Innovation In Compliance With Tom Fox

Innovation comes in many areas, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. Host Tom Fox takes things differently in this episode by welcoming Rui Ribeiro, Co-Founder and CEO at Jscrambler, the podcast’s sponsor. 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. Ke

Innovation comes in many forms, and compliance professionals need to be ready for it and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom Fox sits down with Anik Singal, an expert in digital marketing and compliance. 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 highli

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. 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 As

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian. 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

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian. 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 operati

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian. 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 int

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. 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 narra

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance as he visits with top innovative minds, thinkers and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom welcomes Greg Shultz, the founder of Conformitise, to take a deep dive into his journey in operationalizing compliance in some of the world’s largest companies. Shultz also advises into the essential skills required for a thriving career in compliance. 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 it

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. 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

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. 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

Innovation comes in many forms, and compliance professionals must be ready for and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom welcomes compliance aficionado Maria Villanueva to dive deeply into healthcare compliance.  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

Innovation comes in many forms, and compliance professionals not only need to be ready for it but also embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. 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

Innovation comes in many areas, and compliance professionals need to be ready for it and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. 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

There is not much I enjoy more than sitting down with some of the most innovative thinkers on an issue. I recently had the opportunity to do so, over a topic I have been thinking about for some time: the commercial real estate market post Covid and the US housing crisis. Over this three-part series we will introduce the problem and challenges around commercial real estate in the mid-2020’s; the future of where (and how) employees work and take a deep dive into the nation’s housing crisis and propose some solutions. In this special three-part series, I am joined by industry experts John Petrovski, Mike Flanagan, Bart Peterson, Walter Calhoun, Andrew Gay, and Gilbert Paiz to delve into the current state of commercial real estate. In this concluding Episode 3, we take a deep dive into the US housing crisis, the disconnect between employee salaries and affordable housing and discuss some solutions.  In this episode, industry experts discuss the challenges of affordable housing and the role of banks and government

There is not much I enjoy more than sitting down with some of the most innovative thinkers on an issue. I recently had the opportunity to do so on a topic I have been thinking about for some time: the commercial real estate market post-COVID and the US housing crisis. Over this three-part series, we will introduce the problem and challenges around commercial real estate in the mid-2020s, the future of where (and how) employees work, and take a deep dive into the nation’s housing crisis and propose some solutions. In this special three-part series, I am joined by industry experts John Petrovski, Mike Flanagan, Bart Peterson, Walter Calhoun, Andrew Gay, and Gilbert Paiz to delve into the current state of commercial real estate. In episode 2, we deeply dive into the impact of low interest rates post-2008 crash, advocating for higher fed funds rates to maintain economic stability. We also touch on inflation and how it is impacting the market. Commercial real estate investment has long been lucrative, attracting i

There is not much I enjoy more than sitting down with some of the most innovative thinkers on an issue. I recently had the opportunity to do so on a topic I have been thinking about for some time: the commercial real estate market post-COVID and the US housing crisis. Over this three-part series, we will introduce the problem and challenges around commercial real estate in the mid-2020s, the future of where (and how) employees work, and take a deep dive into the nation’s housing crisis and propose some solutions. In this special three-part series, I am joined by industry experts John Petrovski, Mike Flanagan, Bart Peterson, Walter Calhoun, Andrew Gay, and Gilbert Paiz to delve into the current state of commercial real estate. In Episode 1, we deeply dive into the impact of rising interest rates and regulatory pressures on the market, the cultural shift towards remote work, and the potential for repurposing commercial properties. The remote work trend has profoundly influenced the commercial real estate market

Innovation comes in many forms, and compliance professionals must be ready for and embrace it. In this episode, Tom Fox visits Anne van de Heetkamp, Vice President of Product Management at Descartes, and discusses global trade compliance and the integration of AI in supply chain management. 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

Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. In this episode, Tom Fox visits with Arthur Mueller, a thought leader in compliance and financial crime prevention. We take a deep dive into the topic of financial crime prevention and the use of generative AI in this edition of Innovation in Compliance. 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

Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. 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 resil

Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. In this episode, Tom Fox visits with Jennifer Arnold, a seasoned anti-money laundering (AML) professional. Jennifer is a co-founder of Minerva, the sponsor of this episode. Minerva is an innovative investigation and screening platform. 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 sou