Culture of Compliance

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Frazier & Deeter's Culture of Compliance podcast explores compliance as a competitive advantage in today's marketplace.

Frazier & Deeter Podcasts


    • Jan 12, 2022 LATEST EPISODE
    • monthly NEW EPISODES
    • 14m AVG DURATION
    • 58 EPISODES


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    Latest episodes from Culture of Compliance

    Keeping Up with Compliance Trends

    Play Episode Listen Later Jan 12, 2022 13:32


    What's new in the compliance industry and how can compliance leaders keep up with their peers? Sabrina Serafin interviews Carrie Penman, Chief Risk & Compliance at NAVEX Global, a worldwide leader in integrated risk and compliance management software services. Carrie presents the most interesting findings for NAVEX Global's annual risk & compliance benchmark report as well as additional advice for compliance leaders.

    Fintech & Anti-Money Laundering with NASDAQ

    Play Episode Listen Later Dec 14, 2021 18:10


    As financial criminals get smarter, so does the technology. Sabrina Serafin interviews Valerie Bannert-Thurner, Head of Anti-Financial Crime Technology at NASDAQ to discuss the NASDAQ's annual compliance survey as well as their anti-financial crime efforts.

    Introducing ESG to Your Company

    Play Episode Listen Later Nov 30, 2021 12:00


    ESG or Environmental, Social and Governance is becoming a major part of the corporate vocabulary, but what does it mean? Sabrina Serafin interviews Laura Wanlass, Senior Client Partner and the Global Corporate Governance & ESG Advisory Practice Leader at AON. Laura defines ESG and explains why it is important to companies.

    Enterprise Risk on a Budget

    Play Episode Listen Later Sep 28, 2021 10:40


    "Denial is never a good strategy." How do you understand and try to address risk across an organization? Sabrina Serafin interviews Kristi Atwater, SVP of Internal Audit of Everi Holdings, about Enterprise Risk Management including advice for starting up the ERM function.

    Security as a Founding Principle

    Play Episode Listen Later Sep 14, 2021 9:42


    As startups, entrepreneurs may find it difficult to set aside business development to focus on security. In this episode, Sabrina Serafin interviews Christina Cacioppo, Founder and CEO of Vanta, a SaaS solution that recently raised $50 Million in Series A funding.  With her experience in early-stage venture capital and technology startups, Christina discusses the importance of establishing a security and compliance mindset and how it can fuel business growth.

    State Data Privacy Laws: A Moving Target

    Play Episode Listen Later Aug 31, 2021 13:27


    As more states introduce new data privacy legislation, it is hard to keep up. Jodi Daniels from Red Clover Advisors returns to discuss recent updates and which states could have new legislation by the end of 2021.

    The Challenge of Ransomware

    Play Episode Listen Later Aug 17, 2021 15:13


    Ransomware is the #1 cyber risk of 2021 with estimates that 50% of all businesses have been hit. On this episode of Culture of Compliance Sabrina Serafin interviews Skeet Spillane of Pillar Technology Partners about the magnitude of the problem and how to protect your business.

    Did the Pandemic Affect Promotability?

    Play Episode Listen Later Aug 3, 2021 15:53


    Changing work environments and work cultures due to the pandemic impacted how everyone sees their careers. Amii Barnard-Bahn, Executive Coach and former Fortune Global 50 executive, returns to discuss the impact of the pandemic on promotability. Download Amii's free Promotability Index®: http://bit.ly/promotelegal Read Amii's Fast Company article: https://www.fastcompany.com/90545452/dont-shoot-the-messenger-how-to-deliver-bad-news-without-being-hated Hundreds of leadership resources on Amii's website here: https://www.barnardbahn.com/ Connect with Amii on LinkedIn: https://www.linkedin.com/in/amiibarnardbahn/

    Defense Providers: The Cybersecurity Maturity Model Certification (CMMC)

    Play Episode Listen Later May 18, 2021 23:29


    The State Department recently fined Honeywell $13M for cybersecurity shortcomings. In this episode, FD's Sabrina Serafin interviews Scott Edwards, CEO and Founder of Summit 7, to discuss CMMC and what companies working with the US Department of Defense need to do to achieve compliance.

    Culture of Compliance | Anti-Money Laundering Under Biden Administration

    Play Episode Listen Later May 3, 2021 12:50


    What's on the Biden Administration's priority list regarding Anti-Money Laundering? In our latest episode Sabrina Serafin and Jeff Horvath of DigiPli Inc. discuss how the treasury department is seeking to deal with topics like cryptocurrency.

    Continuous Compliance

    Play Episode Listen Later Mar 10, 2021 19:24


    Keeping up with compliance can be difficult, especially for those who operate in highly regulated industries. Sabrina Serafin interviews Anil Karmel and Travis Howerton of C2 Labs, a company that aims to simplify and automate regulatory compliance. Read the Compliance Manifesto: https://www.c2labs.com/post/regops-has-arrived-lets-bring-devops-to-compliance

    U.S. Data Privacy Laws: Where Are We Now?

    Play Episode Listen Later Mar 2, 2021 10:01


    With more and more U.S. states creating their own data privacy laws, it's been harder to keep track of the changes. Which states are introducing new laws? How does this affect businesses handling data? Jodi Daniels from Red Clover Advisors returns to discuss with Sabrina Serafin recent updates and what to look for in the coming months.

    Braving Brexit in 2021

    Play Episode Listen Later Feb 16, 2021 9:30


    What happens when your European home base is no longer in the European Union? This episode of Culture of Compliance looks at the tax compliance implications of Brexit. Sabrina Serafin interviews Malcolm Joy International Tax Partner with Frazier & Deeter and William Morrison Director with Essentia Global Services.

    Choosing a SOC Provider

    Play Episode Listen Later Feb 2, 2021 18:53


    Not all SOC providers are the same and a one size fits all approach could mean disaster. What questions should you ask? Sabrina Serafin and Shelby Nelson, SOC lecturer and Partner with Frazier & Deeter, dive into that topic in this episode. To learn more about SOC, listen to our previous podcast: SOC Reports – Advantages & What to Expect

    The State of HITRUST in 2021

    Play Episode Listen Later Jan 7, 2021 29:26


    As we enter 2021, it is time to reflect on everything that happened in 2020 and how it will affect HITRUST in the new year. Sabrina Serafin interviews two HITRUST experts, Michael Parisi and Andrew Hicks. They discuss how COVID-19 affected the HITRUST marketplace and how upcoming changes to the HITRUST assessment may affect companies and organizations.   Host - Sabrina Serafin, Partner and National Practice Leader of Frazier & Deeter's Process Risk and Governance Practice   Guests - Michael Parisi, Member of the HITRUST leadership team and Vice President of Assurance Strategy & Community Development - Andrew Hicks, National Practice Leader of Frazier & Deeter's HITRUST practice.

    Global Mobility: What are the Compliance Risks?

    Play Episode Listen Later Dec 15, 2020 14:41


    With employees working remotely as the norm, many have opted to shift their work location to a place far from the office. This could have tax implications for both the employer and employee. Sabrina Serafin interviews Jonathan Clark and Kristin Popp, tax experts with Frazier & Deeter. Our experts explain what is global mobility and how to comply with tax rules when working remotely.

    COVID-19's Impact on Compliance

    Play Episode Listen Later Dec 3, 2020 21:10


    Is the "new normal" helping or hurting compliance? Sabrina Serafin interviews Amii Barnard-Bahn, Executive Coach and former Fortune Global 50 executive, about the impact of COVID-19 on teams and how to overcome common issues. About Amii Barnard-Bahn First Chief Compliance Officer at McKesson USPharmaceutical Fellow at the Harvard Institute of Coaching Contributor to Harvard Business Review and Fast Company Columnist at Compliance Week Forbes, "one of the top coaches for legal compliance executives" Download Amii’s Promotability Index®: bit.ly/promotelegal Read Amii's Compliance Week article: https://www.complianceweek.com/opinion/five-ways-the-pandemic-has-changed-compliance-perhaps-permanently/29526.article Read Amii's Harvard Business Review: https://hbr.org/2020/11/how-to-identify-and-fix-pay-inequality-at-your-company 

    Culture & Mindset

    Play Episode Listen Later Nov 10, 2020 14:40


    Since the global pandemic, leading a team has never been tougher. Sabrina Serafin interviews David Taylor-Klaus, founder of DTK Coaching and author of Mindset Mondays with DTK: 52 Ways to REWIRE Your Thinking and Transform Your Life. David discusses how to lead a team and have a positive impact on culture in this extraordinary year.

    Level Up Your Security with Penetration Testing

    Play Episode Listen Later Oct 27, 2020 9:20


    Data security has been a top concern of large organizations for many years, but over the last few years smaller companies have been more frequently attacked. These attacks have driven heightened interest from businesses of all sizes who want to understand what their vulnerabilities are. Sabrina Serafin interviews Derrick Rice about the importance of penetration testing and how to choose the right assessor. Sabrina Serafin | Partner and National Practice Leader of Process Risk & Governance Derrick Rice | Process, Risk and Governance Director Learn more about Frazier & Deeter’s Cybersecurity: https://www.frazierdeeter.com/services/advisory/cybersecurity/

    Fireside Chat with Bill Mulcahy

    Play Episode Listen Later Oct 13, 2020 22:04


    As a leader in the internal audit community for decades, Bill Mulcahy has advice culled from his many years leading internal audit and mentoring professionals. Mulcahy has been an IIA Atlanta Board Member since 2005 and he is the name sake of the William J Mulcahy Excellence Through Leadership Award. Mulcahy is Founding Chair of the Advisory Board of the Internal Audit Center in Kennesaw State University’s Coles College of Business. Sabrina Serafin talks to Bill about his experience in the internal audit field and his advice for professionals.   For Bill's recommended reading list and articles visit, https://www.frazierdeeter.com/articles/culture-of-compliance-fireside-chat-with-bill-mulcahy/.

    Managing Contracts as Part of Your Digital Transformation

    Play Episode Listen Later Sep 30, 2020 20:38


    Although accepting a contract these days is as simple as clicking “yes,” there are data privacy and legal implications when accepting a contract. In 2020, every company had to rapidly change how to do business, and contracts between vendors, clients and employees are no exception. Sabrina Serafin interviews Brian Powers, Founder of Pactsafe regarding the need for contract acceptance technology in a remote workplace.

    Artificial Intelligence and Machine Learning

    Play Episode Listen Later Sep 1, 2020 18:10


    Artificial intelligence and machine learning are getting a lot of attention in the board room, and they are becoming integral tools in today's culture of compliance. Sabrina Serafin interviews Christian Focacci, the Vice President of Offering Management with Steele Global. Christian discusses his experience with these tools and how they help drive efficiency in mundane tasks. Culture of Compliance was recently named #1 in “Top 25 Regulatory Compliance Podcasts You Must Follow in 2020” by Feedspot. Follow us today!

    Data Analytics in 2020

    Play Episode Listen Later Aug 18, 2020 16:06


    2020 has brought many challenges to internal audit, but data analytics could be a helpful tool. Sabrina Serafin interviews Bradley Carroll, Principal and leader of Frazier & Deeter's Financial Services Industry Group and Data Analytics team. Bradley discusses how data analytics could enhance the performance of internal audit teams especially in a remote working environment.

    California Consumer Privacy Act (CCPA) Update

    Play Episode Listen Later Aug 4, 2020 15:50


    On July 1, 2020, the California Consumer Privacy Act (CCPA) became enforceable. Some companies are still wondering if they are affected by this data privacy law. Sabrina Serafin interviews Jodi Daniels, Founder & CEO of Red Clover Advisors. Jodi breaks down who is affected by this law and advice for those companies.

    Communication and Culture

    Play Episode Listen Later Jul 16, 2020 17:09


    Communication is a critical skill for any team, especially internal auditors seeking to do their jobs in a remote work environment. In this episode of Culture of Compliance, Sabrina Serafin interviews Danny Goldberg, the Founder of GoldSRD, who is a speaker and author regarding communication and internal audit. He will discuss the importance of communication, corporate culture, coaching and mentoring for those working remotely.

    Communication and Culture

    Play Episode Listen Later Jul 8, 2020 17:09


    Communication is a critical skill for any team, especially internal auditors seeking to do their jobs in a remote work environment. Sabrina Serafin interviews Danny Goldberg, the Founder of GoldSRD. Danny is a speaker and author regarding communication and internal audit. He will discuss the importance of communication, corporate culture, coaching and mentoring for those working remote.

    Is 2020 the Year of Agile Audit?

    Play Episode Listen Later Jun 16, 2020 12:23


    This year has brought on unpredictable events which have disrupted everything, including audit procedures. With reduced resources and remote work, audit departments have to adapt. In this episode, Sabrina Serafin interviews Linh Truong of GoldSRD on how agile audit could allow audit teams to transform themselves.

    Examining the Impact of COVID-19 on Internal Audit

    Play Episode Listen Later Jun 9, 2020 17:51


    In April 2020, the Institute of Internal Auditors (IIA) sent out a survey  asking internal auditors how COVID-19 impacted their work. Sabrina Serafin, Partner and National Practice Leader of Process, Risk & Governance (PRG) Practice, invites three experienced internal audit professionals to discuss the survey and the meaning of the results.   Guests: Jason Sammons, PRG Partner Katrina Barrett, PRG Director Matt Hornfeck, PRG Manager

    Sarbanes-Oxley: The Journey Continues

    Play Episode Listen Later May 12, 2020 10:07


    As leaders adapt to and anticipate emerging risks, evolving regulatory pressures and new accounting standards, Jason Sammons and Sabrina Serafin discuss current trends in Sarbanes-Oxley (SOX) compliance.  Learn more: https://www.frazierdeeter.com/services/advisory/sarbanes-oxley-reporting/

    Cybersecurity Challenges: Data Protection in the M&A Process

    Play Episode Listen Later Apr 28, 2020 18:12


    Cybersecurity should be a consideration for both the buyer and the seller in the transaction process. Sabrina Serafin, FD Partner and National PRG Practice Leader, interviews Patrick Kelley, Chief Technology Officer of Critical Path Security. Patrick explains how companies can successfully navigate the data security assessment aspects of due diligence to achieve a successful merger.

    Understanding Robotic Process Automation

    Play Episode Listen Later Mar 31, 2020 20:01


    In this episode, Sabrina Serafin interviews Matt Kunkel, CEO of LogicGate. They discuss the areas of risk a business can encounter and how it may be inefficient to manage them manually. Robotic Process Automation (RPA) helps change these manual tasks to automated ones. Listen now to learn how RPA helps organizations mitigate risks and how to get started. LogicGate is a software to services platform which operationalizes Regulatory, Risk & Compliance programs for multiple organizations. Learn more www.logicgate.com Enjoyed this episode? Follow Culture of Compliance and explore more Frazier & Deeter Podcasts.

    Data Security with a Remote Workforce

    Play Episode Listen Later Mar 18, 2020 15:49


    Sabrina Serafin interviews Jodi Daniels of Red Clover Advisors. They discuss the unique data security challenges working from home may present to companies.

    A New Era of Business Resiliency

    Play Episode Listen Later Feb 14, 2020 9:56


    The definition of business resiliency has expanded to a digital frontier. Sabrina Serafin speaks with Eric Aslaksen of iVision, Inc. about this new era of business resiliency and steps you can take.

    What Your CIO Isn't Telling You

    Play Episode Listen Later Dec 12, 2019 15:24


    Small business owners sometimes have trouble understanding the details of how technology is supporting their company. Sabrina Serafin speaks with Rob Hootselle of Cloud & Wire, Inc. about how to understand your company's technological needs and plan for the future.

    SOC Reports: Advantages & What to Expect

    Play Episode Listen Later Nov 19, 2019 11:56


    A SOC report can demonstrate to your clients and vendors a dedication to trust and security, but what does the process look like? Sabrina Serafin discusses the advantages and history of SOC reporting with Shelby Nelson, a SOC lecturer and Director with Frazier & Deeter.

    Cybersecurity Board Oversight: Visibility, Validation & Reputation

    Play Episode Listen Later Oct 18, 2019 8:51


    As cyber risks continue to evolve, how can Boards of Directors be sure they are doing what they can to protect their organization and assets? Sabrina Serafin speaks with Gourav Mukherjee of Immersion Security to discuss how a Board can effectively monitor and control an organization's cybersecurity posture.

    Lions and Tigers and Ransomware, Oh My!

    Play Episode Listen Later Oct 11, 2019 7:54


    Ransomware attacks are becoming more and more common and can mean disaster for a small business. Sabrina Serafin meets again with Mary-Michael Horowitz, Founding Partner and CEO of Asylas, to discuss what businesses can do to protect themselves.

    Protecting Your Assets: Avoiding Business Email Compromise

    Play Episode Listen Later Oct 2, 2019 13:16


    Business email compromise remains an enormous risk for businesses of all sizes, as phishing and other attacks can seriously damage your operations and lead to significant losses. Sabrina Serafin speaks again with Skeet Spillane of Pillar Technology Partners about these risks and some best practices to protect your organization's business email.

    Small Businesses at Risk: The Strategic Advantage of Internal Controls

    Play Episode Listen Later Sep 25, 2019 10:01


    The Association of Certified Fraud Examiners finds that Small Businesses are especially vulnerable to fraud and financial management errors. In this episode, Sabrina Serafin and Katrina Barrett explore internal controls that can help smaller businesses minimize risk.

    Dodging Cyber Crime: How to "Stay Woke" in Today's Online World

    Play Episode Listen Later Aug 19, 2019 8:45


    In today's cyber landscape, corporations adopting a"fingers crossed" security strategy can lead to huge losses for the company and individuals alike. In this episode, Sabrina Serafin speaks with cyber security expert Mary-Michael Horowitz, CEO of Asylas, about the cyber crime industry and how companies can protect themselves.

    Marketing Internal Audit within Your Organization

    Play Episode Listen Later Jul 30, 2019 8:58


    It sometimes seems like executives see the big risks associated with situations like data breaches or fraud, yet still view the internal audit function as a cost of doing business rather than an important investment. Sabrina Serafin welcomes back Danny Goldberg, the founder of GoldSRD, to talk about a critical topic: marketing internal audit within our organizations.

    Managing Cyber Risk: Understanding the NIST Control Framework

    Play Episode Listen Later Jul 15, 2019 9:23


    Cybersecurity is a prevalent topic in the news today, with data breaches hitting the headlines every week. Not surprisingly, we are also seeing legislation in the U.S. and internationally designed to encourage companies to protect sensitive personal information. It is now more important than ever to have a cybersecurity framework, and one of the most popular is the National Institute of Standards and Technology, or NIST, cybersecurity framework. Sabrina Serafin sits down with Brandon Sherman of our Nashville and Las Vegas PRG practices to discuss the basics of the NIST framework and why you should consider employing the framework to help prevent data breaches.

    Making the Shift to Agile Internal Audit

    Play Episode Listen Later Jun 21, 2019 13:14


    Do you ever feel as though your internal audit methodology is somehow both too rigid and misses the mark? Sabrina Serafin meets with Danny Goldberg of GoldSRD to discuss Agile Internal Auditing, a flexible new approach to achieving your objectives.

    Creating a Sustainable Culture of Compliance

    Play Episode Listen Later Jun 6, 2019 9:10


    How do you rally your company's internal messaging around compliance and help turn compliance into an opportunity and strategy rather than a dirty word? Sabrina Serafin sits down with Heather Fortner, Chief Compliance Officer and Chief Operating Officer of wealth management firm SignatureFD, to discuss creating a sustainable Culture of Compliance.

    Leveraging Biometrics & Document Data Security: Smart Eye Technology

    Play Episode Listen Later Apr 23, 2019 9:38


    Data security is a top concern for modern organizations. What are your options to keep your information safe? Sabrina Serafin meets with Dexter Caffey of Smart Eye Technology to discuss his company's new biometric document security software and how leveraging data security can help your company succeed.

    One Size Fits One: Implementing Risk Strategy

    Play Episode Listen Later Apr 8, 2019 15:40


    Sabrina Serafin speaks with Jason Sammons of our Process, Risk & Governance practice about implementing risk management as a strategy to help small and mid-sized businesses grow and reach their potential.

    The Virtual CISO: An Emerging trend in Small Business Data Security

    Play Episode Listen Later Mar 25, 2019 8:16


    Sabrina Serafin sits down again with Skeet Spillane of Pillar Technology Partners to discuss the VCISO, an information security officer who can provide everything your business needs and nothing it doesn't.

    Marketing Compliance in the Age of Data Privacy

    Play Episode Listen Later Mar 11, 2019 13:58


    Jodi Daniels of Red Clover Advisors joins us again to talk about the importance of properly managing your marketing data in the age of privacy regulations such as GDPR and CCPA.

    New Privacy Laws and their Impact on US Businesses

    Play Episode Listen Later Feb 27, 2019 14:51


    Join us as Sabrina speaks with Jodi Daniels of Red Clover Advisors about the California Consumer Privacy Act, a  new privacy law in the United States that resembles the EU's GDPR. Learn about this sweeping new regulation and how you should best prepare for its implementation next January.

    HITRUST 1: Assess Once, Report Many

    Play Episode Listen Later Feb 18, 2019 23:28


    Join our PRG National Practice Leader Sabrina Serafin in Part 1 of a three part discussion on HITRUST. A certified HITRUST assessor herself, Sabrina speaks with Michael Parisi, the Vice President of Assurance Strategy & Community Development of the HITRUST alliance to discuss the HITRUST "Assess Once, Report Many" mentality as a competitive advantage in today’s marketplace.

    A Different Approach to Internal Audit

    Play Episode Listen Later Jan 29, 2019 12:01


    Join us as Sabrina talks with our new PRG Principal Bradley Carroll about the pros and cons of Co-Sourcing your internal audit.

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