Innovation in Compliance with Tom Fox
500 episodes - English - Latest episode: 6 days ago - ★★★★ - 16 ratingsInnovation in compliance brings you interviews with industry leading experts who are changing the way practitioners approach compliance. Host Tom Fox, the Compliance Evangelist and Voice of Compliance is driving the conversation about compliance into the 2020s and beyond with his focus on innovations for the compliance practitioner and the compliance profession. If you want to learn how to bring business solutions to compliance problems to more fully operationalize compliance, this is the podcast for you.
Homepage Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Episodes
BMO Empower-We Can't Leave Anyone Behind with John Petrovski
December 08, 2020 05:01 - 14 minutesTom Fox welcomes John Petrovski, the Senior Director of Commercial Lending at BMO, to this week's episode. Tom and John discuss BMO's new business initiative BMO Empower, and its efforts to help low moderate income and minority communities. Promoting Economic Diversity BMO Empower’s mission is to promote inclusive economic recovery through six main initiatives. All their initiatives are geared towards financing black and Latinx owned businesses, as well as low income and women-owned business...
Innovative Compliance Solutions with Nick & Gio Gallo and Ronnie Feldman
December 01, 2020 05:01 - 28 minutesTom Fox welcomes brothers Nick and Gio Gallo, co-CEOS of ComplianceLine, along with Ronnie Feldman, CEO and founder of Learnings & Entertainments to this week’s show. They discuss innovative solutions to some of the challenges that compliance leaders face. Addressing Compliance Challenges Compliance leaders often face challenges in getting management to address compliance issues. Tom asks his guests how they would counsel a client experiencing these challenges. Nick expresses that this new a...
The Regulatory and Business Case for Documentation with Brett Manwaring
November 24, 2020 05:01 - 16 minutesTom Fox welcomes Brett Manwaring to this week’s Innovation In Compliance podcast. Brett is a Managing Director, Financial Crimes Risk Management at K2 Integrity. Prior to joining K2 Integrity 8 years ago, he served at KPMG and JP Morgan Chase. Brett and Tom talk about the importance of documentation, from both a regulatory and business perspective. Innovation Can Happen Organically It’s a common perception that banks are resistant to innovation, Tom comments. In response, Brett remarks that ...
Building Trust and Communication Through Internal Reporting with Tori Reichman
November 17, 2020 05:01 - 15 minutesTori Reichman is VP Commercial at Vault Platform, a leading B2B enterprise software company. Vault Platform enables employees to report incidents and also “provides a single source of truth to the company so that the company can receive, manage and resolve incidents and also identify and manage risk around the company’s ethical and cultural health.” Her company’s offering and how it enables both employer and employee, is the topic of Tori’s discussion with Tom Fox in this week’s episode of In...
Engineering the Future with AI with Simon Moss
November 10, 2020 08:01 - 27 minutesTom Fox welcomes Simon Moss to this week’s show. Simon - who describes his background as “eclectic”, having worked in and led many companies over his career, including IBM - is now the CEO of Ayasdi, one of the most innovative companies in the artificial intelligence space. Simon and Tom discuss the important work Ayasdi is doing for its clients. The Data Problem Tom asks why AI can’t seem to keep up with the volume of data that needs to be reviewed for AML, ABC and trade sanctions. Simon d...
The Six Elements of an Effective Compliance Program: 5 – Oversight and Reporting and Response and Enhancements
November 06, 2020 06:04 - 20 minutesWelcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I wi...
The Six Elements of an Effective Compliance Program: Part 4 – Training and Education: Effectively Getting your Compliance Messaging Out
November 05, 2020 06:04 - 12 minutesWelcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I wi...
The Six Elements of an Effective Compliance Program: Part 3 – Policies, Procedures and Controls: the Backbone of Your Compliance Program
November 04, 2020 06:04 - 13 minutesWelcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I wi...
Coordinated ESG with Andrea Bonime-Blanc
November 03, 2020 08:01 - 18 minutesTom Fox welcomes Andrea Bonime-Blanc to this week’s show. Andrea is the author of Gloom to Boom: How Leaders Transform Risk into Resilience and Value, and a foremost name in compliance. She recently joined the Board of Advisors of Crisp. Andrea and Tom talk about her new role, and the increasing importance of ESG. Risk Intelligence as a Service Andrea explains that Crisp provides risk intelligence as a service: their “series of algorithms search the open Internet and the dark web and a varie...
The Six Elements of an Effective Compliance Program: Part 2 – Governance and Structure: Ensuring a Strong and Functional Compliance Program
November 03, 2020 06:04 - 12 minutesWelcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I wi...
The Six Elements of an Effective Compliance Program: Part 1 - Risk Assessments: Understanding and Managing Key Compliance Risks
November 02, 2020 06:04 - 15 minutesWelcome to a special five-part podcast series, The Six Elements of an Effective Compliance Program. This podcast series is sponsored by StoneTurn. To celebrate Corporate Compliance and Ethics Week, we will consider each of the six elements required for an effective compliance program. They include: Risk Assessment, Governance and Structure, Policies Procedures and Controls, Training and Education, Oversight and Reporting, and Response and Enhancements. Over this five-part podcast series, I wi...
Engineering Transformation with EJ Marin
October 27, 2020 04:01 - 13 minutesEJ Marin is the Director of Solutions Engineering at Nakisa. His role is to see customer challenges from different angles, identify patterns, and engineer solutions for the HR function for HR professionals. He chats with Tom Fox about the changing face of HR in this week’s show. Organizational Design and Transformation Tom asks EJ to define organizational design. EJ shares the traditional definition of organizational design, and contrasts this with his take on what it means. “Right now,” he ...
Empowering Adversary Intelligence with Luke Wilson
October 20, 2020 04:01 - 13 minutesTom Fox welcomes Luke Wilson to the Innovation In Compliance show. Luke is the Vice President of Intelligence at 4iQ. He has extensive experience in cyber threat analysis and counter-terrorism, having worked with the federal government for many years. Luke and Tom chat about trending cybersecurity issues in this week’s show. The Adversary Intelligence Company Tom asks Luke why 4iQ calls itself The Adversary Intelligence Company. Luke responds that their mission at 4iQ is to help their clien...
Enabling Product Development Success with Josh Turpen
October 13, 2020 04:01 - 18 minutesJosh Turpen is the Chief Product Officer of Jama Software. He says that early in his career he came to understand the importance of good requirements and testing, and the ability to tie it all together. Their Jama Connect solution, he argues, is “the premier requirements management test and risk tool… as it brings together requirements, test and risk in a way that our customers can have good traceability and good verification.” He and Tom Fox chat about the importance of being an enabler, as ...
How IsoMetrix is Disrupting Compliance with John Castner
October 06, 2020 04:01 - 24 minutesJohn Castner says he had a ‘Sliding Doors’ moment, which led him to leave his teaching career to move into the software industry. John is the President and CEO of IsoMetrix, a risk and compliance management software company. Via their software, John says, “We focus on three things: change for good, partnerships that empower, and the possibility of a better world.” John joins Tom Fox on this week’s show to share how his company is disrupting the risk and compliance industry. Moving Towards Tr...
#NotMe - Leveraging Your Employees for More Effective Compliance with Andy Hinton and Ariel Weindling
September 29, 2020 04:01 - 16 minutesAndy Hinton joined #NotMe as an advisor. He says that the move is “just a continuation of the mission that I had at Google and GE, which is to leverage the employee population to help organizations do better when it comes to risk detection, risk monitoring, and ultimately, risk management.” Ariel Weindling is the founder of #NotMe. His motivation was to try to solve the problem of misconduct, which he felt was being tackled very inefficiently. He says that he wanted his daughter to have a too...
Measuring the Effectiveness of Training with Simon Greany
September 22, 2020 04:01 - 17 minutesTom Fox chats with Simon Greany, co-founder and Chief Learning Officer of Elucidat, in this week’s show. They discuss how technology can support communication and personalized learning, and how companies can scale online training beyond Zoom. Technology Can Support Communication and Training Technology can support communication and training through engaging, immersive online learning experiences, Simon says. He and his partners built Elucidat to make online learning scalable. Thus far, they...
Exiger on the Evolution in Supplier Compliance in COVID – Third-Party Party Risk Management Solutions with Erika Peters and Skyler Chi
September 18, 2020 05:08 - 22 minutesWelcome to the fifth and final episode of a special five-part podcast series, sponsored by Exiger, on topics From Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exige...
Exiger on the Evolution in Supplier Compliance in COVID – Pillars of Good Compliance with Brandon Daniels and Carrie Wibben
September 17, 2020 05:08 - 23 minutesWelcome to a special five-part podcast series, sponsored by Exiger, on topics From Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger serves the world’s largest ba...
Exiger on the Evolution in Supplier Compliance in COVID – Spotlight on Spotlight on Federal Government and Supply Chains with Carrie Wibben and Anantatmula
September 16, 2020 05:08 - 17 minutesWelcome to a special five-part podcast series, sponsored by Exiger, on topics From Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger serves the world's largest ba...
Exiger on the Evolution in Supplier Compliance in COVID – Spotlight on Corporations with Aaron Narva and George ‘Ren’ McEachern
September 15, 2020 05:08 - 14 minutesWelcome to a special five-part podcast series, sponsored by Exiger, on topics From Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger serves the world’s largest ba...
Helping Solve the Data Problem with David McLaughlin
September 15, 2020 04:01 - 18 minutesDavid McLaughlin, founder and CEO of QuantaVerse, joins Tom Fox on this week’s show to discuss his company’s new risk management tool, Country Code Derivation. He explains that this capability was actually a part of their platform for some time, but they saw the need to offer it as a separate tool. “We found that there is a really specific and unique need for understanding the country code of transacting parties,” he says. Identifying Risky Transactions Tom and David discuss how Country Code...
Exiger on the Evolution in Supplier Compliance in COVID – Spotlight on Financial Institutions with Tara Loftus and Samar Pratt
September 14, 2020 05:09 - 15 minutesWelcome to a special five-part podcast series on the topic of Third-Party Risk Management to Supply Chain Risk Management: Exiger on the Evolution in Supplier Compliance in COVID, sponsored by Exiger. Exiger was founded to fight financial crime, fraud and terrorist financing by introducing technology-enabled solutions to the market’s biggest supply chain, risk, investigation, litigation, and compliance challenges. A global authority on risk and compliance, Exiger serves the world’s Largest Ba...
The ROI of Business Ethics with Yonason Goldson
September 08, 2020 04:01 - 19 minutesThis week’s special guest is Yonason Goldson, expert in ethical leadership, TEDx speaker, and consultant. He joins Tom Fox to discuss why ethics matters, as well as five important lessons the COVID-19 pandemic is teaching us. Trust - the Key to Business Success Yonason shares a story that illustrates how one moment of disrespect can destroy trust between an employer and an employee. He explains, “When you create a culture of trust, that generates loyalty, it generates passion, it generates p...
In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future - Part 5: GRC Then and Now
September 04, 2020 05:07 - 17 minutesWelcome to this special podcast series, In Conversation with K2 Intelligence FIN Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week I have visited with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over this week, we have reviewed the current Governance, Risk, and Compliance (GRC) landscape, looked at GRC at work, considered GRC and the investment community, reviewed GRC and K2 Intellig...
In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future - Part 4: GRC and K2 FIN
September 03, 2020 19:42 - 20 minutesWelcome to this special podcast series, In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week am visiting with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over the week, we have reviewed the current Governance, Risk, and Compliance (GRC) landscape, looked at GRC at work, considered GRC and the investment community. In Part 4, we consider GRC and ...
In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future - Part 3: GRC and the Investment Community
September 02, 2020 05:01 - 22 minutesWelcome to this special podcast series, In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week I visit with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over this week, we are reviewing the current Governance, Risk, and Compliance (GRC) landscape, GRC at work, GRC and the investment community, GRC and K2 Intelligence FIN and will conclude with a lo...
In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future - Part 2: GRC at Work
September 01, 2020 05:01 - 21 minutesWelcome to this special podcast series, In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week I visit with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over the week, we will review the current Governance, Risk, and Compliance (GRC) landscape, look at GRC at work, consider GRC and the investment community, review GRC and K2 Intelligence FIN and co...
Caring for Compliance Professionals’ Well-Being with Lisa Beth Lentini Walker
September 01, 2020 04:01 - 20 minutesLisa Beth Lentini Walker says that there was something missing in the compliance and ethics space. Very often, compliance officers find it an isolating profession. She and her partner founded MentorCore as an avenue to improve the well-being of compliance professionals, and to provide the guidance and support they wished they had at the start of their careers. Lisa Beth chats with Tom Fox about the services MentorCore provides. Four Pillars “We can come together and make sure that the profes...
In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future - Part 1: GRC Explained
August 31, 2020 05:01 - 20 minutesWelcome to this special podcast series, In Conversation with K2 Intelligence FIN: Jeremy Kroll on GRC Risks, Strategies, and the Future, sponsored by K2 Intelligence FIN. This week I visit with K2 Intelligence FIN, Chief Executive Officer (CEO) Jeremy Kroll on GRC Risks, Strategies, and the Future. Over the week, we will review the current Governance, Risk, and Compliance (GRC) landscape, look at GRC at work, consider GRC and the investment community, review GRC and K2 Intelligence FIN and co...
Automated Policy Management: A Necessity Not a Luxury with Mark Delgado
August 25, 2020 04:01 - 18 minutesThis week’s guest is the Managing Director - GRC Business Unit at Mitratech, Mark Delgado. He and Tom Fox discuss why automating policy management is no longer a luxury, but a necessity given these unprecedented times. A Cornerstone of Compliance Policy management is a fundamental building block of compliance, Mark says. Without it you can’t guarantee compliance or operational efficiency. He shares why automating policy management is the only way to ensure both. Apart from the benefits to bu...
A Conversation with Skillsoft and StoneTurn: Part 5 - Stephen Martin on Continuous Monitoring and Continuous Improvement
August 21, 2020 05:08 - 12 minutesWelcome to a special five-part podcast series, A Conversation with Skillsoft and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Skillsoft and StoneTurn Group, LLP. Over the course of this series we have explored the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). Focused on your Code of Conduct and how it is informed by your Risk A...
A Conversation with Skillsoft and StoneTurn: Part 4 - John Arendes on Assisting Your Risks
August 20, 2020 05:08 - 15 minutesWelcome to a special five-part podcast series, A Conversation with Skillsoft and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Skillsoft and StoneTurn Group, LLP. In this podcast series we will explore the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on your Code of Conduct and how it is informed by your Risk Assessmen...
A Conversation with Skillsoft and StoneTurn: Part 3 - Jamen Tyler on Conducting Effective Risk Assessments
August 19, 2020 05:08 - 15 minutesWelcome to a special five-part podcast series, A Conversation with Skillsoft and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Skillsoft and StoneTurn Group, LLP. In this podcast series we will explore the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on your Code of Conduct and how it is informed by your Risk Assessmen...
A Conversation with Skillsoft and StoneTurn: Part 2 - Charlie Voelker on How a Risk Assessment Informs Your Code of Conduct
August 18, 2020 05:08 - 15 minutesWelcome to a special five-part podcast series, A Conversation with Skillsoft and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Skillsoft and StoneTurn Group, LLP. In this podcast series we will explore the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on your Code of Conduct and how it is informed by your Risk Assessmen...
Why GRC is the Keys to the Kingdom with Matt Kunkel
August 18, 2020 04:01 - 19 minutesMatt Kunkel saw a need in the market for “a platform that could act as a central nucleus and bring together and automate in a flexible, easy fashion, all of the different components that make up a traditional governance, risk and compliance regulatory program.” He, together with John Siegler and Dan Campbell, founded LogicGate to fulfil that need. Matt joins Tom Fox on this week’s show to talk about LogicGate’s GRC platform and how it helps businesses improve their bottom line. Every Busines...
A Conversation with Skillsoft and StoneTurn: Part 1 - Toby Ralston on Your Code of Conduct
August 17, 2020 16:26 - 10 minutesWelcome to a special five-part podcast series, A Conversation with Skillsoft and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Skillsoft and StoneTurn Group, LLP. In this podcast series we will explore the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on your Code of Conduct and how it is informed by your Risk Assessmen...
A Conversation with Convercent and StoneTurn: Stephen Martin on Evaluating Compliance Programs
August 14, 2020 05:08 - 18 minutesWelcome to a special five-part podcast series, A Conversation with Convercent and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Convercent and StoneTurn Group. Over the course of the series we have explored the impacts on corporate compliance programs from the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on investigati...
A Conversation with Convercent and StoneTurn: Asha Palmer on Corporate Culture
August 13, 2020 05:08 - 13 minutesWelcome to a special five-part podcast series, A Conversation with Convercent and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Convercent and StoneTurn Group. Over the course of the series we are exploring the impacts on corporate compliance programs from the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on investigati...
A Conversation with Convercent and StoneTurn: Michele Edwards on Creating an Inventory of Metrics
August 12, 2020 05:08 - 18 minutesWelcome to a special five-part podcast series, A Conversation with Convercent and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Convercent and StoneTurn Group. Over the course of the series we will explore the impacts on corporate compliance programs from the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on investigati...
A Conversation with Convercent and StoneTurn: Asha Palmer on Internal Reporting
August 11, 2020 05:08 - 14 minutesWelcome to a special five-part podcast series, A Conversation with Convercent and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Convercent and StoneTurn Group. Over the course of the series we will explore the impacts on corporate compliance programs from the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on investigatio...
The Customer Relationship Evangelist with Josh Elledge
August 11, 2020 04:01 - 21 minutesThis week’s guest is Josh Elledge of Up My Influence, an influencer company that helps turn their clients into celebrities, as well as build sales systems for them. Josh chats with Tom Fox about the importance of building customer relationships, and he shares a process-oriented approach to doing so. Building Influence Tom reflects that your brand is not your image; your brand is your relationship with your customer. Josh comments that he chose his company name to speak to his market’s pain ...
A Conversation with Convercent and StoneTurn: Rex Homme on Conducting Investigations and Ensuring Consistent Outcomes
August 10, 2020 05:08 - 16 minutesWelcome to a special five-part podcast series, A Conversation with Convercent and StoneTurn: From the Code of Conduct to Risk Assessment to Continuous Improvement. This week’s podcast series is jointly sponsored by Convercent and StoneTurn. Over the course of the series we will explore the impacts on corporate compliance programs from the recently released 2020 Update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (2020 Update). We focus on investigations, da...
Suparna Goswami and the Compliance Evangelist Talk Novartis on HealthCare Info Security and Fraud IO
August 04, 2020 15:21 - 15 minutesI was recently interviewed by Suparna Goswami about the Novartis corruption enforcement actions, both the US domestic and the international FCPA matter. Incidents of fraud at pharmaceutical giant Novartis that resulted in over $1 billion in fines worldwide might have been avoided if the company's compliance team used data analytics to detect patterns, says Thomas Fox, a compliance evangelist and author. The Novartis case involved illegal payments and perks provided to physicians in exchange f...
The Disaster Avoidance Doctor with Dr. Gleb Tsipursky
August 04, 2020 04:01 - 23 minutesDr. Gleb Tsipursky is an expert in the field of disaster avoidance. He joins Tom Fox on this week’s show to talk about his work, including how he helps leaders avoid decisions that lead to disaster. Avoiding Disaster “Avoiding a disaster is always preferable to recovering from it. So I believe to avoid disaster we have to understand where disasters come from. There are only two things that lead to disasters, and they both come from our decisions,” says Gleb. “...One is an active decision whe...
Ascending Compliance Management with Gene Geiger
July 28, 2020 04:01 - 22 minutesGene Geiger of A-LIGN joins Tom Fox on this week’s show to discuss his company’s innovative compliance management platform, A-SCEND. Gene remarks that there was a market need to drive technology in the professional services space. “What we’ve been missing is driving automation and driving workflow and driving efficiency through technology, and that’s really what A-SCEND is meant to do. It’s meant to complement the people in the audit workflow to make the job as efficient and as automated as p...
The Economic Value of Convenience with Greg Dickinson
July 21, 2020 04:01 - 18 minutesCEO of Omedym, Greg Dickinson joins Tom Fox in this week’s show to discuss his book, The Convenience Economy: B2B: Adapt Now or Pay the Price. They discuss an interesting equation about the value of convenience, and why giving convenience equals gaining control. The Cost of Inconvenience Tom asks Greg to explain his equation, Friction = Frustration = Cost. Greg responds that if your process impedes your customer’s buyer journey, then that friction will cause them to feel frustration, which w...
Risk Mitigation and Corporate Discipline Baked into Culture with Cody Rodriguez
July 14, 2020 04:01 - 11 minutesTom Fox welcomes Cody Rodriguez to this week’s episode of Innovation In Compliance. Cody is CEO of Iron Orchard, a small private oil and gas operator that continues to thrive even in the midst of a shutdown of the energy sector due to COVID-19. He and Tom discuss his company’s risk management approach and how it informs their corporate culture. Determining Commercial Viability Tom asks Cody how they determined that Iron Orchard was a commercially viable idea. Cody responds that they had abou...
Engaging the Human Component of Corporate Culture with Lisa Ryan
July 07, 2020 07:01 - 16 minutesTom Fox and Lisa Ryan, this week’s guest, are both members of C Suite Radio and the National Speakers Association. Lisa spent 20 years in sales before embarking on her entrepreneurial journey in 2010. She brings a unique perspective to the subject of employee engagement, seeing it as an essential skill that leaders need to have. An Essential Skill In Lisa’s view, employee engagement is greater productivity, greater institutional justice, better health and safety, and many other ways of enhan...
Navigating an Increasingly Complex Sanctions Landscape: How to Prepare for What’s on the Horizon
July 02, 2020 05:10 - 12 minutesWelcome to this special podcast series “In Conversation with K2 Intelligence FIN: Navigating an Increasingly Complex Sanctions Landscape”. This series is sponsored by K2 Intelligence, LLC. This week I have visited with Adam Frey, Managing Director, and Eric Lorber, Vice President at K2 Intelligence Financial Integrity Network (FIN). Over the week, we have reviewed the current sanctions landscape, discussed how to build a sanctions compliance program, walked listeners through what happens whe...