Innovation in Compliance with Tom Fox

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian.In this episode, Tom welcomes Monica Goyal, the Vice President for Legal Innovation and Lawyer at Caravel LLC and Briefly LLC, to explore the transformative potential of technology in the legal industry.Monica has a non-traditional journey to the legal profession, beginning with her educational background in electrical engineering and firsthand experience in Silicon Valley. From this perspective and after law school and work in the legal field, she observed multiple process inefficiencies. She discusses how advanced technologies like generative AI and data analytics can address these inefficiencies, improving corporate governance, contract management, and the overall delivery of legal services.Monica highlights the importance of legal innovation officers in law firms and the role of Caravel Law’s unique model in providing backend support to legal professionals, allowing them to escape administrative tasks and focus on core legal work. She also touches on the innovative concept of fractional in-house counsel, which serves businesses needing more support than external counsel without the full expense of a general counsel. Listeners will gain insights into the growing necessity for legal tech skills and the benefits of tools such as Athennian for document automation. Monica underscores the value of emerging technologies and encourages further exploration of resources like Caravel and Briefly for legal professionals.Key Highlights: Monica Goyal’s Unique Journey into Law Innovations in Corporate Legal Departments Communicating Tech Solutions to Legal Professionals Caravel’s Unique Business Model Management with Athennian Future of Legal Tech and Data AnalyticsResources:Monica Goyal on LinkedInCaravel LLCAthennian Tom FoxInstagramFacebookYouTubeTwitterLinkedIn

Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian.In this episode, Tom welcomes Christy-Ann Jordaan, a Paralegal with extensive experience in the commercial real estate sector.Christy discusses her career journey, starting from her early days in law firms to her current role at BOSA Properties in Vancouver. She elaborates on the evolution of technological solutions in the legal field, emphasizing the benefits of automating manual tasks and enabling self-service information access. Christy highlights how these innovations have improved efficiency, reduced workload, and enhanced service quality. She shares insights into the implementation of Athenian, a digital solution for managing corporate records, which has transformed their operations by centralizing data and enabling secure access. Looking ahead, Christy is excited about future tech advancements, including AI-powered corporate record management. Listeners are encouraged to connect with her on LinkedIn or explore BOSA Properties’ website for more information about the company’s endeavors.Key Highlights: Christy’s Professional Journey Technological Evolution in Legal Work Athenian Solution: A Game Changer Future Tech Solutions and AI  Resources:Christy-Ann Jordaan on LinkedInBosa PropertiesAthennian Tom FoxInstagramFacebookYouTubeTwitterLinkedIn

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 LinkedInAthennianTom FoxInstagramFacebookYouTubeTwitterLinkedIn

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 LinkedInEvie’s Top 10 Compliance Back to BasicsTom FoxInstagramFacebookYouTubeTwitterLinkedIn

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 ComplianceResourcesGreg Shultz on LinkedInTom FoxInstagramFacebookYouTubeTwitterLinkedIn

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 LinkedInRegScaleTom FoxInstagramFacebookYouTubeTwitterLinkedIn

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 ComplianceTom FoxInstagramFacebookYouTubeTwitterLinkedIn

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 ResourcesMaria Villanueva on  LinkedIn Tom FoxInstagramFacebookYouTubeTwitterLinkedIn

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  LinkedInTom FoxInstagramFacebookYouTubeTwitterLinkedIn

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.CorlyticsTom FoxInstagramFacebookYouTubeTwitterLinkedIn