Innovation In Compliance With Tom Fox

Innovation comes in many areas, and compliance professionals must be ready to 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, host Tom Fox visits Mike Whitmire, Co-founder & CEO at FloQast, on his journey in accounting and compliance. 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. Additiona

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. In this episode, host Tom Fox visits with Todd Haugh, Associate Professor of Business Law and Ethics at the IU Kelley School of Business, Arthur M. Weimer Faculty Fellow in Business Law Board Member and Jesse Fine Fellow, The Poynter Center for the Study of Ethics, and American Institutions Director of the Institute for Corporate Governance and Ethics. 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 psych

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. In this episode, host Tom Fox visits Pat McNeil, founder and principal of Chart House Solutions, to delve into his extensive experience in the Navy and his journey into leadership development and organizational coaching. 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

Innovation comes in many areas, and compliance professionals must be ready to 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, host Tom welcomes Sage Franch, CEO and co-founder of Rulebook.ai, and Scott McCleskey, a member of Rulebook.ai’s board of advisors, who discuss their innovative AI-driven solutions for regulatory compliance. 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 effici

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. In this episode, host Tom Fox visits Stephan Poschik, an entrepreneur with over 23 years of experience in the health and wellness industry and founder of six companies primarily focused on coaching and consulting. 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

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, host Tom Fox visits Brad Farris to delve into his multifaceted role as a business coach, advisor, and personal growth director. 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 high

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, host Tom Fox visits with Colin Darke, an attorney and compliance professional with a diverse career spanning over twenty years. 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. Listen

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, host Tom Fox is joined by Christian Geyer, CEO of Actfore, the podcast’s sponsor. 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 compli

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, host Tom Fox is joined by Tom Kline, a seasoned automobile industry expert and risk management authority. 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

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