In this five-part podcast series, sponsored by K2 Intelligence FIN, we consider defining and building effective compliance programs. I am joined in this series by Michelle Goodsir, a Managing Director at K2 Intelligence, and Gail Fuller, Financial Integrity Network (FIN) Vice President. Michelle has 25 years of financial crime compliance experience which includes fraud risk management, anti-bribery and corruption, corporate security and investigations, sanctions, and Anti-Money Laundering (AML) ...
May 20, 2020•13 min•Ep. 3
In this five-part podcast series, sponsored by K2 Intelligence FIN, we consider defining and building effective compliance programs. I am joined in this series by Michelle Goodsir, a Managing Director at K2 Intelligence, and Gail Fuller, Financial Integrity Network (FIN) Vice President. Michelle has 25 years of financial crime compliance experience which includes fraud risk management, anti-bribery and corruption, corporate security and investigations, sanctions, and Anti-Money Laundering (AML) ...
May 19, 2020•12 min•Ep. 2
Tom Fox welcomes VP of Third-Party Risk at Prevalent, Brenda Ferraro, to this week's Innovation In Compliance show. They discuss Prevalent's 2020 Third-Party Risk Management study, its key findings, and implications for compliance professionals. A Holistic Approach Brenda describes Prevalent's mission as "...delivering a unified third-party risk management platform that's going to enable businesses to better reveal and interpret and alleviate risk by simplification and speeding risk mitigation a...
May 19, 2020•19 min•Ep. 129
In this five-part podcast series, sponsored by K2 Intelligence FIN, we consider defining and building effective compliance programs. I am joined in this series by Michelle Goodsir, a Managing Director at K2 Intelligence, and Gail Fuller, Financial Integrity Network (FIN) Vice President. Michelle has 25 years of financial crime compliance experience which includes fraud risk management, anti-bribery and corruption, corporate security and investigations, sanctions, and Anti-Money Laundering (AML) ...
May 18, 2020•15 min•Ep. 1
Leigh Vickery of Level 2 Legal, joins Tom Fox on this week’s show to discuss her company’s innovative managed services for the legal and compliance industry. She shares how they help clients get to the next level using a strategic combination of data and behavioral economics. Helping People Solve Problems Leigh shares her eclectic career background and how she came to the legal industry without any legal training. “I love helping people solve problems and… seeing the big picture and the patterns...
May 12, 2020•21 min•Ep. 128
Mari Ryan is the CEO of Advancing Wellness and author of The Thriving Hive: How People-Centric Workplaces Ignite Engagement and Fuel Results. She joins Tom Fox on this week's show to discuss the role of employee wellbeing in a thriving business culture. Assessing Wellness Many of the concepts and strategies concerning ethical values and corporate culture that Mari espouses, says Tom, are the same that a compliance officer would use. He asks Mari how her company helps clients assess their employe...
May 05, 2020•19 min•Ep. 127
John Myers is the founder and CEO of Chorus Consulting. He has been an e-discovery and digital forensic professional for almost 30 years, assisting clients with data identification, preservation and analysis. He chats with Tom Fox about his company’s innovative approach to data forensics and information governance. Innovation Begins Here Tom is intrigued with Chorus Consulting’s tagline, “Innovation Begins Here.” He asks John to explain the significance of the tagline. John responds that it “rep...
Apr 28, 2020•16 min•Ep. 126
Tom Fox chats with John Shegerian, an entrepreneur who is passionate about serving up second chances. They talk about what motivates him, and how his company ERI helps organizations protect their data while protecting the environment. Serving Second Chances After the Rodney King riots in Los Angeles, John co-founded Homeboy Tortillas with Father Greg Boyle as an outreach program to employ gang-impacted youths. He recalls father Greg's tagline, “Nothing stops a bullet faster than a job.” Their wa...
Apr 21, 2020•17 min•Ep. 125
This week’s guest on the Innovation In Compliance podcast is Ben Wolf, founder and CEO of Wolf’s Edge Consulting. He chats with Tom Fox about how his company helps entrepreneurs systematize their business operations to achieve their goals. From Lawyer To Consultant Ben describes his career path from corporate attorney to founding his own company as a “twisting and turning journey.” He relates how he was introduced to the Entrepreneurial Operating System (EOS) framework, and the success the compa...
Apr 14, 2020•16 min•Ep. 124
In this week’s Innovation In Compliance show, Tom Fox, together with guests Sean Freidlin, Yan Tougas, and Patrick Henz, have a roundtable discussion about their experience with taking Seattle University’s free course, AI Ethics For Business. They chat about what they felt were the highlights of the course, as well as the opportunities for improvement. Patrick Henz Patrick likes how trainers from different disciplines work together as a team to present the course. He suggests that this interdisc...
Apr 07, 2020•51 min•Ep. 123
Tom Fox chats with Senior Vice President of Linedata Technology Services, Jed Gardner in this week’s show. They talk about how Linedata’s solution protects companies within the financial sector from cybersecurity risk and how this leads to increased productivity and profitability. Mitigating Cybersecurity Risk Jed says that LineData addresses three main challenges within the financial sector. They provide 1) cloud computing solutions to investment firms; 2) cybersecurity that is SEC- and FINRA- ...
Mar 31, 2020•22 min•Ep. 122
Welcome to a sponsored podcast series where I am exploring how to navigate risk from the Committee on Foreign Investment in the United States (CFIUS), sponsored by K2 Intelligence Financial Integrity Network (K2 Intelligence FIN). Over this five-part series I will visit with David Holley and Him Das the co-leads of CFIUS Advisory Practice at K2 Intelligence FIN. We will consider navigating the CFIUS process through using business intelligence to identify CFIUS threats and vulnerabilities, using ...
Mar 27, 2020•14 min•Ep. 5
Welcome to a sponsored podcast series where I am exploring how to navigate risk from the Committee on Foreign Investment in the United States (CFIUS), sponsored by K2 Intelligence Financial Integrity Network (K2 Intelligence FIN). Over this five-part series I will visit with David Holley and Him Das the co-leads of CFIUS Advisory Practice at K2 Intelligence FIN. We will consider navigating the CFIUS process through using business intelligence to identify CFIUS threats and vulnerabilities, using ...
Mar 26, 2020•19 min•Ep. 4
Welcome to a sponsored podcast series where I am exploring how to navigate risk from the Committee on Foreign Investment in the United States (CFIUS), sponsored by K2 Intelligence Financial Integrity Network (K2 Intelligence FIN). Over this five-part series I will visit with David Holley and Him Das the co-leads of CFIUS Advisory Practice at K2 Intelligence FIN. We will consider navigating the CFIUS process through using business intelligence to identify CFIUS threats and vulnerabilities, using ...
Mar 25, 2020•16 min•Ep. 3
Tom Fox chats with Senior Managing Director of State Street Global Advisors, Rakhi Kumar, about some of her company’s initiatives to make Environmental, Social and Governance (ESG) more approachable for business leaders. Building For The Future Rakhi says that risk keeps evolving and that ESG is a new type of risk. ESG issues tend to be seen as intangibles and nonfinancial. However, they create long term value for the company if managed correctly. She says that State Street’s mission is to inves...
Mar 24, 2020•19 min•Ep. 121
Welcome to a sponsored podcast series where I am exploring how to navigate risk from the Committee on Foreign Investment in the United States (CFIUS), sponsored by K2 Intelligence Financial Integrity Network (K2 Intelligence FIN). Over this five-part series I will visit with David Holley and Him Das the co-leads of CFIUS Advisory Practice at K2 Intelligence FIN. We will consider navigating the CFIUS process through using business intelligence to identify CFIUS threats and vulnerabilities, CFIUS ...
Mar 24, 2020•20 min•Ep. 2
Welcome to a sponsored podcast series where I am exploring how to navigate risk from the Committee on Foreign Investment in the United States (CFIUS), sponsored by K2 Intelligence Financial Integrity Network (K2 Intelligence FIN). Over this five-part series I will visit with David Holley and Him Das the co-leads of CFIUS Advisory Practice at K2 Intelligence FIN. We will consider navigating the CFIUS process through proactive management, CFIUS and compliance frameworks, CFIUS and cyber risk and a...
Mar 23, 2020•18 min•Ep. 1
Jordan Domash, General Manager at Relativity, is this week’s guest on the Innovation In Compliance show. He chats with Tom Fox about his company’s Relativity Trace solution, and how to use it in your compliance program. A Proactive Approach Jordan describes Relativity Trace as “...a communication, surveillance, and monitoring tool built on top of the Relativity platform for compliance purposes.” Tom asks him how it can be used in a proactive approach to compliance. He responds that when potentia...
Mar 17, 2020•22 min•Ep. 120
Daniel Ramsey, CEO and Co-Founder of MyOutDesk, a virtual assistant company that helps small to medium-sized businesses get leverage, is this week’s guest. He joins Tom Fox to discuss the untapped resources of virtual assistance. Starting the Business Tom asks Dan to recount why he founded MyOutDesk. Dan responds that he started a successful real estate practice, but soon realized that he needed more leverage in order to grow his business. However it was hard to find detail-oriented people who c...
Mar 10, 2020•17 min•Ep. 119
Ben Locwin chats with Tom Fox about COVID-19 and the risk management issues associated with the disease in this week’s Innovation In Compliance show. What is Coronavirus? Ben says that coronaviruses have been around for a long time. During flu season, about 10% of patients with upper respiratory symptoms test positive for a type of coronavirus. The epicenter of the outbreak of this particular strain of the coronavirus is Wuhan, China, and there seems to be some correlation with the open air mark...
Mar 03, 2020•21 min•Ep. 118
This week’s guest on the Innovation In Compliance show is Sean Freidlin, Director of Product Marketing at SAI Global. He and Tom Fox chat about the article he recently posted on LinkedIn, Rise and Shine: The Morning Show’s Wakeup Call to Corporate America. Overlapping Themes Sean says that the central themes in movies often overlap with the common themes in ethics and compliance programs. In particular, he noticed that Apple’s flagship program, The Morning Show, tackles almost every issue that c...
Feb 25, 2020•23 min•Ep. 117
This week’s guest on Innovation In Compliance is Gini Dietrich, CEO and founder of Spin Sucks. Gini is a writer, blogger, speaker and all-around expert in the PR space. She recently wrote a blog post entitled, How to Spot Red Flags in New Business Relationships, which is the focus of her discussion with Tom Fox in this week’s show. Trust Your Instincts Tom asks Gini what inspired the blog post. She responds that she actually wrote the blog post as a reminder to herself to always look for red fla...
Feb 18, 2020•11 min•Ep. 116
Ray Pathak is the COO of Nymity, which was recently acquired by TrustArc. He chats with Tom Fox about the acquisition and how his company is reimagining privacy. A Powerful Combination Nymity and TrustArc have been in the compliance space for a combined 40 years. Nymity has research expertise, and TrustArc is versed in automation and technology. The companies coming together with their complementary skills, have created something powerful and special in the marketplace. Reimagining Privacy Tom a...
Feb 11, 2020•19 min•Ep. 115
This week’s guest on Innovation In Compliance is Garin Bergman, founder of the Palmtree compliance app. He chats with Tom Fox and Ronnie Feldman about the app, and how it puts compliance into the hands of employees. Making Compliance Simpler and Timely Ronnie believes that the next boundary in compliance is simplicity, not complexity. Garin’s innovative solution is a simple way to get compliance to people through technology, he says. Garin explains that Palmtree is a mobile application for smart...
Feb 04, 2020•22 min•Ep. 114
Gio Gallo, and his brother and co-CEO Nick Gallo, joined ComplianceLine because they saw a need for better vendor partners in the compliance industry. Their mission is to help more people every day. Today they care for the leaders who care for six million people around the world. Gio joins Tom Fox on this week’s show to talk about why the human element in compliance is mandatory and why it’s going to stay that way far into the future. Taking Care of People ComplianceLine helps compliance leaders...
Jan 28, 2020•23 min•Ep. 113
Trysha Daskam has been with Silver Regulatory Services since its inception 18 months ago. She is the in-house expert on Environmental Social Governance (ESG) at Silver and was brought in by founder Fizza Khan (guest on episode 108 of this podcast) to grow the ESG arm of the business. She chats with Tom Fox about how Silver Regulatory Associates helps their clients improve their ESG compliance. Creating an ESG Program Trysha defines ESG as a lens through which you comprehensively evaluate the inv...
Jan 21, 2020•19 min•Ep. 112
Peter Grossman comes from a publishing and entertainment background, having worked at US Weekly and Rolling Stone. Given this background, he and his partner initially targeted the entertainment industry when they co-founded their production company, Labyrinth Training. However, they were offered the opportunity to work with AB InBev to create compliance training that their employees would actually pay attention to. Since that time, Labyrinth has focused on creating training for the compliance in...
Jan 14, 2020•21 min•Ep. 111
Like its namesake, which was the first piloted aircraft to break the sound barrier, X1 values innovation and speed. The company is laser focused on fixing problems in new, better and more cost effective ways. Its software capability has evolved from search & productivity applications into the ability to collect social, media and web content for legal proceedings, as well as the ability to access and act on employee information in a scalable manner without disrupting productivity. CEO of X1, ...
Jan 07, 2020•21 min•Ep. 111
This week’s guest on the Innovation In Compliance show is Krista Hardwick, General Counsel at Deputy. Deputy brings an innovative solution to managing compliance and legal risk around scheduling. Krista chats with Tom Fox about how her company’s software helps business owners stay compliant with fair wage and hour laws, as well as increase profitability. Analyzing Shift Work Deputy recently released a free ebook entitled The United States of Shift Work, based on their study of 1million shift hou...
Dec 17, 2019•19 min•Ep. 109
Fizza Khan, this week’s guest on the Innovation In Compliance show, has been in regulatory consulting for over 10 years. She is the CEO and founder of Silver Regulatory Associates, an innovative company that specializes in helping companies meet their regulatory obligations. She and Tom Fox discuss the idea of outsourced compliance as well as the interesting and often complicated world of cryptocurrency. The Cutting Edge of Outsourced Compliance Tom comments that the regulatory compliance space ...
Dec 10, 2019•24 min•Ep. 108
