Innovation in Compliance with Tom Fox
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Innovation takes many forms, and compliance professionals must be ready for and embrace it. Today, Tom Fox visited with Matt DeLauro, SEON’s Chief Revenue Officer. Matt discussed the SEON software solution for fraud risk and anti-money laundering. Matt DeLauro is a financial industry veteran with over two decades of experience specializing in developing and implementing software solutions for various financial entities. With a focus on financial services and fintech, he currently serves as the chief revenue officer at SEON, a company dedicated to fraud prevention and anti-money laundering (AML) technology. DeLauro’s perspective on AML regulations stems from his deep understanding of the fraud community’s interconnected nature and the increasing importance of AML measures due to factors like international conflicts and national security threats. He emphasizes the need for real-time detection services and robust compliance controls in the face of evolving threats, highlighting the impact of sanctions and sanctioned individuals on the need for enhanced compliance. Ultimately, DeLauro views AML as a critical tool in combating financial crimes and preserving the integrity of the global financial system. Key Highlights: Enhanced Efforts Against Financial Crimes Real-time Fraud Detection in Financial Services Automating SAR Generation with Machine Learning Real-time Fraud Detection through Device Fingerprinting Sub secondary Detection of Fraudulent Transactions in Real-Time Resources: Matt DeLauro on LinkedIn SEON Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. Today, I visited with Jeff Gould, who is America’s storyteller, on his upcoming project for America’s semi-quincentennial birthday celebration in 2026, America’s Story 250. Jeff Gould is lauded as America's storyteller. He is honing the story of America at 250 in 2026 through his project, America at 250. Gould's perspective on American history is one of profound reverence and recognition for the country's narrative, viewing it as a remarkable tale among governmental histories. His perspective is heavily influenced by the opportunities he sees for individuals to combat injustice and foster a fairer system, a theme ingrained in his work with America 250. He places substantial emphasis on acknowledging the flaws and mistakes of historical figures yet, concurrently, underscores the potential that the country and its people hold for growth and progress. Through this lens, Gould sees American history as a symbol of hope and freedom, and thus, he constantly challenges individuals to uphold and perpetuate these values for future generations. Key Highlights: Celebrating America's 250-year Journey Reviving American Heritage Through America’s Story Democratic Ideals: From Tyranny to Resilience Founding Fathers' Longevity in Constitutional Design Leaders who have shaped American identity throughout history Resources: Jeff Gould on LinkedIn I Like That Story America’s Story 250 Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. Today, I visited Onno Koelman to talk about leader development up and down the organization as well as through a multi-generational workforce. Onno Koelman is a seasoned professional with a robust background in leadership development and training and the founder of Dynamic Leader Development. Koelman’s perspective on leadership development and training is centered on dynamic growth and adaptation, emphasizing the importance of vertical development. His experiences working closely with organizations, including collaborating with key leaders such as a Chief Technology Officer, have shaped his belief that leadership training should go beyond traditional methods and instead focus on developing a more sophisticated way of filtering the world and being less reactive. He also highlights the importance of clarity, a supportive climate, and the right competence within teams to build high-performing teams. Furthermore, Koelman acknowledges the complexity of leading multigenerational teams and suggests that leaders should understand and cater to the different motivations and responses of team members from different generations. Key Highlights: Vertical Growth in Adaptive Leadership Development Transitioning to Management: Developing Coaching Skills Balancing Task-Oriented and Relationship-Based Leadership Model Fostering Clarity, Support, and Competence in Teams Influential Shadow: Understanding Leaders’ Impact Resources: Onno Koelman on LinkedIn Dynamic Leader Development Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. Today, I visited Keith Laska to talk about his work in the realm of bitcoin and as a blockchain educator. Keith Laska, a professor at Fordham University and founder of Learn Bitcoin, says that Laska’s perspective on bitcoin is that it can serve as both an investment and a monetary system, depending on the individual’s location and use case. In the United States, he sees bitcoin as a high-growth investment that can outpace inflation, while in countries with high inflation rates like Argentina, Turkey, or Lebanon, he views bitcoin as a more stable and reliable monetary system compared to their local currencies. This dual perspective is shaped by his extensive experience and dedication to staying at the forefront of the evolving field of bitcoin and blockchain. Key Highlights: Evolution of Bitcoin from 2009 to ETFs Blackrock’s Successful Spot Bitcoin ETFs Approval Enhancing Compliance with Blockchain Contracts and AI Fluency in Bitcoin: Educating Future Industry Professionals Resources: Keith Laska on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Today, I visit with Ernesto Gerado, a serial entrepreneur who is helping veterans in finance and housing. Ernesto Gerado is a seasoned professional with a diverse background in martial arts, business, and coaching. His perspective on his journey from martial arts to real estate investment and veteran coaching is shaped by his unique career trajectory, starting as a martial artist and gym owner, transitioning into the business world, and now running multiple successful ventures. Ernesto leverages his expertise in real estate investment and entrepreneurship to coach and educate clients, including veterans and aspiring entrepreneurs. He is passionate about empowering veterans through his Military Millionaires program, providing resources and support in areas such as real estate investment, financial planning, mental health services, and job placement. Join Tom Fox and Ernesto Gerado on this episode of the Innovation in Compliance podcast to learn more about Ernesto's journey and his insights on real estate investment and veteran coaching. Key Highlights · From Martial Arts to Business Success · Leveraging Personality Traits for Real Estate Success · Optimizing Veteran Benefits for Financial Success · Empowering Veterans to Build Wealth and Stability Resources Ernesto Gerado on LinkedIn The Military Millionaires Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals must be ready for and embrace it. Today, I visited with well-known compliance professional Jay Rosen to discuss how companies can improve their compliance programs through self-monitoring. Jay Rosen is a seasoned professional with a background in investment banking and a keen interest in ethics and compliance programs. Rosen’s in-depth analysis of FCPA enforcement actions over the past ten years shaped his perspective on ethics and compliance programs. He believes companies should consider their internal setup before hiring a third party for assistance. He suggests that while an outside perspective can sometimes lead to a deeper investigation, a mature ethics and compliance program with sufficient in-house resources can also be effective. Rosen emphasizes the importance of objectivity in these programs and proposes a compromise of working with a fractional monitor if the company lacks the necessary headcount. He sees the increasing use of data analytics and self-reporting as key factors in improving ethics and compliance efforts within organizations. Resources: Jay Rosen on LinkedIn | Twitter Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many areas and compliance professionals need to not only be ready for it but also embrace it. Today, I visited Jeff Grant, a compassionate leader and the founder of a white collar support group, a platform dedicated to assisting individuals prosecuted for white collar crimes and their families. Jeff’s perspective on the importance of such support groups is shaped by his extensive experience going through the full white collar criminal experience, including jail, disbarment, release, and recovery. He has organized over 400 meetings, creating a safe space for individuals to share their experiences and challenges. Jeff views these groups as a vital resource, filling a significant gap in the criminal justice system by providing knowledge, empathy, and compassion to those who have been isolated and stigmatized. His advocacy for the rights and leniency of individuals prosecuted for white collar crimes is driven by his desire to bring their complex human tragedies to light and promote noncustodial sentences for low-level and nonviolent crimes. Through his work, Jeff continues to expand the impact of these support groups, viewing them as a lifeline for those navigating the challenges of white collar crimes. Key Highlights: The 400th Meeting Supporting Families of White Collar Criminals Transforming Lives Through Spiritual Guidance Supporting White Collar Crime Victims and Advocacy Resources: Jeff Grant on LinkedIn | Twitter Grant Law Prisonist.org Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Today, I visit with Jeff Grant is a compassionate leader and the founder of a white collar support group, a platform dedicated to assisting individuals prosecuted for white collar crimes and their families. Jeff’s perspective on the importance of such support groups is shaped by his extensive experience in going through the full white collar criminal experience including jail, disbarment, release and recovery. He has organized over 400 meetings, creating a safe space for individuals to share their experiences and challenges. Jeff views these groups as a vital resource, filling a significant gap in the criminal justice system by providing knowledge, empathy, and compassion to those who have been isolated and stigmatized. His advocacy for the rights and leniency of individuals prosecuted for white collar crimes is driven by his desire to bring their complex human tragedy to light and promote noncustodial sentences for low-level and nonviolent crimes. Through his work, Jeff continues to expand the impact of these support groups, viewing them as a lifeline for those navigating the challenges of white collar crimes. Key Highlights · The 400th Meeting · Supporting Families of White Collar Criminals · Transforming Lives Through Spiritual Guidance · Supporting White Collar Crime Victims and Advocacy Resources Jeff Grant on LinkedIn | Twitter Grant Law Prisonist.org Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. Today, I visited Dr. Karen Jacobson, a renowned expert in organizational leadership and communication. Dr. Jacobson brings a unique perspective to her work, shaped by her diverse experiences ranging from serving in the military in Israel to running chiropractic offices in New York and Arizona. Dr. Jacobson’s holistic approach to organizational leadership and communication is rooted in her belief that work positioning, repetitive movements, and physical challenges are all interconnected and can impact the overall functioning of an organization. Drawing from her experiences in war, military, healthcare, and even competitive amateur ballroom dancing, she emphasizes the importance of core human connection skills such as conflict reduction, effective communication, and motivation. Her background as a chiropractor also gives her insights into understanding people and their behavior, including habits that affect posture and confidence. Join Tom Fox and Dr. Karen Jacobson on this episode of Innovation in Compliance. Key Highlights: Understanding behavioral styles is crucial for effective communication in the workplace. Adapting communication for different generations and cultural differences is essential for effective workplace communication. Effective leadership outside the United States requires understanding and respecting different cultures and customs. Understanding personal strengths and leading with them can lead to more effective leadership. Resources: Karen Jacobson Website LinkedIn Facebook Twitter YouTube Instagram Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Steve Vincze, founder of Trestle Compliance. Steve Vincze is a seasoned professional with a rich background as an in-house corporate commercial compliance lawyer, specializing in building trust and implementing compliance programs in businesses. His perspective on the subject is rooted in the belief that developing a human connection is key to building trust and implementing successful compliance programs. Drawing from his experience, including being recruited by Tap Pharmaceuticals to implement their first compliance program, he emphasizes the importance of modeling the behavior he wants from others and creating an environment where people feel comfortable sharing. He views compliance programs as tools to empower individuals rather than restrict them, and he strives to change the perception of compliance by demonstrating that it can be a tool for confidence and success. Join Tom Fox and Steve Vincze on this episode of the Innovation in Compliance podcast to learn more about his unique approach. Key Highlights: Establishing Trust through Human Connection Experienced Professionals Providing Comprehensive Consulting Solutions Expert Compliance Program Implementation Services The Impact of Artificial Intelligence on Data Security Resources: Steve Vincze on LinkedIn Trestle Compliance Tom Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Caroline Shleifer, founder and CEO of RegAsk. Caroline Shleifer is a seasoned professional with a rich background in healthcare, law, and regulatory affairs, boasting a PharmD PhD and a health law degree. Her perspective on "emerging technologies enhancing regulatory intelligence and compliance" is shaped by her extensive experience in the EU, US, and Asia and her role as the founder of RegAsk, a company that leverages technology to address compliance challenges. She believes that technologies such as AI, machine learning, blockchain, and data analytics are revolutionizing regulatory monitoring, enabling faster and more accurate interpretation of regulatory information, and fostering a more proactive approach to compliance. Her goal with RegAsk is to digitize and streamline the regulatory intelligence process, reducing the risk of non-compliance and fostering innovation. Join Tom Fox and Caroline Shleifer as they delve deeper into this topic on this episode of Innovation in Compliance. Key Highlights: • Proactive Compliance through Regulatory Intelligence Automation • Streamlining Regulatory Compliance with AI • Leveraging Data Analytics for Proactive Compliance • Revolutionizing Compliance with Emerging Technologies Resources: Caroline Shleifer on LinkedIn RegAsk Tom Fox Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many areas and compliance professionals need to not only be ready for it but also embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Jag Lamba, founder and CEO of Certa. Jag Lamba, the CEO and founder of Certa, is an engineering expert who has led his team in developing AI tools for streamlining procurement and compliance processes. Lamba's perspective on these tools is that they are a game changer, particularly for non-procurement users who often struggle with navigating new tools and forms. To address this, Certa has integrated an email chat bot for request intake, making the process more user-friendly and familiar. Lamba believes that this approach will result in increased buy-in from business users and improved efficiency in procurement and compliance processes. His dedication to solving real problems with AI sets Certa apart as a leader in the industry. Join Tom Fox and Jag Lamba on this episode of Innovation in Compliance to learn more about Lamba's innovative approach to streamlining procurement and compliance processes. Key Highlights: Streamlined AI Design with Natural Language Enhancing Organizational Agility with Certa Assist Instant Report Generation with Insights AI Email Chat Bot for Simplified Request Intake Resources: Jag Lamba on LinkedIn Certa Tom Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Ed Parcaut, CEO and founder of Lending for Living. Ed Parcaut, a dynamic individual who transitioned from phone sales to a successful real estate radio show host, has a unique perspective on his journey. Parcaut discovered his knack for connecting with people through his voice during his 18-year tenure in phone sales. When presented with the opportunity to host a local talk radio show, he initially questioned the relevance of radio in the digital age, but soon recognized its enduring popularity. He launched his radio show, "Real Estate Jerky," which began as a platform for real estate and mortgage discussions but later expanded to include community topics. Parcaut also recognized the potential of podcasting and began uploading his radio show as a podcast to reach a wider audience. He firmly believes in the power of audio platforms in promote businesses and foster connections. Join Tom Fox and Ed Parcaut as they delve deeper into this topic on the next episode of the Innovation in Compliance podcast. Key Highlights: Ed's Voice-Driven Journey to Global Connections Promoting Homeownership and Community Engagement Ed's Expertise in Real Estate Market Profitability Insights into Housing Affordability and Trends The Power of Repurposing Content for Podcasting California's Property Tax Protection Law Resources: Ed Parcaut on LinkedIn Lending for Living Tom Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Paul Trulove, CEO at SecureAuth. Paul Trulove is a seasoned cybersecurity expert with a strong background in identity management, currently serving as the CEO of Secure Auth. With 15 years of experience in the field, Trulove is a strong advocate for the evolution towards password-less authentication in cybersecurity. He sees a shift away from traditional username and password authentication towards more secure and user-friendly methods that leverage device-level capabilities and biometrics. Trulove emphasizes the importance of organizations embracing and funding these changes and the need for collaboration across different industries to ensure a comprehensive and secure authentication framework. Join Tom Fox and Paul Trulove on this episode of the Innovation in Compliance podcast to delve deeper into this fascinating topic Key Highlights: Secure Auth: Making Authentication Secure and User-Friendly The Evolution Towards Password-Less Authentication Identity-Driven Zero-Trust Cybersecurity Approach The Rise of Password-Less Authentication Technology The Evolution of Authentication and Access Management Resources: Paul Trulove on LinkedIn SecureAuth Tom Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. My guest in this episode is Mohamed Lazzouni, Chief Technology Officer at AWARE. Mohamed Lazzouni, a distinguished individual with a robust background in physics and solid-state physics, currently serves as the Chief Technology Officer at Aware. Lazzouni firmly believes in the potential of behavioral biometrics to enhance security and compliance, particularly in the financial services industry. He asserts that biometrics can be used to verify customer identities during online transactions, thereby eliminating the need for physical visits to a branch. Furthermore, he sees the analysis of biometric data such as face recognition, voice prints, and fingerprints to ensure the registered identity of a customer is trustworthy. Lazzouni also highlights the role of biometrics in data management and compliance, ensuring that personally identifiable information is collected, stored, and managed securely and in compliance with relevant laws and regulations. He is particularly excited about the potential of behavioral biometrics, such as unique gestures and interactions with devices, to further enhance security and provide new opportunities for businesses and individuals. Join Tom Fox and Mohamed Lazzouni on this episode of Innovation in Compliance to delve deeper into this fascinating topic. Key Highlights: Exploring Nature at a Unique Scale Leveraging Unique User Interactions for Security Enhancing Identity Verification with Biometric Technology Biometric Security Solutions for System Integrators Biometric Security Revolution: Face and Voice Recognition Resources: Mohamed Lazzouni on LinkedIn AWARE Tom Instagram Facebook YouTube Twitter LinkedIn
Welcome to a special series sponsored by Diligent, where we look down the road at key issues in 2024 and beyond. In this series, I will visit with Nicholas Latham, Renee Murphy, Jessica Czeczuga, Yee Chow, and Alexander Cotoia. Over this series, we will consider compliant communications in regulated industries, managing conflicts of interest at the Board level, the Board’s role in compliance training and communications, navigating the current ESG landscape, and professional growth and mentorship in compliance. In this concluding Part 5, we discuss professional development and mentorship for compliance professionals with Alexander Cotoia. Alex Cotoia is with the Volkov Law Group and has transitioned from a traditional legal background into the compliance arena. He strongly believes in the importance of continuous professional development for compliance professionals, emphasizing the need for mentorship and growth opportunities, particularly for those in leadership positions. Alex’s perspective is shaped by the dynamic regulatory climate and the increasing extraterritorial impact of legislation and regulation, which underscore the urgency of continuous development in the compliance field. He also highlights the significance of acquiring soft skills, such as negotiation, building relationships, and strategic planning, in addition to the legal aspects of compliance. Alex values collaboration and believes that reaching out to other compliance professionals for guidance and mentorship can benefit professional growth. Join Tom Fox and Alex Cotoia as they delve deeper into this topic on the next episode of the Diligent Podcast. Key Highlights: Navigating the Dynamic Regulatory Landscape for Compliance Professionals Developing Essential Soft Skills for Compliance Professionals Continuous Growth and Development in Compliance The Importance of Compliance in Career Development Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com
Welcome to a special series where we look down the road at key issues in 2024 and beyond, sponsored by Diligent. In this series I will visit with Nicolas Latham, Renee Murphy, Jessica Czeczuga; Yee Chow; and Alexander Cotoia. Over this series, we will consider compliant communications in regulated industries, managing conflicts of interest at the Board level, the Board’s role in compliance training and communications, navigating the current ESG landscape and professional growth and mentorship in compliance. In this Part 4, we navigate the current ESG landscape with Yee Chow. Yee Chow is a seasoned professional in the sustainability space, currently serving as the Director of Solution Engineering and Consulting at Diligent. With over 16 years of experience, Chow has witnessed the evolution of the chief compliance officer's role in ESG compliance. Chow's perspective on this evolution is that it has become a significant and integral part of corporate agendas. Previously, ESG was seen as a side topic for companies to gain more credentials and marketing, but in recent years it has become a major focus for the majority of corporations globally. This shift has led to changes in the roles of chief compliance officers and internal management, with ESG now being elevated to their level of responsibility and accountability. Chow believes that this shift is necessary and beneficial for companies in the future. Join Tom Fox and Yee Chow on this episode of the Diligent Podcast to delve deeper into this topic. Key Highlights · Elevated ESG Compliance Leadership: CCO's Evolving Role · Mandatory Reporting on ESG Factors · Integrating ESG into Board Meetings and Discussions Ready for Purpose Driven Compliance? Diligent equips leaders with the tools they need to build, monitor and maintain a culture of open, transparent ethics and compliance. For more information and to book a demo, visit Diligent.com Join us tomorrow where we conclude our series with a review of professional development and mentoring for compliance professionals.
Welcome to a special series sponsored by Diligent, where we look down the road at key issues in 2024 and beyond. In this series, I will visit with Nicholas Latham, Renee Murphy, Jessica Czeczuga, Yee Chow, and Alexander Cotoia. Over this series, we will consider compliant communications in regulated industries, managing conflicts of interest at the Board level, the Board’s role in compliance training and communications, navigating the current ESG landscape, and professional growth and mentorship in compliance. In Part 3, we review the role of a Board of Directors in compliance training and communications with Jessica Czeczuga. Jessica Czeczuga is a seasoned corporate training and compliance professional, currently serving as the Principal Instructional Designer at Diligent. Jessica’s perspective on the importance of Board oversight in corporate training and compliance is shaped by her extensive experience and deep understanding of compliance programs. She emphasizes the crucial role of the Board in setting the tone for the organization’s culture, advocating for active communication from the Board about the importance of training to all employees. Jessica also suggests that the Board should be more significant in discussions about your organization’s compliance efforts, ensuring it meets its stated commitments. She views the Board as another group within the organization that requires tailored training and active involvement in promoting a culture of compliance. Join Tom Fox and Jessica Czeczuga as they delve deeper into this topic. Key Highlights: Driving Compliance and Training Messaging Fostering Alignment Through Board Involvement Assessing the Impact of Multinational Training Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com Join us tomorrow as we consider navigating the current ESG landscape.
Welcome to a special series sponsored by Diligent, where we look down the road at key issues in 2024 and beyond. In this series, I will visit with Nicholas Latham, Renee Murphy, Jessica Czeczuga, Yee Chow, and Alexander Cotoia. Over this series, we will consider compliant communications in regulated industries, managing conflicts of interest at the Board level, the Board’s role in compliance training and communications, navigating the current ESG landscape, and professional growth and mentorship in compliance. Part 2 considers how an organization can manage conflicts of interest with Renee Murphy on the Board of Directors. Renee Murphy has a rich compliance, governance, and risk management background. Having served as both an internal and external auditor and currently the Chief Evangelist of Diligent, she brings a unique perspective to managing board-level conflicts of interest and implementing ESG practices. Renee believes that conflicts of interest at the board level can have serious implications and emphasizes the importance of identifying and addressing these conflicts to prevent financial misconduct. She also advocates that boards prioritize disclosing their ESG practices and carbon emissions, as stakeholders will increasingly demand this. Her expertise and insights are shaped by her diverse experiences, including her role as a lead analyst at Forrester Research and her work with Fortune 500 companies. Join Tom Fox and Renee Murphy as they delve deeper into these topics on the next episode of the Diligent Podcast. Key Highlights: Board Members Sitting on Multiple Boards Conflicts of Interest at the Board Level ESG Reporting for Long-Term Risk Management The Role of Compliance in Board Governance Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com Join us tomorrow as we consider the role of the Board of Directors in compliance training, messaging, and communications.
Welcome to a special series sponsored by Diligent, where we look down the road at key issues in 2024 and beyond. In this series, I will visit with Nicholas Latham, Renee Murphy, Jessica Czeczuga, Yee Chow, and Alexander Cotoia. Over this series, we will consider compliant communications in regulated industries, managing conflicts of interest at the Board level, the Board’s role in compliance training and communications, navigating the current ESG landscape, and professional growth and mentorship in compliance. In this Part 1, we consider compliant communications in regulated industries with Nicholas Latham. Nicholas Latham is an accounting professional with a strong accounting and risk management background, currently serving as a Client Partner at Diligent Corporation. His perspective on accounting and risk assessment is shaped by his extensive experience in the financial industry, particularly in the collections department of a US bank. Nicholas believes that organizations must implement and adapt frameworks such as COSO and ISO 31,000 to manage and mitigate risks effectively. He also emphasizes the need for a holistic view of risk and control across the entire organization rather than siloed departments, and he believes these frameworks can help provide a comprehensive understanding of the organization’s risk landscape. Join Tom Fox and Nicholas Latham on this episode of the Diligent Podcast as they delve deeper into Latham’s expertise in governmental accounting and risk assessment. Key Highlights: Risk and Control Expertise in Professional Background Assessing and Mitigating Risk in Organizations Holistic View of Organizational Operations and Risk Ready for Purpose-Driven Compliance? Diligent equips leaders with the tools to build, monitor, and maintain an open, transparent ethics and compliance culture. For more information and to book a demo, visit Diligent.com Join us tomorrow, where we will consider managing conflicts of interest at the Board of Directors.
Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Ann Gynn, a content creator specialist. Ann Gynn is a seasoned content entrepreneur with a rich journalism, marketing, and public relations background, currently serving as the editor at The Tilt and the Creator Content Entrepreneur Expo (CEX). Gynn's perspective on "content entrepreneurship: balancing creation and business operations" is rooted in her belief that content entrepreneurs can build their audience and run their own media companies, independent of traditional mainstream media outlets. She emphasizes the importance of creating content and focusing on the business side of entrepreneurship, such as marketing, growing an audience, and monetizing the content. Gynn believes that many content creators make the mistake of spending too much time on content creation and not enough on marketing and business operations, and she offers resources and services through The Tilt to help them navigate and succeed in this aspect. Join Tom Fox and Ann Gynn on this episode of the Innovation in Compliance podcast to delve deeper into this topic. Key Highlights Building an Audience: The Content Entrepreneur Maximizing Success Through Business Savvy Neglecting Business Side: Key Content Entrepreneurship Mistakes The Knowledge-Based Content Entrepreneur Expo (CEX) Resources: Ann Gynn on LinkedIn G Force Communications The Tilt Content Entrepreneur’s Expo Tom Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Igor Volovich, the Vice President of Compliance Strategy at Qmulos. This podcast is sponsored by Qmulos. Igor Volovich brings a unique perspective to the table regarding the importance of executive accountability and proactive risk governance in cybersecurity. Volovich emphasizes the crucial role that executives play in ensuring compliance, controls, and security posture decisions, and criticizes the current model of firing and hiring Chief Information Security Officers as ineffective. He believes that risk governance should be a holistic business function, rather than separate departments handling different types of risks, and encourages boards of directors to question and challenge reports on compliance and risk posture. Drawing from his extensive experience and deep understanding of the field, Volovich advocates for a real-time convergence of compliance, security, and risk management. Join Tom Fox and Igor Volovich on this episode of the Innovation in Compliance podcast to delve deeper into these insights. Key Highlights: Maintaining Compliance Integrity through Executive Accountability Misrepresentation of Compliance in Penn State Moving Towards Data-Driven, Risk-Based Compliance Data-Driven Risk Management for True Compliance Incentivized Whistleblowing and Cybersecurity Accountability Elevating Risk Governance for Effective Cybersecurity Real-Time Compliance and Data-Driven Automation Resources: Igor Volovich on LinkedIn Qmulos Tom Instagram Facebook YouTube Twitter LinkedIn
This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. In this fifth and final podcast, we look down the road of financial institution communications compliance. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He has a rich background in supporting a global trading floor, giving him a unique perspective on data loss and compliance challenges. His perspective on “human-centric compliance in the era of AI and digitalization” is shaped by his belief in focusing on individuals and their communications rather than separate communication tools. He advocates for strategic alignment between vendors, compliance teams, and technology, emphasizing the need for data completeness, integrity, and control in compliance communications platforms. Fry sees the potential of generative AI and machine learning in simplifying compliance processes but also acknowledges the complexity of managing and monitoring policies in the digital age. Join Tom Fox and Phil Fry as they delve deeper into these topics on this final episode of the Future of Communication podcast. Key Highlights: The Importance of Individual Communication in Compliance Creating a Sustainable Compliance Environment with Technology Leveraging Technology for Streamlined Compliance Resources: Phil Fry on LinkedIn For More Information check out Verint.
This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. In this fourth podcast, we ask if you must accentuate the negative. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He specializes in the voice regulatory compliance capture world, particularly emphasizing the financial industry. He firmly believes in the importance of data quality in financial industry compliance, stressing the need to capture and record all trade-related communications, regardless of the time, place, or platform they occur on. Fry argues that incomplete or missing data can hinder compliance efforts and investigations and that it is crucial to identify and categorize any gaps in the data to reduce false positives and improve trade surveillance. He also discusses the importance of linking conversations to gain insights into communication patterns and improve investigations. His extensive experience in the field shapes Fry’s perspective, and he is dedicated to solving legacy issues related to third-party identification and linking conversations together for improved investigations. Join Tom Fox and Phil Fry on this episode of the Future of Communications podcast as they delve deeper into the importance of data quality in financial industry compliance. Key Highlights: Data Gaps and Communication Patterns in Finance Biometric Speaker Detection and Analysis Data Quality: The Key to Reliable Analysis Resources: Phil Fry on LinkedIn For More Information check out Verint.
This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. In this third podcast, we take a deep dive into data analysis and insights. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He specializes in enhancing surveillance systems through data analysis and risk management. His perspective on this topic is shaped by his commitment to bridging the gap between what is captured and what is perceived to be captured, with a focus on proactive compliance. Fry believes that surveillance teams can make proactive and smarter decisions by utilizing early analytics and risk analysis on captured data, focusing on high-risk conversations. He also emphasizes incorporating additional metadata points, such as time, geography, and communication patterns, to enhance surveillance capabilities. Fry’s initiatives, which include plans to add emotion detection and real-time call translation capabilities, aim to provide valuable data and insights to various corporate disciplines. Join Tom Fox and Phil Fry on this episode of the Future of Communications podcast to learn more about his innovative approach to improving surveillance systems. Key Highlights: Bridging the Gap: Pre-surveillance Insights Improving Surveillance Efficiency through Data Analysis Uncovering Valuable Intelligence from Spoken Interactions Resources: Phil Fry on LinkedIn For More Information check out Verint.
This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. In this second podcast, we consider how to be compliant. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He believes the shift towards these models has increased the need for digital compliance solutions, as communication and collaboration have become predominantly digital. Fry emphasizes the importance of capturing data from Unified Communications (UC) tools and enhancing them with AI-based features to support businesses in maintaining compliance. He introduces the concept of “human compliance,” which involves monitoring a regulated user’s interactions across channels and locations to prevent misconduct. Fry’s perspective is shaped by his experience at Verint, where he saw the company’s investment in AI technology to enhance compliance features. Join Tom Fox and Phil Fry on this episode of the Future of Communications podcast to learn more about the need for comprehensive and proactive digital compliance solutions in the context of hybrid work models. Key Highlights: The Impact of Hybrid Working on Business and Compliance Revolutionizing Communication Capture in the Digital Age Verint’s Comprehensive Financial Markets Website Resources: Phil Fry on LinkedIn For More Information check out Verint.
This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. This first podcast considers the current communications status in financial institutions. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. Fry’s perspective on “adapting financial compliance solutions to evolving communication modes” is shaped by the significant transformations in the financial compliance environment due to factors such as COVID, hybrid working, and the adoption of Generative AI. Fry acknowledges the complexities of using different communication modes and the increasing challenges for compliance solutions to keep pace. Phil emphasizes the need for a holistic compliance solution to capture the entire communications environment and highlights Verint’s pioneering efforts in utilizing generative AI-driven transcription, communications, pre-surveillance, and speech analytics capabilities. Join Tom Fox and Phil Fry on this episode of the Future of Communication podcast as they delve deeper into this topic. Key Highlights: Transforming Financial Compliance in the Digital Age Verint’s Holistic Compliance Solution for Financial Institutions Regulatory Fines and Compliance Solutions Resources: Phil Fry on LinkedIn For More Information check out Verint.
Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Jamie Hoyle, VP of Product at MirrorWeb Jamie Hoyle is a seasoned software engineer and technology executive with a strong background in compliance and communication surveillance. He currently serves as the VP of Product at MirrorWeb, where he leverages his expertise in capturing and utilizing metadata from native APIs and platforms to provide valuable business intelligence in communication surveillance. Jamie’s perspective on the topic of “MirrorWeb: a surveillance platform for digital communication compliance” is that communications compliance is a crucial aspect of regulatory enforcement actions, which are only increasing. He emphasizes the importance of capturing insights from emerging platforms and technologies and scaling these surveillance platforms to meet the requirements of both regulated and non-regulated businesses. Join Tom Fox and Jamie Hoyle on this episode of the Innovation in Compliance podcast to learn more about Jamie’s insights and experiences. Key Highlights: Insightful Compliance Solutions for Digital Communications The "Needle in a Haystack" of Communications Compliance The Rise of Individual Accountability in Compliance Communications Surveillance and Compliance Solutions Resources: Jamie Hoyle on LinkedIn MirrorWeb Tom Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many areas, and compliance professionals need to not only be ready for it but embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is David CM Carter, founder of the Entelechy Academy. David Carter is a seasoned entrepreneur and business expert with a diverse background in corporate finance and investment banking. He has worked in seven different countries over ten years, owned and operated golf and country clubs, and authored a book published in 138 countries. Carter's perspective on Entelechy Academy's approach to personalized professional development is that it democratizes the mentoring and coaching services previously only available to a select few. He sees the academy as his legacy project, combining all his career experiences into one final endeavor focusing on character development to help individuals achieve their full potential. Carter emphasizes the importance of return on investment and offers a transformative phase that includes ongoing data analytics, expert facilitation, and personalized learning journeys. Join Tom Fox and David Carter on this episode of the Innovation in Compliance podcast to learn more about his unique perspective. Key Highlights: Unlocking Your Ultimate Potential through the Entelechy Academy Character Competence and Workforce Engagement 360 Degree Feedback and Personalized Development Insights Optimizing Performance and Productivity with AI Building a Character-Driven Workforce for Success Transformative Writing Journey: From Surgery to Worldwide Publication Resources: David CM Carter on LinkedIn Entelechy Academy Tom Instagram Facebook YouTube Twitter LinkedIn
Innovation comes in many areas, and compliance professionals must be ready for and embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Tyler Barron, Chief Revenue Officer at Encapture, who visits with me about innovation in banking compliance. Encapture is a machine learning platform streamlining back-office processes for banks and lenders, particularly compliance and data reporting. Using document automation and machine learning, Encapture improves efficiency and reduces risk in the document lifecycle. The platform ensures accurate data submission to regulatory authorities and provides audit trails for regulatory purposes. Internal referrals are a powerful marketing tool that allows for an easier transition into becoming an approved supplier. The future of banking compliance lies in bringing intentional insight and value to financial institutions. Encapture aims to deliver year-over-year value and be seen as mission-critical to its client’s businesses. With increasing regulatory pressure, the need for efficient technologies like Encapture’s will continue to grow. Encapture: Streamlining Document Lifecycle Encapture platform: Providing audit trails for compliance Internal Referrals The Future of Banking Compliance Simplifying Compliance for Banks Resources Tyler Barron on LinkedIn EnCapture Tom Fox Threads Instagram Facebook YouTube Twitter LinkedIn
