Tom Fox welcomes Brett Manwaring to this week’s Innovation In Compliance podcast. Brett is a Managing Director, Financial Crimes Risk Management at K2 Integrity. Prior to joining K2 Integrity 8 years ago, he served at KPMG and JP Morgan Chase. Brett and Tom talk about the importance of documentation, from both a regulatory and business perspective. Innovation Can Happen Organically It’s a common perception that banks are resistant to innovation, Tom comments. In response, Brett remarks that bank...
Nov 24, 2020•17 min•Ep. 156
Tori Reichman is VP Commercial at Vault Platform, a leading B2B enterprise software company. Vault Platform enables employees to report incidents and also “provides a single source of truth to the company so that the company can receive, manage and resolve incidents and also identify and manage risk around the company’s ethical and cultural health.” Her company’s offering and how it enables both employer and employee, is the topic of Tori’s discussion with Tom Fox in this week’s episode of Innov...
Nov 17, 2020•16 min•Ep. 155
Tom Fox welcomes Simon Moss to this week’s show. Simon - who describes his background as “eclectic”, having worked in and led many companies over his career, including IBM - is now the CEO of Ayasdi, one of the most innovative companies in the artificial intelligence space. Simon and Tom discuss the important work Ayasdi is doing for its clients. The Data Problem Tom asks why AI can’t seem to keep up with the volume of data that needs to be reviewed for AML, ABC and trade sanctions. Simon disagr...
Nov 10, 2020•28 min•Ep. 154
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will ...
Nov 06, 2020•21 min•Ep. 5
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will ...
Nov 05, 2020•12 min•Ep. 4
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will ...
Nov 04, 2020•14 min•Ep. 3
Tom Fox welcomes Andrea Bonime-Blanc to this week’s show. Andrea is the author of Gloom to Boom: How Leaders Transform Risk into Resilience and Value, and a foremost name in compliance. She recently joined the Board of Advisors of Crisp. Andrea and Tom talk about her new role, and the increasing importance of ESG. Risk Intelligence as a Service Andrea explains that Crisp provides risk intelligence as a service: their “series of algorithms search the open Internet and the dark web and a variety o...
Nov 03, 2020•19 min•Ep. 153
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will ...
Nov 03, 2020•12 min•Ep. 2
Welcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I will ...
Nov 02, 2020•15 min•Ep. 1
EJ Marin is the Director of Solutions Engineering at Nakisa. His role is to see customer challenges from different angles, identify patterns, and engineer solutions for the HR function for HR professionals. He chats with Tom Fox about the changing face of HR in this week’s show. Organizational Design and Transformation Tom asks EJ to define organizational design. EJ shares the traditional definition of organizational design, and contrasts this with his take on what it means. “Right now,” he rema...
Oct 27, 2020•13 min•Ep. 152
Tom Fox welcomes Luke Wilson to the Innovation In Compliance show. Luke is the Vice President of Intelligence at 4iQ. He has extensive experience in cyber threat analysis and counter-terrorism, having worked with the federal government for many years. Luke and Tom chat about trending cybersecurity issues in this week’s show. The Adversary Intelligence Company Tom asks Luke why 4iQ calls itself The Adversary Intelligence Company. Luke responds that their mission at 4iQ is to help their clients de...
Oct 20, 2020•14 min•Ep. 151
Josh Turpen is the Chief Product Officer of Jama Software. He says that early in his career he came to understand the importance of good requirements and testing, and the ability to tie it all together. Their Jama Connect solution, he argues, is “the premier requirements management test and risk tool… as it brings together requirements, test and risk in a way that our customers can have good traceability and good verification.” He and Tom Fox chat about the importance of being an enabler, as wel...
Oct 13, 2020•18 min•Ep. 150
John Castner says he had a ‘Sliding Doors’ moment, which led him to leave his teaching career to move into the software industry. John is the President and CEO of IsoMetrix, a risk and compliance management software company. Via their software, John says, “We focus on three things: change for good, partnerships that empower, and the possibility of a better world.” John joins Tom Fox on this week’s show to share how his company is disrupting the risk and compliance industry. Moving Towards True R...
Oct 06, 2020•25 min•Ep. 149
Andy Hinton joined #NotMe as an advisor. He says that the move is “just a continuation of the mission that I had at Google and GE, which is to leverage the employee population to help organizations do better when it comes to risk detection, risk monitoring, and ultimately, risk management.” Ariel Weindling is the founder of #NotMe. His motivation was to try to solve the problem of misconduct, which he felt was being tackled very inefficiently. He says that he wanted his daughter to have a tool s...
Sep 29, 2020•16 min•Ep. 148
Tom Fox chats with Simon Greany, co-founder and Chief Learning Officer of Elucidat, in this week’s show. They discuss how technology can support communication and personalized learning, and how companies can scale online training beyond Zoom. Technology Can Support Communication and Training Technology can support communication and training through engaging, immersive online learning experiences, Simon says. He and his partners built Elucidat to make online learning scalable. Thus far, they’ve s...
Sep 22, 2020•17 min•Ep. 147
Welcome to the fifth and final episode of a special five-part podcast series, sponsored by Exiger, on topics From Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger s...
Sep 18, 2020•22 min•Ep. 5
Welcome to a special five-part podcast series, sponsored by Exiger, on topics From Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger serves the world’s largest banks...
Sep 17, 2020•24 min•Ep. 4
Welcome to a special five-part podcast series, sponsored by Exiger, on topics From Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger serves the world's largest banks...
Sep 16, 2020•18 min•Ep. 3
Welcome to a special five-part podcast series, sponsored by Exiger, on topics From Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger serves the world’s largest banks...
Sep 15, 2020•14 min•Ep. 2
David McLaughlin, founder and CEO of QuantaVerse, joins Tom Fox on this week’s show to discuss his company’s new risk management tool, Country Code Derivation. He explains that this capability was actually a part of their platform for some time, but they saw the need to offer it as a separate tool. “We found that there is a really specific and unique need for understanding the country code of transacting parties,” he says. Identifying Risky Transactions Tom and David discuss how Country Code Der...
Sep 15, 2020•18 min•Ep. 146
Welcome to a special five-part podcast series on the topic of Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID, sponsored by Exiger. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger serves the world’s Largest Banks...
Sep 14, 2020•16 min•Ep. 1
This week’s special guest is Yonason Goldson, expert in ethical leadership, TEDx speaker, and consultant. He joins Tom Fox to discuss why ethics matters, as well as five important lessons the COVID-19 pandemic is teaching us. Trust - the Key to Business Success Yonason shares a story that illustrates how one moment of disrespect can destroy trust between an employer and an employee. He explains, “When you create a culture of trust, that generates loyalty, it generates passion, it generates produ...
Sep 08, 2020•20 min•Ep. 145
Welcome to this special podcast series, In Conversation with K2 Intelligence FIN Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week I have visited with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over this week, we have reviewed the current Governance, Risk, and Compliance (GRC) landscape, looked at GRC at work, considered GRC and the investment community, reviewed GRC and K2 Intelligenc...
Sep 04, 2020•17 min•Ep. 5
Welcome to this special podcast series, In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week am visiting with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over the week, we have reviewed the current Governance, Risk, and Compliance (GRC) landscape, looked at GRC at work, considered GRC and the investment community. In Part 4, we consider GRC and K2 ...
Sep 03, 2020•20 min•Ep. 4
Welcome to this special podcast series, In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week I visit with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over this week, we are reviewing the current Governance, Risk, and Compliance (GRC) landscape, GRC at work, GRC and the investment community, GRC and K2 Intelligence FIN and will conclude with a look ...
Sep 02, 2020•22 min•Ep. 3
Welcome to this special podcast series, In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week I visit with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over the week, we will review the current Governance, Risk, and Compliance (GRC) landscape, look at GRC at work, consider GRC and the investment community, review GRC and K2 Intelligence FIN and concl...
Sep 01, 2020•22 min•Ep. 2
Lisa Beth Lentini Walker says that there was something missing in the compliance and ethics space. Very often, compliance officers find it an isolating profession. She and her partner founded MentorCore as an avenue to improve the well-being of compliance professionals, and to provide the guidance and support they wished they had at the start of their careers. Lisa Beth chats with Tom Fox about the services MentorCore provides. Four Pillars “We can come together and make sure that the profession...
Sep 01, 2020•21 min•Ep. 144
Welcome to this special podcast series, In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week I visit with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over the week, we will review the current Governance, Risk, and Compliance (GRC) landscape, look at GRC at work, consider GRC and the investment community, review GRC and K2 Intelligence FIN and concl...
Aug 31, 2020•20 min•Ep. 1
This week’s guest is the Managing Director - GRC Business Unit at Mitratech, Mark Delgado. He and Tom Fox discuss why automating policy management is no longer a luxury, but a necessity given these unprecedented times. A Cornerstone of Compliance Policy management is a fundamental building block of compliance, Mark says. Without it you can’t guarantee compliance or operational efficiency. He shares why automating policy management is the only way to ensure both. Apart from the benefits to busine...
Aug 25, 2020•18 min•Ep. 143
Welcome to a special five-part podcast series, A Conversation with Skillsoft and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Skillsoft and StoneTurn Group, LLP. Over the course of this series we have explored the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). Focused on your Code of Conduct and how it is informed by your Risk Asse...
Aug 21, 2020•12 min•Ep. 5
