
• ESG Reporting for Long-Term Risk Management
• The Role of Compliance in Board Governance

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com

Join us tomorrow as we consider the role of the Board of Directors in compliance training, messaging, and communications.

Nicholas Latham is an accounting professional with a strong accounting and risk management background, currently serving as a Client Partner at Diligent Corporation. His perspective on accounting and risk assessment is shaped by his extensive experience in the financial industry, particularly in the collections department of a US bank. Nicholas believes that organizations must implement and adapt frameworks such as COSO and ISO 31,000 to manage and mitigate risks effectively. He also emphasizes the need for a holistic view of risk and control across the entire organization rather than siloed departments, and he believes these frameworks can help provide a comprehensive understanding of the organization’s risk landscape. Join Tom Fox and Nicholas Latham on this episode of the Diligent Podcast as they delve deeper into Latham’s expertise in governmental accounting and risk assessment.

Key Highlights:

• Risk and Control Expertise in Professional Background
• Assessing and Mitigating Risk in Organizations
• Holistic View of Organizational Operations and Risk

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com

Join us tomorrow, where we will consider managing conflicts of interest at the Board of Directors.

Ann Gynn is a seasoned content entrepreneur with a rich journalism, marketing, and public relations background, currently serving as the editor at The Tilt and the Creator Content Entrepreneur Expo (CEX). Gynn's perspective on "content entrepreneurship: balancing creation and business operations" is rooted in her belief that content entrepreneurs can build their audience and run their own media companies, independent of traditional mainstream media outlets.

She emphasizes the importance of creating content and focusing on the business side of entrepreneurship, such as marketing, growing an audience, and monetizing the content. Gynn believes that many content creators make the mistake of spending too much time on content creation and not enough on marketing and business operations, and she offers resources and services through The Tilt to help them navigate and succeed in this aspect. Join Tom Fox and Ann Gynn on this episode of the Innovation in Compliance podcast to delve deeper into this topic.

Key Highlights

• Building an Audience: The Content Entrepreneur
• Maximizing Success Through Business Savvy
• Neglecting Business Side: Key Content Entrepreneurship Mistakes
• The Knowledge-Based Content Entrepreneur Expo (CEX) 



Resources:

Ann Gynn on LinkedIn

G Force Communications

The Tilt

Content Entrepreneur’s Expo

Tom

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Igor Volovich brings a unique perspective to the table regarding the importance of executive accountability and proactive risk governance in cybersecurity. Volovich emphasizes the crucial role that executives play in ensuring compliance, controls, and security posture decisions, and criticizes the current model of firing and hiring Chief Information Security Officers as ineffective. He believes that risk governance should be a holistic business function, rather than separate departments handling different types of risks, and encourages boards of directors to question and challenge reports on compliance and risk posture. Drawing from his extensive experience and deep understanding of the field, Volovich advocates for a real-time convergence of compliance, security, and risk management. Join Tom Fox and Igor Volovich on this episode of the Innovation in Compliance podcast to delve deeper into these insights.

Key Highlights:

• Maintaining Compliance Integrity through Executive Accountability
• Misrepresentation of Compliance in Penn State
• Moving Towards Data-Driven, Risk-Based Compliance
• Data-Driven Risk Management for True Compliance
• Incentivized Whistleblowing and Cybersecurity Accountability
• Elevating Risk Governance for Effective Cybersecurity
• Real-Time Compliance and Data-Driven Automation

Resources:

Igor Volovich on LinkedIn

Qmulos

Tom

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Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He has a rich background in supporting a global trading floor, giving him a unique perspective on data loss and compliance challenges. His perspective on “human-centric compliance in the era of AI and digitalization” is shaped by his belief in focusing on individuals and their communications rather than separate communication tools.

He advocates for strategic alignment between vendors, compliance teams, and technology, emphasizing the need for data completeness, integrity, and control in compliance communications platforms. Fry sees the potential of generative AI and machine learning in simplifying compliance processes but also acknowledges the complexity of managing and monitoring policies in the digital age. Join Tom Fox and Phil Fry as they delve deeper into these topics on this final episode of the Future of Communication podcast.

Key Highlights:

• The Importance of Individual Communication in Compliance
• Creating a Sustainable Compliance Environment with Technology
• Leveraging Technology for Streamlined Compliance

Resources:

Phil Fry on LinkedIn

For More Information check out Verint.

Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He specializes in the voice regulatory compliance capture world, particularly emphasizing the financial industry. He firmly believes in the importance of data quality in financial industry compliance, stressing the need to capture and record all trade-related communications, regardless of the time, place, or platform they occur on.

Fry argues that incomplete or missing data can hinder compliance efforts and investigations and that it is crucial to identify and categorize any gaps in the data to reduce false positives and improve trade surveillance. He also discusses the importance of linking conversations to gain insights into communication patterns and improve investigations. His extensive experience in the field shapes Fry’s perspective, and he is dedicated to solving legacy issues related to third-party identification and linking conversations together for improved investigations. Join Tom Fox and Phil Fry on this episode of the Future of Communications podcast as they delve deeper into the importance of data quality in financial industry compliance.

Key Highlights:

• Data Gaps and Communication Patterns in Finance
• Biometric Speaker Detection and Analysis
• Data Quality: The Key to Reliable Analysis

Resources:

Phil Fry on LinkedIn

For More Information check out Verint.

Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He specializes in enhancing surveillance systems through data analysis and risk management. His perspective on this topic is shaped by his commitment to bridging the gap between what is captured and what is perceived to be captured, with a focus on proactive compliance.

Fry believes that surveillance teams can make proactive and smarter decisions by utilizing early analytics and risk analysis on captured data, focusing on high-risk conversations. He also emphasizes incorporating additional metadata points, such as time, geography, and communication patterns, to enhance surveillance capabilities. Fry’s initiatives, which include plans to add emotion detection and real-time call translation capabilities, aim to provide valuable data and insights to various corporate disciplines. Join Tom Fox and Phil Fry on this episode of the Future of Communications podcast to learn more about his innovative approach to improving surveillance systems.

Key Highlights:

• Bridging the Gap: Pre-surveillance Insights
• Improving Surveillance Efficiency through Data Analysis
• Uncovering Valuable Intelligence from Spoken Interactions

Resources:

Phil Fry on LinkedIn

For More Information check out Verint.

Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He believes the shift towards these models has increased the need for digital compliance solutions, as communication and collaboration have become predominantly digital.

Fry emphasizes the importance of capturing data from Unified Communications (UC) tools and enhancing them with AI-based features to support businesses in maintaining compliance. He introduces the concept of “human compliance,” which involves monitoring a regulated user’s interactions across channels and locations to prevent misconduct. Fry’s perspective is shaped by his experience at Verint, where he saw the company’s investment in AI technology to enhance compliance features. Join Tom Fox and Phil Fry on this episode of the Future of Communications podcast to learn more about the need for comprehensive and proactive digital compliance solutions in the context of hybrid work models.

Key Highlights:

• The Impact of Hybrid Working on Business and Compliance
• Revolutionizing Communication Capture in the Digital Age
• Verint’s Comprehensive Financial Markets Website

Resources:

Phil Fry on LinkedIn

For More Information check out Verint.

Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. Fry’s perspective on “adapting financial compliance solutions to evolving communication modes” is shaped by the significant transformations in the financial compliance environment due to factors such as COVID, hybrid working, and the adoption of Generative AI.

Fry acknowledges the complexities of using different communication modes and the increasing challenges for compliance solutions to keep pace. Phil emphasizes the need for a holistic compliance solution to capture the entire communications environment and highlights Verint’s pioneering efforts in utilizing generative AI-driven transcription, communications, pre-surveillance, and speech analytics capabilities. Join Tom Fox and Phil Fry on this episode of the Future of Communication podcast as they delve deeper into this topic.

Key Highlights:

• Transforming Financial Compliance in the Digital Age
• Verint’s Holistic Compliance Solution for Financial Institutions
• Regulatory Fines and Compliance Solutions

Resources:

Phil Fry on LinkedIn

For More Information check out Verint.

Jamie’s perspective on the topic of “MirrorWeb: a surveillance platform for digital communication compliance” is that communications compliance is a crucial aspect of regulatory enforcement actions, which are only increasing. He emphasizes the importance of capturing insights from emerging platforms and technologies and scaling these surveillance platforms to meet the requirements of both regulated and non-regulated businesses. Join Tom Fox and Jamie Hoyle on this episode of the Innovation in Compliance podcast to learn more about Jamie’s insights and experiences.

Key Highlights:

• Insightful Compliance Solutions for Digital Communications
• The "Needle in a Haystack" of Communications Compliance
• The Rise of Individual Accountability in Compliance
• Communications Surveillance and Compliance Solutions

Resources:

Jamie Hoyle on LinkedIn

MirrorWeb

Tom

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David Carter is a seasoned entrepreneur and business expert with a diverse background in corporate finance and investment banking. He has worked in seven different countries over ten years, owned and operated golf and country clubs, and authored a book published in 138 countries. Carter's perspective on Entelechy Academy's approach to personalized professional development is that it democratizes the mentoring and coaching services previously only available to a select few.

He sees the academy as his legacy project, combining all his career experiences into one final endeavor focusing on character development to help individuals achieve their full potential. Carter emphasizes the importance of return on investment and offers a transformative phase that includes ongoing data analytics, expert facilitation, and personalized learning journeys. Join Tom Fox and David Carter on this episode of the Innovation in Compliance podcast to learn more about his unique perspective.

Key Highlights:

• Unlocking Your Ultimate Potential through the Entelechy Academy
• Character Competence and Workforce Engagement
• 360 Degree Feedback and Personalized Development Insights
• Optimizing Performance and Productivity with AI
• Building a Character-Driven Workforce for Success
• Transformative Writing Journey: From Surgery to Worldwide Publication

Resources:

David CM Carter on LinkedIn

Entelechy Academy

Tom

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Encapture is a machine learning platform streamlining back-office processes for banks and lenders, particularly compliance and data reporting. Using document automation and machine learning, Encapture improves efficiency and reduces risk in the document lifecycle. The platform ensures accurate data submission to regulatory authorities and provides audit trails for regulatory purposes. Internal referrals are a powerful marketing tool that allows for an easier transition into becoming an approved supplier. The future of banking compliance lies in bringing intentional insight and value to financial institutions. Encapture aims to deliver year-over-year value and be seen as mission-critical to its client’s businesses. With increasing regulatory pressure, the need for efficient technologies like Encapture’s will continue to grow.

• Encapture: Streamlining Document Lifecycle
• Encapture platform: Providing audit trails for compliance
• Internal Referrals
• The Future of Banking Compliance
• Simplifying Compliance for Banks

Resources

Tyler Barron on LinkedIn

EnCapture

Tom Fox

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Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern.

In Part 5 of a five-part podcast, we why companies need a strong ethical culture and high-quality compliance program.

Pat Harned, CEO of ECI (Ethics & Compliance Initiative) and a leading expert in workplace ethics and compliance programs, has extensive experience in the field and has led the 2023 Global Business Ethics Survey. Pat firmly believes that workplace ethics concerns are a significant issue and that compliance programs are necessary to address these concerns. Her perspective is shaped by alarming data showing high levels of pressure, increased observations of misconduct, and worrying rates of retaliation in the workplace. Pat advocates for the implementation of high-quality ethics and compliance programs, emphasizing the importance of manager engagement, regular reminders of reporting resources, anti-retaliation programs, and holding all employees accountable for ethical behavior. She also recommends regular assessments of these programs and their impact to ensure their effectiveness. Join Tom Fox and Pat Harned as they delve deeper into these issues in the upcoming episode of the 2023 GBES podcast.

Key Highlights:

• Ethics and Compliance Challenges in Global Workplaces
• Creating a Culture of Retaliation-Free Workplaces
• Evaluating Organizational Performance with Global Benchmarks

Resources:

ECI

2023 Global Business Ethics Survey

Blog Post on the 2023 GBES, Part 5

Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 4 of a five-part podcast, we explain why companies need a strong ethical culture and high-quality compliance program.

The 2023 GBES strongly advocates for the establishment of a robust ethical culture in businesses. Pat Harned’s insights reveal that many employees need to operate within a strong ethical culture, and they stress the need for businesses to not only meet minimum standards but also strive for high-quality programs that transform company culture and operations. Pat believes that leaders should model ethical behavior and actively promote program activities that positively influence conduct and minimize the risk of non-compliance. Join Tom Fox and Pat Harned as they delve deeper into this topic on the 2023 GBES podcast episode.

Key Highlights:

• Building a Strong Ethical Culture in Business
• Transforming Organizational Culture through Ethics and Compliance
• What is a high-quality compliance program?

Join us in Part 5, where we discuss how a compliance professional can use this information in their corporate compliance program.

Resources

ECI

2023 Global Business Ethics Survey

Blog Post on the 2023 GBES, Part 4

Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 3 of a five-part podcast, we consider addressing workplace misconduct.

The 2023 GBES showed that within workplace ethics, retaliation, and whistleblower protection issues, retaliation is a pervasive issue in the workplace, with a significant number of individuals who report misconduct experiencing some form of retribution. The GBES revealed that retaliation remains unacceptably high, with many victims of harassment or discrimination choosing not to report due to fear of further retaliation. Pat emphasizes the importance of educating supervisors and coworkers to recognize and address retaliation, as well as supporting and educating employees who come forward about what retaliation might look like and how to handle it. Join Tom Fox and Pat Harned as they delve deeper into these issues on the 2023 GBES podcast.

Key Highlights:

• Pressure to Compromise Workplace Standards
• Lack of Support for Whistleblowers
• What is retaliation?

Join us in Part 4, where we ask ‘what is an ethical culture”?

Resources:

ECI

2023 Global Business Ethics Survey

Blog Post on the 2023 GBES, Part 3

Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 2 of a five-part podcast, we consider addressing workplace misconduct.

Pat’s views on workplace misconduct have been shaped by her belief in the importance of a strong relationship between employees and their supervisors, which she sees as crucial to encouraging reporting of misconduct and ensuring satisfaction with the outcome. She advocates for training managers to respond supportively to reports and emphasizes the need for organizations to educate employees on the importance of reporting misconduct internally rather than resorting to social media or external agencies. With her extensive research and expertise, Harned has made significant contributions to promoting ethical practices in the workplace. Join Tom Fox and Pat Harned as they delve deeper into this topic on the 2023 GBES podcast.

Key Highlights:

• Increasing Rates of Workplace Misconduct and Managerial Response
• Global Reporting Trends in Corrupt Countries
• The Impact of Supportive Managers on Reporting

Join us in Part 3, where we consider some disturbing findings on retaliation.

Resources

ECI

2023 Global Business Ethics Survey

Blog Post on the 2023 GBES, Part 2

Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 1 of a five-part blog post series on the 2023 GBES, Tom Fox and Pat Harned provide an overview of the GBES.

Pat Harned is a seasoned compliance professional committed to fostering ethical conduct in the business sector. As the CEO of ECI, Pat has a unique perspective on the global business ethics survey: insights into workplace ethics and compliance, shaped by her 16 years of involvement with the survey. She finds the recent survey results deeply troubling, pointing out several issues, such as high levels of employee pressure to compromise standards, increased misconduct, persistent retaliation, and a low percentage of employees reporting a strong ethical culture in their workplaces. Pat underscores the significance of a robust ethics and compliance program and is confident that the survey data can offer valuable benchmarks and recommendations for organizations aiming to enhance their programs. Join Tom Fox and Pat Harned as they delve deeper into this topic in the upcoming episode of the 2023 GBES podcast.

Key Highlights:

• Insights into Workplace Ethics and Compliance
• The Crucial Role of Diverse Respondents
• Alarming Workplace Ethics and Compliance Trends

Join us in Part 2, where we consider the findings of the observation of workplace misconduct.

Resources:

ECI

2023 Global Business Ethics Survey

Blog Post on the 2023 GBES, Part 1

They discussed the upcoming Podcasting for Business Conference. In this virtual conference, scheduled for November 13-15, there will be a deep dive into strategies and best practices for effective business podcasting. Additionally, the Conference will cover a wide range of important factors that impact the success of a business podcast, including interviewing techniques, collaboration with remote teams, podcast reach, guest selection, and real-life examples of podcasts connecting brands with audiences. To conclude the conference, Megan will present her annual State of Business Podcasting Report, which provides valuable insights and data on best practices for podcasting businesses.

Key Highlights:

• Translating Complex Information for Podcast Audiences
• Maximizing Podcast Reach with Strategic Guest Selection
• Podcast Power: Real-Life Brand-Audience Connections
• Insights and Strategies for Business Podcasting

Resources:

Megan Dougherty on LinkedIn

One Stone Creative

Podcasting for Business Conference

Tom

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Strong reporting systems and a robust corporate culture must be balanced in business efficiency. One great academic paper demonstrates how companies with robust whistleblower and reporting systems enjoy greater profitability, increased workforce productivity, and fewer material lawsuits. Tom has seen firsthand the transformative power of a culture of speaking up. He emphasizes that it’s about having a hotline and an entire system with employee engagement. This culture of ‘SpeakUp’ can provide actionable information to prevent, detect, and remediate issues before they become legal violations and can contribute to a functioning and ethical corporate culture. A culture of trust and empowerment ultimately leads to motivated employees who can contribute to business efficiency and greater profitability. Join Tom Fox on this Breaking the Silence: How Speaking Up Enhances Corporate Culture podcast episode to delve deeper into this fascinating topic.

Key Highlights:

• Academic research
• Q2C and P2P
• Material differences

Resources:

Case IQ

Meric Bloch is an expert in workplace investigations with a rich background in helping corporate clients establish effective investigation programs. He is currently serving as an adjunct professor at Fordham University Law School. Meric strongly emphasizes the importance of workplace investigations and fostering a culture of employee compliance. He believes that merely setting up a hotline and establishing policies is insufficient; companies must actively engage with employees to understand their motivations for speaking up or remaining silent. Meric also underscores the need for accountability and a critical evaluation of the effectiveness of compliance programs. His experiences with multinational companies have shaped his understanding of their challenges, particularly the fear of being perceived as incompetent and the difficulties in reporting. Join Tom Fox and Meric Bloch on this episode as they dive deep into improving your compliance program through a speak-up culture.

 Key Highlights:

• Enhancing Corporate Investigations for Compliance and Accountability
• The Impact of Cooperation on Reporters
• The Impact of Meaningful Speak Up Culture

Resources:

Meric Bloch on LinkedIn

Winter Investigations

Case IQ

Jakub Ficner has over 15 years of experience in the internal investigative space and is currently the Director of Partnership Development at Case IQ. He strongly advocates for the importance of the triage process and technology in organizational compliance. Jakub emphasizes the need for a rigorous reporting, triage, and investigation process, even before receiving a complaint or allegation. He believes that effective means of documenting and tracking investigative processes are crucial for establishing accountability and defensibility in compliance processes. Drawing from his extensive experience, Jakub highlights the significance of having a documented process, especially for multinational companies with compliance officers in various regions. He recommends using technology, such as a case management solution, to ensure accountability, defensibility, and easy information retrieval. Join Tom Fox and Jakub Ficner on this episode as they delve deeper into these topics of triage and investigations.

 Key Highlights:

• The importance of effective triage
• Improving Response Time and Setting Expectations
• Effective Compliance Documentation and Tracking
• Using Technology to Establish Accountability and Defensibility

Resources:

Jakub Ficner on LinkedIn

Case IQ

Kenneth McCarthy is a seasoned professional with a diverse background in government and entrepreneurship and a wealth of experience in handling whistleblowers, including sexual harassment cases. Kenneth’s perspective on addressing sexual harassment retaliation and encouraging reporting in workplaces is rooted in his belief in the importance of non-retaliation protocols and processes. He emphasizes the need to create a safe and supportive environment for individuals to report concerns, particularly in cases of sexual harassment. Drawing from personal experiences, he has seen the damaging effects of retaliation on individuals’ willingness to speak up and the potential legal and reputational implications for employers who fail to protect whistleblowers. Join Tom Fox and Kenneth McCarthy as they delve deeper into this topic in this episode.

 Key Highlights:

• Systemic Retaliation in Sexual Harassment Cases
• Creating a Safe Reporting Environment
• The Crucial Role of Empowered Bystanders
• Encouraging Bystanders: Protecting and Supporting Witnesses

Resources:

Kenneth McCarthy on LinkedIn

Integrity by McCarthy

Case IQ

Sharlyn Lauby is a seasoned human resources professional with over 15 years of experience in various industries, including theme parks, hotels, and airlines. She strongly advocates for fostering a speak-up culture in the workplace, a perspective shaped by her extensive experience in organizational development and her role as the former vice president of human resources for a global consulting firm. Sharlyn believes that a speak-up culture is characterized by open and effective communication, where employees feel comfortable expressing their concerns and sharing their ideas. She emphasizes the importance of listening as a key leadership trait, the need for policies to protect employees from retaliation, and the crucial role of middle managers in creating a supportive environment. Join Tom Fox and Sharlyn Lauby as they delve deeper into this topic in this episode.

 Key Highlights:

• Open communication and employee empowerment
• Creating a Speak-Up Culture to Drive Positive Outcomes
• The Power of Fair Processes in Organizations

Resources:

Sharlyn Lauby on LinkedIn

ITM Group

Case IQ

Alexander Cotoia, a regulatory compliance manager and consultant at the Volkov Law Group, has a rich background in commercial litigation and has spent a significant part of his career in an in-house role at Virgin Galactic. Alexander strongly emphasizes the importance of compliance culture in organizations, believing that a culture promoting compliant behavior reduces the likelihood of ethical lapses or legal violations. He argues that creating a culture of compliance is not only ethically sound but also makes good business sense in today’s era, where consumers are well-informed and employees prioritize alignment with organizational values. Alexander suggests that organizations should reinforce their values and highlight the economic benefits of compliance to gain employee buy-in and engagement, emphasizing the need for continuous improvement, conducting root cause analysis, and involving various stakeholders to address cultural issues effectively. Join Tom Fox and Alexander Cotoia as they dive deep into how to continuously improve your compliance program in this episode of Unlocking Success: The Crucial Role of Culture in Compliance Best Practices podcast episode.

Key Highlights: 

• Cultivating CEO Involvement for Compliance Success
• Improving Corporate Culture through Effective Monitoring
• Cultivating Compliance Culture through Stakeholder Collaboration

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com.

Michael Parker is a seasoned compliance professional with extensive experience cultivating and sustaining a business compliance culture. He does not believe there is a one-stop,  universal approach to establishing a compliance culture, emphasizing the necessity of providing options and guidance to employees rather than merely imposing rules. Michael underscores the importance of continuous engagement and communication in managing compliance culture risks and the crucial role of leadership in setting the tone for compliance and fostering an ethical culture throughout the organization. He also acknowledges the significance of incentives in promoting compliance. Still, he stresses that incentivizing employees should be customized to individual circumstances and include a clear understanding of the consequences of non-compliance. Join Tom Fox and Michael Parker as they delve deeper into how to monitor your compliance program after you have created a culture management strategy in this episode of Unlocking Success: The Crucial Role of Culture in Compliance Best Practices podcast episode.

Key Highlights: 

• Building a Compliance-Focused Leadership Culture
• Leveraging Technology for Compliance Monitoring and Training
• Driving Compliance Culture Through Executive Leadership

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com.

 Join us tomorrow in our concluding episode, where we continuously consider how to improve culture in the future.

Jessica Czeczuga is a seasoned professional with over two decades of experience in training and development, specializing in areas such as finance, quality, compliance and ethics, leadership, and communication training. Jessica brings a unique perspective to the compliance space, emphasizing the pivotal role of managers in shaping and reinforcing company culture. She believes that managers, the most influential group within an organization, should be adequately trained to align with the desired culture and equipped with the necessary tools to communicate and reinforce cultural values effectively. Jessica also advocates for collaboration between compliance professionals and HR to improve culture, leveraging their counseling skills and creating clear processes for reporting and addressing culture-related issues. Join Tom Fox and Jessica Czeczuga as we dive deeply into this topic in this Unlocking Success: The Crucial Role of Culture podcast episode.

Key Highlights: 

·      The Impact of Managers on Company Culture

·      Collaborative Partnership: HR and Compliance Driving Reporting

·      The Role of Managers in Shaping Culture

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com.

 Join us tomorrow, where we consider how to monitor culture going forward.

Viktor Culjak is a chartered accountant with a strong finance, audit, and risk consulting background. Currently serves as the Director of Customer Success and Services at Diligent. With a decade of experience in the Big Four and a focus on governance, risk, and compliance (GRC) objectives, Viktor firmly believes in assessing and managing organizational culture as a risk factor. He views culture as a dynamic risk that can have significant consequences if not properly managed and advocates for standardized and benchmarked culture assessments to provide valuable insights for risk management. Viktor emphasizes the need for practical guidance on implementation, highlighting the significance of tone at the top and other artifacts such as policies, procedures, and feedback mechanisms in culture assessments. Join Tom Fox and Viktor Culjak as we delve deeper into assessing culture on this episode of the Unlocking Success: The Crucial Role of Culture podcast.

Key Highlights: 

·      Assessing and Auditing Organizational Culture

·      Creating a Culture of Effective Communication

·      Evaluating Culture Alignment for Continuous Improvement

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture.

For more information and to book a demo, visit Diligent.com

 Join us tomorrow, where we consider how to create a culture management strategy.

Yvette Hollingsworth-Clark, a seasoned professional in the financial services industry, currently holds the position of Chief Compliance Officer for State Street Corporation. With a robust background in risk management, Yvette has cultivated a deep understanding of the significance and measurement of corporate culture in the financial sector. She asserts that corporate culture should not be solely managed by the compliance function but rather owned by the C-suite and executed in various forms. Yvette emphasizes the need for specific metrics to monitor and promote desired cultural values, such as integrity. She believes culture can be measured through metrics such as the number of risk decisions overruled, challenged, or implemented correctly. She also highlights the importance of considering stakeholders such as customers, clients, and third parties when assessing corporate culture. Join Tom Fox and Yvette Hollingsworth-Clark on this episode to delve deeper into this topic.

Key Highlights:

• Measuring and Managing Corporate Culture in Finance
• Shaping Corporate Culture: Board’s Key Role
• The Nuances of Assessing Organizational Culture

Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com

Join us tomorrow, where we consider how to assess your culture.

Telemedicine in the Army has become crucial in providing healthcare to remote and deployed soldiers. Dr. Laura Purdy, a family medicine physician with a military background, has been at the forefront of this innovation. Telemedicine allows doctors to provide care remotely, improving access to healthcare in rural areas with limited services. However, the insurance industry's lack of understanding hinders acceptance of telemedicine. Dr. Purdy encourages patients to try telemedicine, especially cash pay services, for more control over their healthcare choices. Scaling up a telehealth company requires careful consideration of being cash pay or accepting insurance. Regulatory challenges in telehealth include physician licensing, state laws, legal standards, and controlled substances. The future of telemedicine involves seamless integration of virtual and in-person care. Dr. Purdy's company, AfD Health System, aims to provide accessible care and educational content through Instagram and a developing website. Overall, telemedicine has the potential to revolutionize healthcare delivery, but it requires greater acceptance, understanding, and comprehensive regulation.

Key Highlights

·      Telemedicine in the Army

·      Telemedicine: Improving Access to Healthcare

·      Challenges in Telehealth Regulation

·      The Future of Telemedicine

·      AfD Health System

 Resources

Dr. Laura Purdy on LinkedIn

DrLauraPurdy.com

Tom Fox

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·      The Role of a CTO in Compliance

·      Data Strategy and Compliance

·      Data Governance Challenges

·      Data Governance and Startups

·      Risks in System Audits

 Resources

Oshri Cohen on LinkedIn

Tom Fox

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The conversation focuses on the shift in communication channels from email to platforms like Slack and social media, highlighting the human factor as the biggest risk in compliance strategies. Lehman emphasizes the need for companies to prioritize compliance and good corporate governance in these new communication channels. To manage risk, companies should treat digital compliance as a risk management process, gaining visibility into employee communication tools, establishing policies, training employees, and utilizing technology. 

We also highlight the tension between compliance teams and line of business teams, emphasizing the need for compliance teams to be enablers and strategic partners. The conversation references recent SEC enforcement actions and the importance of taking action to enforce compliance. Overall, digital compliance and governance are crucial in the modern business landscape, and utilizing technologies like monitoring tools and natural language understanding can help businesses stay secure and compliant in the digital age.

Highlights Include:

·      Safeguard Cyber: Securing Digital Communications

·      Managing Risk in Digital Compliance

·      Managing Risk in Compliance

·      Digital Compliance and Governance

 Resources

Chris Lehman on LinkedIn

Safeguard Cyber

Tom Fox

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The US government is increasingly turning to automation and AI to meet its security and compliance standards. With the transition of FedRAMP from guidance to law, companies are now required to use it and meet certain cybersecurity standards to do business with the US government. NIST 800-53 Rev. 5 addresses regulatory change around privacy with GDPR and other things and includes new control families and changes to existing ones.

As the government continues to revise its standards, the need for automation is becoming increasingly important. The National Institute of Standards and Technology (NIST), a standards body within the federal government, is working with the Open Security Controls Assessment language (OSCAL) team to develop standards. NIST has interacted closely with the OSCAL team, creating an open-source repo on GitHub and building communities of interest. Additionally, NIST works with other government agencies, tool providers, and industry to develop standards.

FedRAMP provides clarity of goal for vendors and customers but is expensive and time consuming to achieve. Cybersecurity is no longer a cost center, but a requirement to do business with the US government. The Department of Defense requires companies to meet certain cybersecurity standards to do business with them. Other agencies are taking similar stances in regard to cybersecurity. Companies are now required to have a compliance program to do business with them. Cybersecurity is now seen as one of the top risks to businesses, causing legal risk, revenue loss, and embarrassment.

Key Highlights

·      NIST 800-53 Rev. Five

·      NIST and FedRAMP

·      Cybersecurity Requirements

·      Cybersecurity Regulations

·      Continuous Improvement of Standards

 Resources

 Travis Howerton on LinkedIn

RegScale

Tom Fox

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In this fifth episode in a 5-part series, host Tom Fox and guest Raewyn Danvers discuss how compliance professional can stay ahead of regulatory compliance technology trends. In their conversation, Raewyn highlights the growing significance of mobile messaging in compliance, especially with millennials and Gen Z entering the workforce. They also discuss the pros and cons of using corporate devices versus bring your own device (BYOD) policies in the workplace, before introducing Global Relay as a solution for managing and archiving communication data in a compliant manner. As a long-term partner in compliance, Global Relay offers dedicated onboarding specialists and account representatives to ensure customers stay on top of the latest technology trends. Interested in learning more? Check out Global Relay's website for a demo today! 

Key Highlights

·      Trends in Mobile Messaging Compliance Technology

·      Adapting to Technology for Workforce Retention

·      Corporate Devices v. BYOD

·      Global Relay's Technology Integration and Data Management

For more information go to Global Relay.

In this fourth episode in a 5-part series, host Tom Fox has a fascinating interview with Jennie Clark, Head of Content at Global Relay. They discuss the recently released report on compliant communication and fines faced by companies. Discover how they gathered information from customers and industry experts to contextualize these findings. Find out why 59% of respondents from regulated industries, particularly financial services, have banned apps such as WhatsApp and WeChat. Explore the more creative solutions discussed in the report, including the idea of corporate-issued devices rather than BYOD. Gain insights into communication compliance challenges and how education and training around compliance culture can help employees understand the consequences of non-compliance. Don't miss out on this insightful conversation on Global Relay Industry Insights Report.

Key Highlights

·      Global Relay's "Compliance Communications 2023" Report

·      Regulating Communication Channels in Businesses

·      Communication Compliance Challenges and Business Opportunities

For more information go to Global Relay.

To obtain a copy of the Insights Report, Compliance Communications 2023, click here.

Join us in our concluding episode where we discuss Compliant Communications in One App

In this third episode in a 5-part series, Tom Rob Mason, Director of Regulatory Intelligence at Global Relay. In this episode, Rob shares his experience, having worked with Lloyds Banking Group, UBS and the UK's conduct regulator. The podcast delves into current UK regulatory priorities, data protection issues, and the importance of operational risk management, compliance and surveillance in the banking industry. Hear Rob's insights on the evolution of the remit of the FCA, the role of monitoring communication effectively without breaching data privacy, Brexit and data protection issues, and the need for closer monitoring to avoid scandals. If you want to learn from industry experts and how to manage risk and compliance, tune in to UK Regulatory Landscape.

Key Highlights

• Latest UK Regulatory Priorities
• Comparison of FCA and SEC Regulations
• Data Protection and Operational Resilience in the UK
• Impace of the Merger of Credit Suisse and UBS
• Closing Remarks and Website Invitation

For more information go to Global Relay.

Join us in our next episode where we look at the Global Relay Report: Compliant Communications in 2023.

In this second episode in a 5-part series, Tom visits with UK regulatory compliance expert, Alex Viall, in this thought-provoking podcast as they discuss the dynamics between business innovation and regulatory compliance. Discover how the evolution of technology is causing a generational shift in communication and how this impacts businesses in the industry. Hear about the importance of capturing conversations and messages for law enforcement purposes and the need for policies and procedures to manage risks effectively. Don't miss the expert insights on practical solutions, training, and monitoring policies to stay compliant. Tune in now and learn why banning communication isn't the answer, and how a proactive attitude can lead to better risk management and regulatory compliance.

Key Highlights

·      Balancing Innovation and Compliance in Messaging

·      Challenges of Ephemeral Messaging in Business

·      Communications Compliance and Training for Business Conversations

·      Overcoming Ineffectiveness of Communication Bans

For more information go to Global Relay.

Join us in our next episode where we look at the current UK regulatory landscape for messaging apps.  

In this first episode in a 5-part series, Tom visits with  Chip Jones, Executive VP of Compliance and Business Development at Global Relay. They discuss the challenges of maintaining communication compliance in various industries, with a focus on off-channel communications, particularly in the financial services industry. Chip shares insights on the recent collective settlement issued by the SEC, which sends a clear message to firms about the importance of adhering to internal policies on communication retention and supervision. Learn about how Global Relay is helping firms monitor their communications to detect fraudulent activities and avoid compliance issues. Don't miss this informative podcast, which ends with a teaser for the next episode on the impact of regulatory action on business innovation. 

Key Highlights

·      The Challenges of Regulatory Compliance in the US

·      SEC enforcement actions on communication violations

·      Monitoring Electronic Communications in Financial Services

·      Off-channel Communications Consequences

For more information go to Global Relay.

Join us in our next episode where we ask the question: Is business innovation being stifled by regulatory action? 

In this episode, Greenberg discusses the board’s legal obligations, emphasizing their duty to exercise reasonable oversight over potential misconduct and failures of compliance with law and policy. The podcast also delves into the importance of integrating compliance programs into a company’s overall strategy and developing strong relationships with senior management, such as the chief legal officer or chief compliance officer. Listeners will learn the importance of finding the right committee to oversee compliance obligations and utilizing outside experts for insight and guidance. This conversation is essential for board members and executives who want to ensure accountability, initiate change, and drive organizational success. Don’t miss out on this informative and engaging episode of “The Role of the Board” episode.

Key Highlights:

• Legal obligations and oversight for corporate boards
• Importance of integrating compliance into the company culture
• Board Oversight and Relationship Building with CCO
• The Significance of Outside Perspectives for Boards

Notable Quotes:

“There is a strong obligation on boards to exercise reasonable oversight over all potential misconduct and failures of compliance law and policy should a reasonable board has known and taken steps…should that body have known and should it have done more than it did.”

“Boards principally should be asking tough questions and following up on those questions.”

“Anything that is not integrated into the real levers and machinery of the business will not be successful.”

“That chief compliance officer who knows the head of the audit committee or compliance committee or governance committee is much more able and comfortable picking up the phone and saying to the chair, Houston, we’ve got a problem.”

For more information go to Diligent.com

Join Tom Fox in an exciting episode about building a stronger culture of compliance through targeted and effective training as he interviews Andrew Rincón. Discover how the compliance industry has evolved and how technology has significantly improved compliance programs. Find out how efficient compliance processes create goodwill for compliance professionals and make them true partners of the business with the help of technology and reliable due diligence partners. Andrew Rincón shares Diligent’s screening and monitoring options for third-party suppliers and the customized anti-bribery and anti-corruption training, available in multiple languages, also perfect for bite-sized, animated micro-learnings. Tune in to learn how to educate distributors and internal gatekeepers on compliance and useful resources for compliance professionals, only on a training program for 3rd parties.

Highlights Include:

• The Role of Compliance with Distributors
• Efficient Due Diligence for Distributors
• Diligent’s Anti-Bribery and Sanctions Screening Solutions
• Compliance Training & Internal Controls for Distributors

NOTABLE QUOTES:

“And commission sales agents are certainly recognized as, if not the highest, a high risk, under the FCPA and other compliance regimes.”

“One area the thinking has evolved on, and it sounds like your career and my career, is that due diligence alone is insufficient.”

“So being as efficient as a process. And nowadays, everything moves at the speed of light.”

“But nowadays, with the amount of information that gets published every single day throughout the world, where there’s so much content out there.”

For more information, go to Diligent.com

Join us tomorrow as we conclude our series with a look at the role of the Board of Directors in a compliance program.

In this episode, Tom sits down with Kevin McCoy, a customer success manager at Diligent, to talk about the importance of targeted training in compliance. They dive into the importance of engaging employees through microlearning and Diligent’s unique use of cartoon-animated videos to make the content accessible to different audiences. They also discuss the significance of translating the training into different languages and tailoring it to specific risk areas for different teams. The podcast emphasizes that training leadership and the board in compliance is crucial, and they touch on risk-based training for individuals with a significant impact on the company’s financials. This episode is a must-listen if you want to discover the best strategies for planning and analyzing training to achieve desired outcomes and where to find more information about Diligent training solutions. Join them for the next episode on training effectiveness and improving compliance today.

Key Highlights:

• Targeted Training in Compliance & Ethics
• Effective and Targeted Training Translation
• Training and Leadership in High-Risk Industries
• Effective Training Planning and Execution

Notable Quotes

“It’s very important then to have your content translated into different languages.”

“There’s a lot of progress has been made over the years with machine translation and also AI is getting very popular, but we still use human-based translators.”

“But within the board or within leadership within the company, he was almost untouchable. It was like he built up fear in the organization, and people were actually afraid to ask questions.”

“The really important thing is to have versatile different types of training.”

For more information, go to Diligent.com.

Join us in our next episode, where we define the effectiveness of compliance training.

In this episode, Tom sits down with Kevin McCoy, a customer success manager at Diligent, to talk about the importance of targeted training in compliance. They dive into the importance of engaging employees through microlearning and Diligent’s unique use of cartoon-animated videos to make the content accessible to different audiences. They also discuss the significance of translating the training into different languages and tailoring it to specific risk areas for different teams. The podcast emphasizes that training leadership and the board in compliance is crucial, and they touch on risk-based training for individuals with a significant impact on the company’s financials. This episode is a must-listen if you want to discover the best strategies for planning and analyzing training to achieve desired outcomes and where to find more information about Diligent training solutions. Join them for the next episode on training effectiveness and improving compliance today.

Key Highlights:

• Targeted Training in Compliance & Ethics
• Effective and Targeted Training Translation
• Training and Leadership in High-Risk Industries
• Effective Training Planning and Execution

Notable Quotes

“It’s very important then to have your content translated into different languages.”

“There’s a lot of progress has been made over the years with machine translation and also AI is getting very popular, but we still use human-based translators.”

“But within the board or within leadership within the company, he was almost untouchable. It was like he built up fear in the organization, and people were actually afraid to ask questions.”

“The really important thing is to have versatile different types of training.”

For more information, go to Diligent.com.

Join us in our next episode, where we define the effectiveness of compliance training.

In this episode, Tom Fox visits Kunal Agrawal, the Director of Customer Success at Diligent, about the importance of ongoing communications. Kunal shares his extensive background in technology and customer success and explains how his team helps customers with their day-to-day challenges. The podcast focuses on the significance of ongoing communication in compliance, and Kunal stresses the importance of maintaining a consistent cadence in communication to keep the momentum going. The podcast speakers discuss the use of humor in communication and how it differs based on cultural differences. They also emphasize the importance of understanding guidelines to prevent the compromise of sensitive information. This podcast is packed with valuable insights that will help you improve compliance in your organization. To listen to the full episode, head over to diligent.com!

Key Highlights:

• The importance of communication cadence in compliance
• Importance of Communication Cadence
• Effective Communications for Compliance Professionals
• Compliance with Sensitive Information

Notable Quotes:

“But you take a little bit different approach, and you help clients think about the ongoing part of ongoing communications. And frankly, I’ve never met anyone who talked about that approach.”

“I think having a certain workflow and, as you said, a cadence is equally important. The number one priority is your annual training, which is extremely important, and you need to do it.”

“If there is a pattern to a cadence, then people know what to expect and when.”

“If something goes wrong and if any single person in the organization doesn’t understand the guidelines, and in the processes around this, it can reveal compensation data or even health care data and compromise so much information in the world, which can land into hands of the people you don’t want them to get access to.”

For more information go to Diligent.com.

Join us in our next episode where we consider the value of targeted training.