Today’s episode is a great one. Not only will we be talking about innovation in the field, but we’ll also address how today’s guest, Ted Hart, gives compliance officers a framework by which to think through issues that they face. Ted is the President and CEO of CAF America and brings 30 years of experience in advising global philanthropy. Ted and CAF CAF has a unique goal: to provide service to the philanthropic community, specifically to those in the United States who want to give abroad but ha...
May 28, 2019•17 min•Ep. 77
It’s challenging enough to keep your own business secure. But when you also have hundreds of third-party suppliers, how can you make sure you aren’t vulnerable to attack? Joining us today is Dov Goldman, the Director of Risk and Compliance at Panorays, and on this episode, we’re talking about cybersecurity, and the strategies and measures you can put in place to keep you safe. Panorays Panorays automates your third-party security management. It enables you to easily view and manage the security ...
May 21, 2019•22 min•Ep. 76
How do you keep pace with innovation? Returning to the podcast is Syed Hussain, the Co-Founder & CEO at Liquidity Digital, a blockchain-based FinTech firm that’s building an end-to-end digital security system. How does this work and how can it make our organizations more efficient, more compliant, and more profitable? The shift to digital Traditional forms of capital formation are simply not keeping pace with what the capital demands of the markets are. What blockchain enables people to do i...
May 14, 2019•17 min•Ep. 75
Is there still a place for good manners in today’s ruthless business world? Joining us today is Carrie Penman, the Chief Compliance Officer and Senior Vice President Advisory Services at NAVEX Global. She wrote an article entitled, The Cost of Incivility in the Workplace, and today we’re talking about why manners matter. Why the article: So many people don’t have a good understanding of the fact that how you say something is as — or more — important than what you say. Think about what it’s like ...
May 07, 2019•12 min•Ep. 74
Innovation comes in many ways, forms and inspirations. Today we consider the basic use of communication as an innovation for compliance. We’re chatting with Ben Adelberg, host of The Back of the Range Golf Podcast, and today he’s sharing his processes, tips, and tricks for innovation and moving forward with whatever it is you’re working on. Ben’s approach: Ben interviews a wide variety of people, so before he ever gets on the phone with them, he does a deep dive. He goes through all of their soc...
Apr 30, 2019•18 min•Ep. 73
Do you have HR processes in place? Join us on this episode of the Innovation with Compliance Podcast with Deb Muller, the CEO and Founder of HR Acuity, and we’re chatting about how human resources related technology and processes can help mitigate risks and create a safer workplace for everyone. No rhyme or reason Deb noticed that most of the investigations being done within HR in an organization had no rhyme or reason. There were no processes as to how they should be done. Talking to clients, s...
Apr 23, 2019•21 min•Ep. 72
What does it mean to be accountable and lead with accountability? Sam Silverstein is a consultant and author whose mission is to empower people to live accountable lives, transform the way they do business, and thrive at extraordinary levels. Join us as we take a deep dive into the subject of accountability and how it can impact the way we live and work. Accountability vs. transparency These are two totally different elements. Transparency is being open and honest: admitting that you have made a...
Apr 16, 2019•14 min•Ep. 71
What if compliance training didn’t have to be boring? Joining us on this episode is Andrew Rawson, the Chief Learning Officer for Traliant, a compliance training company. Today we’re talking about the future of compliance training: how to make it truly effective, useful, and even fun. The importance of training The last couple of years have seen the intersection of two seismic forces that have created tremendous demand for quality training. The first was the #MeToo movement, which has brought up...
Apr 09, 2019•23 min•Ep. 70
In this concluding Episode V of special five-part podcast series on an innovative approach to managing third party risk we consider how to use of this information going forward. I have been joined by James Gellert, the Chairman and Chief Executive Officer of Rapid Ratings International, which is sponsor of this special series. Our conversation has been on helping companies manage their third-party supply chains through financial health. The Rapid Rating approach is incredibly innovative, with bo...
Apr 01, 2019•10 min•Ep. 69
We are on Episode IV of special five-part podcast series on an innovative approach to managing third party risk. This week I am joined by James Gellert, the Chairman and Chief Executive Officer of Rapid Ratings International, which is sponsor of this special series. Our conversation will be on helping companies manage their third-party supply chains through financial health. The Rapid Rating approach is incredibly innovative, with both a series of products and services that should be considered ...
Apr 01, 2019•10 min•Ep. 68
We are on Episode III of special five-part podcast series on an innovative approach to managing third party risk. This week I am joined by James Gellert, the Chairman and Chief Executive Officer (CEO) of Rapid Ratings International, which is sponsor of this special series. Our conversation is about helping companies manage their third-party supply chains through financial health. The Rapid Rating approach is incredibly innovative, with both a series of products and services that should be consid...
Apr 01, 2019•10 min•Ep. 67
In this special five-part podcast series on innovation in managing third party risk, I am joined by James Gellert, the Chairman and Chief Executive Officer (CEO) of Rapid Ratings International, which is sponsor of this special series. Our conversation will be on helping companies manage their third-party supply chains through financial health. The Rapid Rating approach is incredibly innovative, with both a series of products and services that should be considered by the compliance practitioner. ...
Apr 01, 2019•11 min•Ep. 66
Welcome to a special five-part podcast series on innovative in managing third party risk. This week I am joined by James Gellert, the Chairman and Chief Executive Officer (CEO) of Rapid Ratings International, which is sponsor of this special series. Our conversation will be on helping companies manage their third-party supply chains through assessing financial health. The Rapid Rating approach is incredibly innovative, with both a series of products and services that should be considered by the ...
Apr 01, 2019•11 min•Ep. 65
What do you get when you mix podcasting with the law? Joining us on this episode is Gordon Firemark, an attorney in Los Angeles with a background in entertainment and podcasting law, and a podcaster himself. Find out how you can use podcasting to ethically market your firm, and how to protect yourself legally in this space. The growth of podcasting It’s developed as a really remarkable communications tool but is still underutilized in many ways. It’s very exciting and a great opportunity for law...
Mar 26, 2019•19 min•Ep. 64
On this episode of the Innovation in Compliance Podcast, we have Patrick Conroy, RegTech Leader and Managing Director at ACA Technology. What does ACA do, what technologies and solutions do they offer, and how can you leverage them to make your compliance programs more strategic, nimble, and proactive? Professional background Patrick shares how he got his start in financial services, to working at the largest global banks in the world, and honing his skills as a compliance practitioner and embra...
Mar 19, 2019•18 min•Ep. 63
Can you pick up misconduct signals from a conversation? Joining us today is Brandon Carl, the Vice President of Product Management at Digital Reasoning. He oversees their product portfolio and brings together research, machine learning, and development for their audio analytics and conduct surveillance, and he’s here to share how artificial intelligence can change the way we do compliance. Digital Reasoning Solutions Digital Reasoning got its start working with government institutions on identif...
Mar 12, 2019•14 min•Ep. 62
Why does accounting have to be so complicated? That was the question today’s guest, Ian Crosby, asked himself. And from that question, America’s largest bookkeeping service for small businesses was born. Ian is the co-founder and CEO of Bench, and he’s talking about taking the grounded route to innovation — and how it’s always about the people. Humble (and frustrated) beginnings Ian was a bookkeeper in college and came across the problem of: how is there not a place you can just go on the intern...
Mar 05, 2019•19 min•Ep. 61
Your organization’s ecosystem is probably bigger than you think, and a big ecosystem presents bigger risks. Dan Kinsella is the Extended Enterprise Risk Management Leader at Deloitte Risk and Financial Advisory, and today we’re talking about managing these risks across the extended enterprise. The “Extended Enterprise” When we think about our organization, we have to think beyond our four walls: the extended enterprise is everything that we’re connected to in our environment. As businesses, we a...
Feb 26, 2019•22 min•Ep. 60
What are you doing to keep your documents secure and your data protected? Today we have Tomas Suros, Chief Solutions Architect, Practice Automation, at AbacusNext. They’ve developed an innovative, all-in-one system for the legal and compliance field that makes work more efficient and more secure. Today we’re learning more about the system and what it can do. Tomas’s background: when law meets tech Tomas attended law school at the time the internet boom was in full swing, with his classes applyin...
Feb 19, 2019•16 min•Ep. 59
As the web gets more and more complicated, how can we keep up? Keith Laska, a board member at Hanzo, joins us today. Hanzo uses artificial intelligence and modern technology to improve compliance effectiveness. With the web being as dynamic as it is, our compliance solutions have to be, too. The story of Hanzo At Hanzo, they use data science to make their customers’ lives easier, covering both proactive and reactive compliance. But there’s one major difference: they collect, store, and offer ins...
Feb 12, 2019•15 min•Ep. 58
As the fraud risk landscape changes, how do you adapt? Today, we have Vince Walden and Matt Galvin. Vince is a Partner with Ernst & Young’s Forensic and Integrity Services Practice, and Matt is the Global Vice President of Ethics & Compliance at Anheuser-Busch InBev. We’re talking about an article Vince has co-authored in Fraud Magazine entitled: Accelerating Anti-Fraud Innovation, as well as innovations that Matt has put forward in his compliance program. What are some of the key reason...
Feb 05, 2019•20 min•Ep. 57
When doing business in a new country, do you know what the bribery risks are? Robert Clark is the Manager of Legal Research at TRACE International, and he’s here to discuss the TRACE Bribery Risk Matrix, an excellent tool for the compliance practitioner, and deep-dive into it and how you can use it — so you don’t get caught unawares. What is the TRACE Bribery Risk Matrix? It’s a tool for assessing bribery risks on a country-by-country basis. Before 2014, the best available resources for doing th...
Jan 29, 2019•16 min•Ep. 56
Are you using social media to get your message and your practice out there? Gyi Tsakalakis is the co-founder of AttorneySync, an internet marketing agency helping their clients grow their visibility and get in front of their audience. He’s here to share with us his insights around the use of the internet and social media — and why you’re already left behind if you don’t. How do you communicate the values of utilizing social media to your clients? It requires a lot of education because it still f...
Jan 22, 2019•21 min•Ep. 55
Innovation can come in many forms: a new product, or a new piece of technology. Today we’re talking about innovation in a process, specifically, mergers and acquisitions. Our guest is Axel Kirstetter, the Vice President for Product Marketing, Content Marketing, and Pricing at Merrill Corporation, here to talk about M&A, and the seven critical M&A transaction mistakes. How does Merrill help companies in the M&A process? They have a virtual data room where clients can put information, ...
Jan 15, 2019•20 min•Ep. 54
Is the smart contract a key innovation that will change the way we arbitrate agreements? Today on the show we have Jacob Enoch, a partner at M. Firon & Co., to talk to us about smart contracts and the implications for both lawyers and the compliance profession. What is a smart contract? A smart contract is a computer protocol or program intended to facilitate, verify, or enforce the negotiations or performance of the contract. There is an emphasis on the automatic performance attributes of a...
Jan 08, 2019•18 min•Ep. 53
“Compliance” and “cinematic” aren’t words you often see together — but for our guest this week, Marc Havener, the pairing makes perfect sense. Marc is a filmmaker and the founder and CEO of Resonate Pictures, a company that produces cinematic training films that stick. Why cinematic training films? On today’s episode Marc shares about his innovative use of storytelling and how he uses it to communicate memorable messages. The divide across filmmaking and compliance training The idea began when M...
Dec 18, 2018•14 min•Ep. 52
What is blockchain, how does it work, and how can it apply to you? On the show we have Syed Hussain, the Global Chief Commercial Officer of BANKEX, a blockchain-based fintech company from New York City. They have an extraordinarily innovative tool, Securitization 2.0 Operating Systems for Capital Markets, and today, Syed tells us more about blockchain and how it can revolutionize the market. Blockchain: what is it, and why is it so revolutionary? This is the kind of technology that spans across ...
Dec 11, 2018•19 min•Ep. 51
Today on the show, we have a guest who isn’t your typical compliance professional. Ronnie Feldman is the President and Creative Director at Learnings and Entertainments… and a comedian! Ronnie and his team help clients communicate more effectively through humor and entertainment, and when it comes to a subject as serious as compliance, Ronnie shares that laughter may be the best teacher. Engaging employees with comedy Treating a serious subject seriously is a surefire way to make it boring, peda...
Dec 04, 2018•17 min•Ep. 50
On today’s show, Tom chats with Kristy Grant-Hart, CEO of Spark Compliance Consulting. She and her team have developed a Spark Score Report, a tool to help you discover how your compliance program looks to the outside world. Kristy and Tom discuss the Spark Score report, what it means for your business and the industry, and how you can find out if your presence shows how truly committed your company is to compliance. What is the Spark Score Report? Is there a gap between how good your program is...
Nov 27, 2018•11 min•Ep. 49
How can companies comply and keep up with the ever-evolving anti-money-laundering rules and regulations? Today we welcome Jennifer McEntire, the director of Financial Crime Compliance Strategy at LexisNexis Risk Solutions, where they combine big data and use advanced technology and analytics to help customers comply with regulations, evaluate and predict risk, and enhance their operational efficiency. Today, Jen and I are talking about how this can apply to non-financial service corporations, an...
Nov 20, 2018•17 min•Ep. 48
