Episodios

  • Tina Grubisa on Creating a Culture of Governance with Athennian

    Tina Grubisa on Creating a Culture of Governance with Athennian
    Oct 8 2024
    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 intelligence. Tina highlights Athennian’s role in helping clients stay ahead of regulatory demands, such as the SEC’s private fund rule, and building a culture of governance within an ESG framework. Additionally, the platform’s user experience and customer feedback are integral to its ongoing innovation process. Tina also explores future trends in governance and compliance, emphasizing the increasing importance of transparency and the potential impact of AI by 2030. Key Highlights: Building a Culture of Governance Corporate Trends and AI in Governance Future of Workflow Platforms Advice for GRC Professionals Going Forward Resources: Tina Grubisa on LinkedIn Athennian Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    25 m
  • Evie Wentink on Rethinking Compliance

    Evie Wentink on Rethinking Compliance
    Oct 1 2024
    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 narrative around ethics and compliance for younger generations. Evie shares her experiences discussing compliance with her children and highlights the need for better education in schools to prepare future employees. She concludes by mentioning her new website, Ethical Edge Experts, and various platforms she’s using to spread compliance awareness. Tom and Evie agree on the necessity of continuous dialogue and innovation in the compliance field. Key Highlights: Rethinking Compliance Practices Creative Messaging for Ethics Hotlines Leveraging Low-Cost Resources Engaging Managers in Compliance Resources: Evie Wentink on LinkedIn Evie’s Top 10 Compliance Back to Basics Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    27 m
  • Greg Shultz on Key Traits for Compliance Professionals: Connecting and Listening

    Greg Shultz on Key Traits for Compliance Professionals: Connecting and Listening
    Sep 17 2024
    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 its criticality in managing global data and mitigating risk in today's super funds landscape. This episode is a must-listen for anyone aiming to step into or advance within the compliance profession. Key Highlights · Introduction to Compliance Professional Skills · The Importance of Listening and Advising · Building Strong Relationships · The Role of Data Analytics in Compliance Resources Greg Shultz on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    31 m
  • Travis Howerton on Revolutionizing Compliance: Integrating Automation for Digital Transformation

    Travis Howerton on Revolutionizing Compliance: Integrating Automation for Digital Transformation
    Sep 10 2024
    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 cybersecurity: confidentiality, integrity, and availability. While much focus is placed on safeguarding confidentiality to protect sensitive information, the speaker highlights that integrity issues pose a significant threat, particularly in sensitive industries like healthcare and critical infrastructure. Compromised integrity can lead to dire physical consequences, making it the most concerning aspect of cybersecurity. Key Highlights: Introduction to Cybersecurity’s Three-Legged Stool Focus on Confidentiality in Cybersecurity The Critical Importance of Data Integrity Real-World Implications of Integrity Issues The Sleepless Nights of a Cybersecurity Analyst Resources: Travis Howerton on LinkedIn RegScale Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    28 m
  • The Evolution of Compliance and Technology: An Interview with Stuart Breslow

    The Evolution of Compliance and Technology: An Interview with Stuart Breslow
    Sep 3 2024
    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 risk identification, Breslow believes that modern compliance tools not only enhance efficiency and effectiveness but also contribute significantly to business profitability. Breslow also explores the future role of generative AI and how STAR Compliance is poised to leverage advanced data management to enhance compliance functions. Key Highlights: Evolution of Compliance Technology The Role of Codes of Conduct in Compliance Digital Transformation in Compliance Future of Compliance with Generative AI Resources: Star Compliance Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    24 m
  • Unpacking Healthcare Compliance with Maria Villanueva

    Unpacking Healthcare Compliance with Maria Villanueva
    Aug 13 2024
    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 LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    27 m
  • Alan Saquella on Navigating The Complexities of Corporate Whistleblowing and Compliance

    Alan Saquella on Navigating The Complexities of Corporate Whistleblowing and Compliance
    Aug 6 2024
    Innovation comes in many forms, and compliance professionals not only need to be ready for it but also embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom welcomes back Alan Saquella to discuss critical issues surrounding retaliation, whistleblowers, and fostering a speak-up culture within corporations. Saquella, drawing from his extensive background in law enforcement, corporate compliance investigations, and academia, delves into the challenges middle managers face due to the fear of retaliation from senior leadership. The conversation also explores the ethical dilemmas in C-suite decisions regarding vendor and supplier selection, the mechanics and significance of whistleblower hotlines, and the crucial role of senior leadership in promoting ethical practices. Alan further emphasizes the importance of protecting whistleblowers and ensuring the effectiveness of compliance mechanisms through education, promotion, and a trust-centric approach. Key Highlights: Retaliation and Whistleblowers Middle Managers and Ethical Dilemmas Vendor and Supplier Selection Ethics Whistleblower Programs and Confidential Hotlines Role of Senior Leadership in Ethical Practices Whistleblower Protection and Corporate Culture Resources: Alan Saquella on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    24 m
  • John Byrne and Corlytics – Innovations in Regulatory Compliance

    John Byrne and Corlytics – Innovations in Regulatory Compliance
    Jul 30 2024
    Innovation comes in many areas, and compliance professionals need to be ready for it and embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom speaks with John Byrne, founder and CEO of Corlytics. John shares his background as a serial entrepreneur focusing on technology and finance and discusses the inception and mission of Corlytics. The conversation delves into the complexities of regulatory compliance, the need for real-time risk assessments, and the integration of AI and machine learning in regulatory monitoring. John also explores how Corlytics helps financial institutions navigate evolving regulations, including ESG metrics, and forecasts the future regulatory landscape. This episode offers valuable insights for professionals interested in compliance, risk management, and the role of technology in these fields. Key Highlights: Founding Corlytics and Its Mission Real-Time Risk Assessment Policy Management and Global Compliance Impact of Current Events on Financial Institutions The Rise of ESG in Financial Institutions Future of Regulation and AI Resources: John Byrne on LinkedIn. Corlytics Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    27 m