Innovation in Compliance with Tom Fox

Conflict of interest can turn into a tricky conversation, especially with the steady rise of independent contractors working for multiple clients at a time. Today’s guest, David Bunker, helps us understand the ‘conflict of interest’ risk management process. David is one of the top compliance professionals around and serves as the Compliance Officer for Vulcan Inc. Tom and David discuss how to best...

Jared Connors is a subject matter expert on Corporate Social Responsibility and Compliance at Assent, an innovative company that helps businesses to link their CSR and Compliance departments to ensure a strong and ethical supply chain. In turn, this also creates a more efficient business and gives companies and competitive advantage in the marketplace.

Reporting compliance issues can be a complex problem for both frontline employees and compliance practitioners. In today’s episode, Tom talks with Philip Winterburn, the co-founder and Chief Product Officer at Convercent – a Denver, Colorado-based compliance software company.

Ellen Hunt in the Chief Audit Executive and Ethics and Compliance Officer at AARP. Her experience in the industry is impressive: running departments, reporting to governance, handling investigations, designing education, and more. She’s been featured in numerous Ethics and Compliance publications and she regularly contributes to others. Ellen will be presenting at Converge18, and today’s episode i...

The best things come in pairs. In part two of this week’s 5-part series – centered on the Sherlock Holmes stories of Sir Arthur Conan Doyle - Tom talks about the innovative use of the digital twin concept. This model enables compliance professionals to test and predict a wide array of issues in order to beef up prevention efforts and better understand critical risk points.

Elementary, my dear Watson! In the first episode of this Sherlock Holmes themed 5-part series, Tom reviews how a CCO or compliance practitioner can develop a digital strategy to help increase the value proposition for a corporate compliance program.

Have you even gotten the class "English, please!" when talking about analytics? This episode is for you. In the 4th episode of our weeklong Sherlock Holmes series, Tom talks about various issues around interpreting data in the compliance space.

Is your compliance function ready for the digital future? In the final episode of this week’s 5-part Sherlock Holmes and Innovation and Compliance crossover, Tom highlights this critical question that every compliance profession should be asking themselves.

Do you speak data? Does your boss? In part three of the Sherlock Holmes and compliance 5-part series, Tom discusses the role of the corporate compliance officer in translating data for decision makers and provides some tips for making sure you’re understood by those who are less data-savvy.

Live from this year’s Podcast Movement Conference, Tom covers his two favorite things: innovation in compliance and the 2017 World Series winning team, the Houston Astros. As a case study on the uses of data and analytics from a compliance perspective, Tom talks about the Astro’s Big Data approach to team management as well as other important compliance issues of the day.

These days, it takes more than a Google search to find the dirt you’re looking for. Tom talks with Jane Jee, the CEO of Kompli-Global, about some of their innovative due diligence reporting products. They discuss what the future of DD needs to look like to keep up with the sophisticated money launders of the digital era.

Despite their reputation for inevitable shrinkage, the cash register is no match for a smart machine. In this episode, anti-fraud, anti- corruption and compliance analytics expert Vince Walden returns to the Innovation and Compliance Podcast to talk about his latest article in Fraud Magazine titled ‘Machine learning’ fights fraud behind cash registers.

Everyone should see a doctor for a check-up, even the largest and most far-reaching companies. Today, Tom talks with Brian Alster, the Global Head of Compliance & Supply Products at Dun & Bradstreet about their new, innovative technique called the supply chain health check.

Vince Walden is a partner at Ernst & Young, and he’s passionate about anti-fraud, anti-corruption and compliance-related analytics and innovations. Today, Vince and Tom talk about some of the innovative strategies he’s developing for General Electric. From training and retention to automation and relevance, accurately observing behavior through data analytics is the key to compliance.

While focusing on new tech, disruption, and regulation change, training often gets left behind in the compliance and innovation conversation. To bring training back to the forefront of the conversation is Shawn Rogers, Lead Counsel, Compliance Training and Communications at General Motors who chats with Tom about GM’s innovative training methodology.

Building and operating an effective compliance program is a tall order if you don’t have the information or the tools – and people – to make it happen. Today, Tom’s talks with Greg Radner, the chief marketing officer of RANE (Risk Assistance Network + Exchange), about his company’s innovative compliance assistance solutions.

Forget the 1850’s California and Alaska gold rushes; today’s hot commodity is data. Today, Tom talks with AxiomSL’s CEO Alexander Tsigutkin and Senior Vice President of Project Management Varun Singhal about data analysis and reporting in the age of Big Data and how their new Controllerview® tool can help financial institutions keep up with the shifting demands of new regulatory frameworks.

Keeping up with the times always requires aggressive change. Today, Tom Fox connects with Sheila Hooda, an independent board director and strategic advisor who has 30+ years of global executive-level experience growing and transforming Fortune 500 companies. She is also the CEO & President of Alpha Advisory Partners and a prolific thought leader and speaker in the areas of governance, strategy, an...

Today, Tom Fox talks with Tim Estes, the President and Founder of the A.I. and software company Digital Reasoning. Tom asks about the work of his team at DR who have developed new AI-driven tools that give companies greater insight into the workings of their companies by making unstructured communications data readable for risk management, compliance and fraud prevention purposes.

In today’s episode, Tom Fox talks with Todd Marlin, the Americas Leader of Forensic Data Analytics & Financial Services Forensic Technology at Ernst & Young LLP. The two discuss EY’s 2018 Global Forensic Data Analytics Survey and talk about how compliance and corporate professionals can use forensic data analytics to generate insight into a variety of business questions and issues.

In this episode, Tom Fox chats with Joseph Howell, the Executive Vice President of Strategic Initiatives at Workiva. With a background in all things corporate finance, specifically internal auditing and compliance filings, Joe talks about the importance of keeping your data recording, reporting and compliance tools up to date and the risk of leaving innovations – however small they may be – on the...

When trying to understand the environmental, social and governmental dimensions of a potential investment, what kind of approach will provide the clearest picture? In this episode, Tom Fox talks to J.R. Lowry, a senior vice president at State Street Global Exchange™ (SSgx), about State Street’s innovative new tool for identifying and tracking ESG factors and its potential applications for complian...

Ben Locwin is a Ph. D. MDA, and MS who’s held many executive roles for top 10 companies including biotech, big pharma, and hospitals and clinics. In Part 4, Ben and Tom talk about integrating compliance operations into the staff level of a business.

Ben Locwin is a Ph. D. MDA, and MS who’s held many executive roles for top 10 companies including biotech, big pharma, and hospitals and clinics. Ben and Tom talk about the common problem of compliance existing in an ‘ivory tower.’ How can compliance be brought closer to the front lines in a way that also improves business efficiency and profitability?

Ben Locwin is a Ph. D. MDA, and MS who’s held many executive roles for top 10 companies including biotech, big pharma, and hospitals and clinics. In part 3 of this five-part series, Ben and Tom discuss how to avoid being a compliance firefighter at your company by practicing prevention rather than correction.