Podcasts about chief compliance officers

In this episode of Brown and Happy, we sit down with Madhu, a South Asian mother, finance professional, and community advocate, for a deeply personal and powerful conversation about domestic violence in South Asian communities. Madhu lives in Somerset, NJ with her beautiful 9-year-old daughter and her adorable 5-year-old, four-legged son, Tofu. She is the Chief Compliance Officer and Senior Client Manager at Wealth Planning Advisory Group in Bedminster, NJ. Madhu also serves as the Board Treasurer for Manavi, a pioneering organization dedicated to ending violence against South Asian women. Madhu shares her insight and experiences, along with her work as Board Treasurer for Manavi—a New Jersey–based nonprofit that has been supporting South Asian survivors of gender-based violence since 1985. Together, we explore the cultural stigma that keeps survivors silent, the role of organizations like Manavi, and how community-based healing and justice are possible. This conversation is for anyone who wants to understand the intersection of culture, silence, survival, and strength.

In this episode of The Ethics Experts, Nick welcomes Jay Cohen.Jay Cohen has a wealth of experience as an architect of comprehensive legal compliance and risk management programs that identify and prevent fraud, promote ethical business practices, and ensure compliance with global legal mandates. As both Chief Compliance Officer and independent consultant, he has proven effective at identifying and interpreting applicable regulations and then crafting and communicating required organizational responses, motivating individuals at all levels of an organization, and collaborating with business leaders to advance compliant business strategies.https://www.linkedin.com/in/jay-cohen-legalcompliance

Returning guest Clive Davis joins us to discuss preparing for the future, challenges he faced, and ways to avoid some challenges altogether.    First Episode: https://www.buzzsprout.com/1115735/episodes/9751971----Continue the conversation with Brian on LinkedInJoin our multifamily investing community with like-minded apartment investors at the Tribe of TitansThis episode originally aired on May 23, 2025----Watch the episode on YouTube: https://www.youtube.com/channel/UCcsYmSLMxQCA9hgt_PciN3g?sub_confirmation=1 Listen to us on your favorite podcast app:Apple Podcasts: https://tinyurl.com/AppleDiaryPodcast Spotify: https://tinyurl.com/SpotDiaryPodcast Google Podcasts: https://tinyurl.com/GoogleDiaryPodcast Follow us on:Instagram: https://www.instagram.com/diary_of_an_apartment_investor Facebook: https://www.facebook.com/DiaryAptInv/ Twitter: https://twitter.com/Diary_Apt_Inv ----Your host, Brian Briscoe, has owned over twenty apartment complexes worth hundreds of millions of dollars and is dedicated to helping aspiring apartment investors learn how to do the same. He founded the Tribe of Titans as his platform to educate aspiring apartment investors and is continually creating new content for the subscribers and coaching clients.He is the founder of Streamline Capital based in Salt Lake City, Utah, and is probably working on closing another apartment complex in the greater SLC area. He retired as a Lieutenant Colonel in the United States Marine Corps in 2021 after 20 years of service.Connect with him on LinkedIn----Clive DavisAfter graduating from Columbia Law School, Clive's corporate career took him from a Wall Street law firm where he began as a transactional lawyer, to a variety of in-house legal and compliance roles in the pharmaceutical industry, including nine years serving as a Chief Compliance Officer. Throughout the entirety of this twenty-year career, he remained actively invested in real estate with a small portfolio of holdings.In answering this self-posed question, Clive decided 2017 was the time and walked away from corporate life in pursuit of his interests and passion as a full-time real estate investment entrepreneur.Since founding Park Royal Capital in 2017 Clive Davis has personally invested in more than 2,500 multifamily rental units, as well as a portfolio of hotels based in Atlanta where he has resided since 2005. Most recently Park Royal Capital acquired two Atlanta multifamily properties totaling 444 units with a combined value of over $70M.Learn more about him at: https://parkroyalcapital.com/, or https://www.linkedin.com/in/clivedavisesq/

What happens when ancient philosophical questions about "the good life" collide with modern healthcare regulations?  In this compelling episode of TCNtalks, host Chris Comeaux welcomes hospice leaders Annette Kiser, Chief Compliance Officer with Teleios, and Judi Lund Person, Principal, Lund Person & Associates LLC,  for a deep dive into the regulatory crossroads facing hospice providers.In this episode,  we discuss the FY 2026 Proposed Rule, which focused on implementing the HOPE initiative, and two RFIs (Requests for Information) that were part of it.  Also, discuss how important it is for us in the hospice field to give CMS feedback via these RFIs.  These will impact the Future Quality Measure Concepts for the Hospice Quality Reporting Program, and CMS is asking for input on three concepts for the  HQRP Hospice Quality Reporting Program:- The Challenges of Interoperability,- The Evolving Quality Measures related to Patient Well-Being - Nutrition, including Safe Eating Habits, Exercise, Nutrition, and Activity  appropriate for end-of-life careLast, they discuss a separate RFI related to the Advanced Digital Quality Measurement (dQM) in the HQRP (Hospice Quality Reporting Program) and the data standards of Health Level Seven® (HL7®) and Fast Healthcare Interoperability Resources® (FHIR®).Annette and Judi have a wealth of experience and knowledge.  This is a great listen for staff, leaders, and Boards of hospice and palliative care organizations to become more educated about the tracks being laid with the proposed 2026 Wage Index.  This show is timely and relevant, so join us.Guest:Annette Kiser, Chief Compliance Officer with Teleios Judi Lund Person, Principal, Lund Person & Associates LLC Host:Chris Comeaux, President / CEO of TELEIOShttps://www.teleioscn.org/tcntalkspodcast/navigating-the-future-hope-wage-index-and-cms-quality-measuresTeleios Collaborative Network / https://www.teleioscn.org/tcntalkspodcast

In this episode of The Ethics Experts, Nick welcomes Todd Gower.Todd Gower serves as the Chief Compliance Officer at L.A. Care Health Plan, bringing a distinctive blend of Big 4 consulting, finance, technology, and healthcare governance expertise to one of the nation's largest publicly operated health plans. In this role, he leads a broad portfolio that includes corporate and regulatory compliance, enterprise risk management, external audit coordination, organizational ethics, privacy, special investigations, internal audit, delegated provider oversight, and compliance analytics. His focus is on building a culture of compliance that not only meets regulatory expectations—especially across Medicare and Medicaid programs—but also supports L.A. Care's mission of delivering quality care to its members, providers, and communities.https://www.linkedin.com/in/todd-m-gower-9a64b7/

In a classic replay of our in-house counsel series, Allison Brecher, General Counsel and Chief Compliance Officer of growing fintech startup and digital retirement platform Vestwell, shares her journey from journalism to the law, and from law practice to in-house. She provides insights into how to be a general counsel who is proactive and integrated into the business, and the opportunity to build a department and company culture from the ground up at Vestwell.

In this episode of The Ethics Experts, Nick welcomes Leigh Mulholland. Leigh Mulholland serves as the Chief Compliance Officer at the Kansas City Board of Public Utilities (BPU), where she oversees regulatory compliance, regulatory, environmental policy and compliance, enterprise risk management, insurance, and internal audit for both water and electric operations. Before joining BPU, Leigh spent 16 years at Capital Power Corp (TSE:CPX), a Canadian-based independent power producer, where she served as Chief Compliance Officer from 2015 to 2023. Under her leadership, Capital Power earned Ethisphere's prestigious World's Most Ethical Companies designation from 2018 to 2023. Her prior roles at Capital Power spanned Corporate Strategy, Business Planning, M&A and Asset Valuation, Commercial Management, Real-time Operations, and Finance, showcasing her breadth of expertise in the energy sector.

Tom O'Neil, Managing Director, BRG, and Jim Hearty, Chief Compliance Officer, DaVita Inc., discuss the various dimensions of the Chief Compliance Officer's role. They cover issues related to strategic enablement, organizational values and culture, and working with the legal department and the board of directors. Tom and Jim spoke about this topic at AHLA's 2024 Fraud and Compliance Forum in Baltimore, MD. Sponsored by BRG.Learn more about AHLA's 2025 Fraud and Compliance Forum in Baltimore, MD here.AHLA's Health Law Daily Podcast Is Here! AHLA's popular Health Law Daily email newsletter is now a daily podcast, exclusively for AHLA Premium members. Get all your health law news from the major media outlets on this new podcast! To subscribe and add this private podcast feed to your podcast app, go to americanhealthlaw.org/dailypodcast.

They said she was beyond help. After 29 hospitalizations, no one had any answers. Tracie Ibrahim was just 10 years old when a single question from a doctor spiraled her into nearly a decade of psychiatric holds, misdiagnoses, and overmedication. They labeled her with everything from depression to schizophrenia, but no one stopped to consider the truth behind her thoughts — behind the compulsions, behind the fear.In this episode of Get to Know OCD, Tracie shares the raw, powerful story of how untreated OCD shaped her childhood, how she eventually uncovered the therapy that finally worked, and how she now uses that same method to help others heal as NOCD's Chief Compliance Officer.Struggling with OCD? At NOCD, we offer specialized treatment for the disorder. Book a free 15-minute call with one of our experts at https://learn.nocd.com/podcastFollow us on social media:https://www.instagram.com/treatmyocd/https://twitter.com/treatmyocdhttps://www.tiktok.com/@treatmyocdFollow us on social media:https://www.instagram.com/treatmyocd/https://twitter.com/treatmyocdhttps://www.tiktok.com/@treatmyocd

Where does creativity fit into compliance? In more places than you think. Problem-solving, accountability, communication, and connection – they all take creativity. Join Tom Fox and Ronnie Feldman on Creativity and Compliance, part of the award-winning Compliance Podcast Network. Ronnie's company, Learnings, and Entertainment, utilizes the entertainment devices people use to consume information in their everyday, non-work lives and apply it to important topics around compliance and ethics. It is not only about being funny. It is about changing the tone of your compliance communications and messaging to make your compliance program, policies, and resources more accessible. In this episode of Creativity and Compliance, Tom Fox and Ronnie Feldman are joined by Virginia MacSuibhne, former Chief Compliance Officer for Roche and Agilent Technologies. Virginia shares her unique approach to making compliance accessible, engaging, and fun. Emphasizing the importance of a personal brand, she discusses her philosophy of authenticity and how it translates into creating clear, actionable, and enjoyable guidance. Her unconventional methods, including using infographics, breaking down complex policies, and injecting humor and personal interests, have significantly impacted employee engagement and compliance culture. Virginia highlights the critical role of user experience (UX) in compliance, urging practitioners to rethink their policies and communication strategies. She shares anecdotes of her creative initiatives, such as wearing a unicorn costume to training sessions, integrating compliance messages into existing training programs, and making hotline experiences as user-friendly as possible. Her mantra, ‘What makes you weird makes you wonderful,' encourages compliance professionals to bring their unique selves to their work to foster a more approachable and effective compliance environment. Key highlights: Virginia's Philosophy on Compliance Creating an Engaging Compliance Program Simplifying Policies and Procedures Innovative Training and Communication Techniques Overcoming Pushback and Building a Business Case Resources: Virginia MacSuibhne on LinkedIn Ronnie: Ronnie Feldman (LinkedIn) Learnings & Entertainments (LinkedIn)  Ronnie Feldman (Twitter) Learnings & Entertainments (Website) Compliance Confessions – inspired by “Mean Tweets,” these 90-second commercials address misconceptions and excuses to promote speak-up culture and the E&C team as positive and helpful. E&C Training Jams – a soulful singer banters with ethics & compliance, explaining policies, sharing examples, and debunking excuses.  Tales from the Hotline – Real speak up-themed stories about workplace behavior gone wrong. Workplace Tonight Show! – E&C meets SNL Weekend Update, explaining corporate risk topics and why employees should care. 60-Second Communication & Awareness Shorts – A variety of short, customizable, music and multimedia, quick-hitter “commercials” promoting integrity, compliance, speaking up, and the E&C team as helpful advisors and coaches. Custom Live & Digital Programing – Custom creative programming that balances the seriousness of the subject matter with a more engaging delivery. After all, you can't bore people into learning. Tom Instagram Facebook YouTube Twitter LinkedIn Creativity and Compliance was recently honored as one of the Top 35 Podcasts on Creativity by Feedspot. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to RIMScast. Your host is Justin Smulison, Business Content Manager at RIMS, the Risk and Insurance Management Society.   Crystal Trout is a director with Baker Tilly's Risk Advisory practice. Justin and Crystal discuss her career in anti-money laundering compliance, and what brought her to consulting. They discuss the elements of AML compliance and how the need for it stretches beyond financial institutions to any sector that involves large transactions, including virtual digital assets and investing. They talk about the $3 billion settlement TD Bank entered into with regulators in October of 2024 and the messages that sends both to financial institutions and money criminals. Listen to Crystal's advice to risk professionals who may oversee large transactions. Key Takeaways: [:01] About RIMS and RIMScast. [:15] Public registration is open for RISKWORLD 2025! Engage Today and Embrace Tomorrow with RIMS at RISKWORLD from May 4th through May 7th in Chicago, Illinois. Register at RIMS.org/RISKWORLD. [:31] About this episode of RIMScast. Crystal Trout of Baker Tilly and I will discuss how Anti-Money Laundering regulations are impacting the risk profession. [:56] RIMS-CRMP Workshops! As part of RIMS's continuing strategic partnership with Purima, we have a two-day course coming up on April 22nd and 23rd. Links to these courses can be found through the Certification page of RIMS.org and this episode's show notes. [1:15] Virtual Workshops! On April 16th and 17th, Chris Hansen will lead “Managing Worker Compensation, Employer's Liability, and Employment Practices in the U.S.” [1:29] On June 12th, Pat Saporito will host “Managing Data for ERM” and will return on June 26th to present the very popular new course, “Generative AI for Risk Management”. [1:44] A link to the full schedule of virtual workshops can be found on the RIMS.org/education and RIMS.org/education/online-learning pages. A link is also in this episode's show notes. [1:55] RISKWORLD registration is open. Engage Today and Embrace Tomorrow, May 4th through 7th in Chicago. Register at RIMS.org/RISKWORLD. Also, remember that there will be lots of pre-conference workshops being held in Chicago just ahead of RISKWORLD. [2:14] These courses include “Applying and Integrating ERM,” “Captives as an Alternate Risk Financing Technique,” “Contractual Risk Transfer,” “Fundamentals of Insurance,” “Fundamentals of Risk Management,” RIMS-CRMP Exam Prep, and more! The links are in the show notes. [2:38] Money laundering should be one of the top risks on your risk radar, especially in 2025 as new regulations are added or rolled back. Some high-profile resolutions have made recent headlines. [2:51] To help me make sense of it all for the RIMScast audience, here is the Director of Baker Tilly's Risk Advisory Practice, Crystal Trout. Crystal has more than 23 years of experience working with financial institutions with a focus on financial crimes compliance. [3:08] We're going to talk about anti-money laundering (AML) programs and get some best practices for implementation and reporting. [3:18] Interview! Crystal Trout, welcome to RIMScast! [3:33] Crystal Trout is a director with Baker Tilly's Risk Advisory Group. She joined Baker Tilly after having worked in financial crimes risk for over 23 years. Previously, she was in the financial institution space. [3:51] Crystal switched to consulting to help other financial institutions build out their AML compliance programs and ensure that they're in a good spot for regulatory exams. [4:19] Crystal tells how she was drawn to anti-money laundering. In high school, she had an internship with a financial institution, and it was robbed. [4:37] When the FBI was doing their investigation, Crystal was trying to understand what they were doing and how they were going to catch the robber. She was so fascinated by the process that she changed what she went to school for and altered her career path.  [5:09] Crystal's interest in understanding how fraudsters and money launderers act led her to use her banking career to work in the back office and investigation space. [5:38] Crystal says the institution used dispensers that limited cash, and the robbers only got $500. Because of the weapon they used, the robbers got a massive sentence at trial. [6:38] Crystal explains the current AML environment. Baker Tilly is staying close to any regulatory changes. The complexity of regulations is extensive. It's critical that professionals in this space stay close to the challenges that extend even beyond the regulatory requirements. [6:59] We're seeing more changes in regulations than we have historically had, Crystal observes. It's a matter of understanding the landscape, staying close to the changes, and trying to predict which direction they may go and plan for either direction. The key is planning and not waiting. [7:32] Crystal suggests you should hope for the best and plan for the worst. Make sure that you're prepared to go in either direction, whether regulations are rolled back or strengthened. [7:57] Justin recalls that TD Bank reached a $3 billion settlement with U.S. regulators in October 2024, pleading guilty to failing to maintain an adequate AML program, which unfortunately led to the facilitation of money laundering activities. That's a huge penalty, Crystal points out. [8:37] This event provides valuable insight for risk professionals regarding regulatory expectations and also the consequences of inadequacies in their programs. [8:49] People need to understand that they can't be lackadaisical in their compliance program. They need to be ahead of it. It's all about preparation and planning.  [9:03] In the TD Bank case, regulators had identified substantial weaknesses in the overall transaction monitoring system and due diligence procedures. [9:17] TD Bank had allegedly failed to allocate the resources needed to operate their AML program, but they continued to have significant growth within their higher-risk customer segment and geographical region. [9:35] TD Bank wasn't staying ahead and keeping current with its customer base and the risks that were taking place. Beyond the penalty, TD Bank has expenses for remediation efforts, enhanced compliance infrastructure, and independent monitoring. All of these are added costs. [9:57] Financial institutions may fail to realize the costs that happen beyond the penalty. They may say it costs too much to add the staffing or build the correct tools, not realizing it will cost them more when the regulators find these faults and weaknesses within their program. [10:18] A key lesson to learn is that compliance programs must be able to scale appropriately with the institution's business growth and evolving risk profiles. [10:30] Regulators focus on the overall program effectiveness rather than mere technical compliance, particularly regarding the quality of suspicious activity identification and reporting. [10:41] It's important for institutions that have to comply with these programs to be proactive and make sure they have the correct resource allocation. Those things are key when it comes to ensuring that AML compliance programs operate effectively. [11:11] There are five key pillars involved in an AML compliance program, including a designated compliance officer and following customer due diligence. You build an AML Bible, with paperwork that documents the steps you're going to take to be in compliance. [11:39] It allows your people to understand the risk that the institution is willing to take, and what it's not willing to accept. You document everything as evidence base for regulators, as having the correct tools and technology to support the program's overall risk tolerance. [12:33] Justin and Crystal address the reputational risk to an institution that may come from a regulatory settlement. Crystal states that these settlements signal to the bad guys that they are going to be caught and they're not going to be able to continue to act at that institution. [13:14] Crystal tells about the bank robber. For prevention, when someone comes into the bank, make eye contact, talk to them, and acknowledge them. If they're scouting it out, there's a lot less chance they'll come back to that bank because they are being noticed. [13:37] A criminal may not physically be in the bank, but if you do due diligence up front when they open an account, asking the right questions, and looking for red flags, they may realize that you have a very strong AML program in place and they'll go elsewhere. [14:07] Plug Time! RIMS Webinars! On April 3rd, join Zurich for “Understanding Third-Party Litigation Funding”. On April 10th, Audit Board will present “What CISOs Want Risk Executives to Know About Cyber Risk in 2025”. [14:24] Following the success of their recent webinar, HUB International returns for the next installment of their Ready for Tomorrow Series, “From Defense to Prevention: Strengthening Your Liability Risk Management Approach”. That session will be on April 17th. [14:40] On April 24th, RiskConnect returns to deliver “Better Together: The Marriage of Insurable Risk and Business Continuity”. [14:48] More webinars will be announced soon and added to the RIMS.org/webinars page. Go there to register. Registration is complimentary for RIMS members. [14:59] Important Announcement! RIMS and the Institute of Internal Auditors have entered into an agreement to deliver a selection of the other group's educational programming to their members. Twenty-nine shared courses will be available to both association's members. [15:17] RIMS members can explore the IIA courses that are now available to them at See Courses Here. To access RIMS's complete selection of workshops, webinars, and courses, visit RIMS.org/Education. [15:35] Let's Return to my Interview with Crystal Trout! [15:50] Are risk professionals who are not at financial institutions at risk of inadvertently being caught up in a money laundering crime? Crystal says this question is in the back of the mind of any risk professional. She remembers that running an AML compliance program is stressful. [16:22] There's always the risk that a chief compliance manager could be cited for a failure and have to pay a significant, hefty fine. A risk manager should be aware of this when they're performing any form of transaction. Listen to your gut if something seems off. Don't ignore it. [17:26] Is paying in cryptocurrency a red flag? Navigating AML compliance specifically regarding cryptocurrency is new for a lot of professionals. There are risks and benefits to digital assets concerning AML compliance. [17:54] With any evolving form of payment, if risk professionals aren't staying ahead, truly understanding and navigating how it works, it's going to make it difficult for them to understand red flags and risks that might come, as well. [18:13] There is sometimes a natural fear in risk professionals that because they're not comfortable with cryptocurrency, they're not able to address any legitimate concerns or concerns that may be their internal fear due to the lack of knowledge. [18:45] Is it too risky for a company to announce the voluntary departure of a Chief Compliance Officer? Crystal says the company should already have a plan for somebody to temporarily step in and continue to operate so it doesn't leave a gap or exposure in the organization. [19:22] It's an opportunity for a risk professional to go into a financial institution and make a mark for themselves by helping the institution strengthen its overall compliance program. [19:49] It's a good practice for a company to announce the replacement chief compliance officer at the same time as the announcement of the leaving chief compliance officer. It's part of succession planning. [20:47] The money laundering risk landscape is expanding significantly. Industries outside of finance and banking face substantial financial crime risk and corresponding regulatory scrutiny. They have less mature compliance infrastructure than their banking counterparts. [21:07] Crystal mentions the real estate sector as a potential vehicle for money laundering due to the high-value transactions, price stability, and the lack of historical regulatory oversight. [21:19] Digital asset providers, cryptocurrency exchanges, wallet providers, and any type of virtual asset service providers face intensifying regulatory scrutiny because the platforms can facilitate anonymous transactions. [21:35] The Financial Action Task Force has established clear expectations for virtual asset service providers to implement robust AML controls. Gaming and gambling services present money laundering risk. [21:53] There are other high-risk sectors that money laundering risk could expand to. FinCEN recently required registered investment advisors and exempt reporting advisors who have not been required to have an AML compliance program to have one in place by January 2026. [22:22] We're seeing AML compliance extend beyond traditional banking. [22:34] There are very few industries that, in some form or fashion, could not be a victim of a bad actor performing money laundering. It's just a matter of the bad guy finding a way to do it. [23:09] What steps should a company take when money laundering by an employee is discovered? The appropriate officer needs to start an internal investigation. That's a lengthy process. Make sure the “i”s are dotted and the “t”s are crossed within the investigation. [23:47] Make sure all the evidence and documentation are aligned. Involve HR and the appropriate supervisor authority. If it's shown to be true, interview the individual. It could lead to termination. The investigative process could take months. The authorities may be alerted. [24:39] The company may not want it out in public knowledge and may not file a police report. It can damage a company's reputation. [25:00] Crystal explains her passion for AML compliance and why she became a compliance consultant to help more institutions. The downstream impact is so significant. She wants to make sure the bad apples don't have the opportunity to launder funds. [25:54] Special thanks again to Crystal Trout for joining us here on RIMScast. I've got links to more RIMS coverage of fraud, compliance, financial risk management, and anti-money laundering in this episode's show notes. [26:09] Plug Time! You can sponsor a RIMScast episode for this, our weekly show, or a dedicated episode. Links to sponsored episodes are in the show notes. [26:38] RIMScast has a global audience of risk and insurance professionals, legal professionals, students, business leaders, C-Suite executives, and more. Let's collaborate and help you reach them! Contact pd@rims.org for more information. [26:55] Become a RIMS member and get access to the tools, thought leadership, and network you need to succeed. Visit RIMS.org/membership or email membershipdept@RIMS.org for more information. [27:13] Risk Knowledge is the RIMS searchable content library that provides relevant information for today's risk professionals. Materials include RIMS executive reports, survey findings, contributed articles, industry research, benchmarking data, and more. [27:30] For the best reporting on the profession of risk management, read Risk Management Magazine at RMMagazine.com. It is written and published by the best minds in risk management. [27:44] Justin Smulison is the Business Content Manager at RIMS. You can email Justin at Content@RIMS.org. [27:51] Thank you all for your continued support and engagement on social media channels! We appreciate all your kind words. Listen every week! Stay safe!   Links: RISKWORLD 2025 — May 4‒7 | Register today! Nominations for the Donald M. Stuart Award [Canada] Spencer Educational Foundation — General Grants 2026 — Application Dates Spencer's RISKWORLD Events — Register or Sponsor! RIMS-Certified Risk Management Professional (RIMS-CRMP) RISK PAC | RIMS Advocacy RIMS Risk Management magazine RIMS Now Announcement: RIMS and The Institute for Internal Auditors' Strategic Alliance on Education RIMS Webinars: RIMS.org/Webinars “Understanding Third-Party Litigation Funding” | Sponsored by Zurich | April 3, 2025 “What CISOs Want Risk Executives to Know About Cyber Risk in 2025” | Sponsored by Auditboard | April 10, 2025 “Ready for Tomorrow? From Defense to Prevention: Strengthening Your Liability Risk Management Approach” | Sponsored by Hub International | April 17, 2025 “Better Together: The Marriage of Insurable Risk and Business Continuity” | Sponsored by Riskonnect | April 24, 2025   Upcoming RIMS-CRMP Prep Virtual Workshops: RIMS-CRMP Exam Prep with PARIMA | April 22‒23 Full RIMS-CRMP Prep Course Schedule   Upcoming Virtual Workshops: “Managing Worker Compensation, Employer's Liability and Employment Practices in the U.S.” | April 16‒17 | Instructor: Chris Hansen “Managing Data for ERM” | June 12 | Instructor: Pat Saporito  “Generative AI for Risk Management” | June 26 | Instructor: Pat Saporito See the full calendar of RIMS Virtual Workshops RIMS-CRMP Prep Workshops   Related RIMScast Episodes: “RIMS Legislative Priorities in 2025 with Mark Prysock” “AI and Regulatory Risk Trends with Caroline Shleifer” “Financial Risk Management with Chris Willey of American Eagle FCU” “Maintaining an Award-Winning ERM Program with Michael Zuraw” “ERM in Banking & Finance with Eleni Willis”   Sponsored RIMScast Episodes: “Understanding Third-Party Litigation Funding” | Sponsored by Zurich (New!) “What Risk Managers Can Learn From School Shootings” | Sponsored by Merrill Herzog (New!) “Simplifying the Challenges of OSHA Recordkeeping” | Sponsored by Medcor “Risk Management in a Changing World: A Deep Dive into AXA's 2024 Future Risks Report” | Sponsored by AXA XL “How Insurance Builds Resilience Against An Active Assailant Attack” | Sponsored by Merrill Herzog “Third-Party and Cyber Risk Management Tips” | Sponsored by Alliant “RMIS Innovation with Archer” | Sponsored by Archer “Navigating Commercial Property Risks with Captives” | Sponsored by Zurich “Breaking Down Silos: AXA XL's New Approach to Casualty Insurance” | Sponsored by AXA XL “Weathering Today's Property Claims Management Challenges” | Sponsored by AXA XL “Storm Prep 2024: The Growing Impact of Convective Storms and Hail” | Sponsored by Global Risk Consultants, a TÜV SÜD Company “Partnering Against Cyberrisk” | Sponsored by AXA XL “Harnessing the Power of Data and Analytics for Effective Risk Management” | Sponsored by Marsh “Accident Prevention — The Winning Formula For Construction and Insurance” | Sponsored by Otoos “Platinum Protection: Underwriting and Risk Engineering's Role in Protecting Commercial Properties” | Sponsored by AXA XL “Elevating RMIS — The Archer Way” | Sponsored by Archer   RIMS Publications, Content, and Links: RIMS Membership — Whether you are a new member or need to transition, be a part of the global risk management community! RIMS Virtual Workshops On-Demand Webinars RIMS-Certified Risk Management Professional (RIMS-CRMP) RISK PAC | RIMS Advocacy RIMS Strategic & Enterprise Risk Center RIMS-CRMP Stories — Featuring Walmart ERM Director Michelle Black!   RIMS Events, Education, and Services: RIMS Risk Maturity Model®   Sponsor RIMScast: Contact sales@rims.org or pd@rims.org for more information.   Want to Learn More? Keep up with the podcast on RIMS.org, and listen on Spotify and Apple Podcasts.   Have a question or suggestion? Email: Content@rims.org.   Join the Conversation! Follow @RIMSorg on Facebook, Twitter, and LinkedIn.   About our guest: Crystal Trout, Director, Risk Services Advisory Group at Baker Tilly   Production and engineering provided by Podfly.  

In this episode of The Ethics Experts, Nick welcomes Katherine Cohen, JD, CHC, CHRC. Katherine is the Chief Compliance Officer of Southern Illinois University (SIU) Medicine. In that role, Kate leads the compliance program for the SIU School of Medicine, the affiliated faculty practice plan and the SIU federally qualified health center. Focusing on collaborative, proactive compliance support for the organization, the compliance office is responsible for physician billing auditing and compliance, referral issues, conflict of interest, research compliance, research integrity, and privacy. Prior to her work with SIU Medicine, Kate has worked in healthcare and research compliance and legal positions. Kate is a graduate of Florida International University College of Law and Colgate University and holds certifications in healthcare compliance and healthcare research compliance from the Healthcare Compliance Association. https://www.linkedin.com/in/katherine-cohen-jd-chc-chrc-a6380b15/

SEASON: 5 EPISODE: 5Episode Overview:Crisis can strike at any moment. Are you or your business crisis capable? My guest today will share with us strategies and tactics to become crisis capable, how we can build our capacity to survive, and succeed in every environment. She will also be sharing her key messages on how to approach negotiations as relationship-building opportunities, how to think through scenarios and formulate a plan in advance, how to notice details that others may overlook, how to leverage your EQ to remain calm and navigate difficult conversations, and how to lean into your intuition and follow any hunch.Fabiana is a passionate advocate for negotiation, and she is committed to helping others to develop the skills they need to succeed in any situation.Please join me for my interesting conversation with Fabiana-Lacerca-Allen.Guest Bio: Fabiana Lacerca-Allen is the Senior Vice President of Compliance at Aimmune Therapeutics, a Nestle Health Science corporation, a biopharmaceutical company developing treatments for potentially life-threatening food allergies.Practicing law and compliance for more than 30 years, Lacerca-Allen's passion as a compliance leader stems from values instilled in her at an early age and have helped to shape her career path as a global thought leader in law and compliance. In addition to leading the compliance team at Aimmune, Lacerca-Allen serves as a member of the Board of Directors and an audit Committee member at Shield Therapeutics plc.Lacerca has a track record of building and implementing successful compliance programs across Fortune 100 organizations, particularly within pharmaceutical, biotech and medical device industries. Her expertise includes negotiating and implementing corporate integrity agreements, deferred prosecution agreements and consent decrees for U.S. corporations with extensive global operations.Prior to her roles at Aimmune , Lacerca-Allen was the Senior Vice President and Chief Compliance Officer at Elan where she had global responsibilities in strategic initiatives and implementation of compliance programs. And prior to this, she held roles as a Board Member at ArthroCare, Senior Vice President and Chief Compliance Officer at Mylan, Director of Compliance at Bristol Myers & Squibb and Senior Counsel at Microsoft.Resource Links:Website: https://fabianalacercaallen.com/Product Link: https://www.amazon.com/Crisis-Capable-Building-Capacity-Environment-ebook/dp/B0D9BY131HInsight Gold Timestamps:03:02 We're all going to die, so don't worry about it. Worry about what you're going to live for04:24 You overheard a conversation with your father 06:04 He said, That's why you should only get information when you can do something about it07:54 Most people follow action09:45 Somebody asked me, How do you choose people to work with?11:43 I think intuition is important, as a marker to pay more attention14:05 D on't collect regrets17:29 There's no situation that's not a win win, that's sustainable19:58 Your bottom line is, you have to be willing to walk out of anything, period23:18 One typical mistake I found23:50 We have more in common than not25:21 What are the three things that people that don't like you will tell me about you? 28:25 I say, Act with integrity and accept the results30:16 The book is called Crisis Capable, Building Your...

In this episode of The Ethics Experts, Nick welcomes Gary Ballesteros. Gary Ballesteros is Vice President, Law, Chief Compliance Officer and Ombuds. He leads the team of compliance professionals who oversee Rockwell Automation's compliance with regulatory requirements around the globe. Under his leadership, Rockwell has been named one of the World's Most Ethical Companies by Ethisphere Magazine. As the Company's Ombuds, Gary serves a critical role in the Company's culture of ethics and integrity. The Ombuds has a direct reporting authority to the Board of Directors and is empowered to investigate any claims or allegations of misconduct within the Company. The Ombuds maintains a variety of hotline reporting mechanisms that can be accessed anonymously by any employee worldwide; and he also manages a staff of investigative personnel and counsel who investigate any reported violations of our Code of Conduct.

Corey Tang, Chief Compliance Officer at DFX Labs, dives into Hong Kong's crypto regulations, VATP licensing challenges, and market abuse detection. Learn how compliance professionals navigate evolving global frameworks.

Guests:  William Kruse, General Counsel, GALLUPRenee Lani, General Counsel, American Public Gas AssociationAngela Olsen, General Counsel, Chief Compliance Officer & Corporate SecretaryHosts:  Phil FeigenJerita SalleySuzanne Bassett

In this episode of Great Women in Compliance, GWIC co-host Hemma Lomax sits down with compliance expert Kristy Grant-Hart, author of How to Be a Wildly Effective Compliance Officer. Kristy discusses the recent acquisition of her consulting group, Spark Compliance, by Diligent and shares her unique origin story that led her from a background in film and television to becoming a leading figure in the compliance world.  Tune in to learn about the four human motivators and the role of fear alongside ethical culture in compliance, the future skillsets required for compliance officers, and the integral role of community and networking in building a successful compliance career. Kristy also offers insights for Chief Compliance Officers seeking their next career steps and highlights the broader impact compliance professionals have on changing the business world. Highlights Include: The recent acquisition of Spark Compliance Consultancy by Diligent Kristy's journey from the film and entertainment industry to law and compliance The skills and attitudes that will future-proof your compliance career The key motivators to consider when influencing human behavior and culture The role of community, collaboration, and following your passion.  Biography Kristy Grant-Hart is the Vice President, Head of Advisory Services, Spark Compliance, a Diligent Brand. She's a renowned expert at transforming compliance departments into in-demand business assets. She is the author of several highly-acclaimed books, including the best-selling How to be a Wildly Effective Compliance Officer. She has advised Fortune 100 companies on international compliance and has created, implemented, and revamped compliance programs for major companies in Europe and the United States. Kristy was honored as a Trust Across America 2019 Top Thought Leader in Trust. A powerful and inspirational public speaker, Kristy provides keynote presentations to organizations and conferences globally. Kristy has written for and been featured in publications including the Wall Street Journal, Financial Times, Corporate Financier Magazine, Risk Universe Magazine, and on the cover of Compliance and Ethics Professional Magazine. She is a former adjunct professor at Delaware Law School, Widener University, teaching Global Compliance and Ethics.  Kristy was shortlisted for the Chief Compliance Officer of the Year award at the Women in Compliance Awards and was shortlisted again for the Compliance Innovator of the Year. Before launching Spark Compliance, a Diligent Brand, Kristy was the Chief Compliance Officer at United International Pictures, the joint distribution company for Paramount Pictures and Universal Pictures in 65+ countries. Kristy began her legal career at the international law firm of Gibson, Dunn & Crutcher, where she worked in the firm's Los Angeles and London offices. While at Gibson Dunn, her team was nominated for Best Regulatory Law Firm of the Year at Thomson Reuter's Compliance Awards. Kristy graduated summa cum laude from Loyola Law School in California. She holds certification as a Corporate Compliance and Ethics Professional – International (CCEP-I) and is a member of the California Bar.

Only have time to listen in bite-sized chunks? Skip straight to the parts of the podcast most relevant to you:Understand what executive orders (EOs) are, what legal effect they have and how they are used. (2:53)Develop strategies for how legal leaders can quickly evaluate and then prioritize relevant EOs. (6:40)Learn the types of workforce-related EOs that have been issued (11:28) and focus areas for legal leaders. (14:47)Learn the types of EOs related to trade policy and supply chain that have been issued (17:58) and focus areas for legal leaders. (19:53)Understand how legal leaders can lean in during this uncertainty (26:21) and general counsel's (GC's) recommended next steps. (29:57)The flurry of EOs issued by the new U.S. administration has amplified the uncertainty that organizations have been grappling with for some time. In times of uncertainty, GC can be a strategic partner to the board and management by synthesizing rapidly changing regulatory and social expectations and conveying the strategic implications of various actions.In this installment of the Strategic GC Podcast, Gartner Vice President and Chief of Research for General Counsel and Chief Compliance Officers, Chris Audet, Gartner Vice President Research Key Initiative Leader, Abbott Martin, and host, Alissa Lugo, discuss EOs, including EOs related to workforce and trade policy, what Gartner has been hearing from clients, evaluation and prioritization tips and how GC can proactively address the uncertainty.Eager to hear more? The Strategic GC Podcast publishes the last Thursday of every month. Plus, you can listen back to past episodes here: The Strategic GC Podcast (2024 Season).About the GuestChris Audet is vice president and chief of research for Gartner's assurance practice. For nearly two decades, he has worked closely with leading general counsel and chief compliance officers. He currently identifies, designs and executes research to meet the expanding portfolio of in-house legal and compliance teams, covering topics that include compliance program management, legal and compliance technology and compliance risk management. Before Gartner, he worked for the Association of Corporate Counsel. Chris is retired from the practice of law in the state of New York.Take Gartner with you. Gartner clients can listen to the full episode and read more provocative insights and expertise on the go with Gartner Mobile App.  Become a Gartner client to access exclusive content from global thought leaders. Visit www.gartner.com today!

In today's episode, Lisa speaks with a Great Gentleman in Compliance, Andrew McBride, the CEO and founder of Integrity Bridge. Andrew shares his journey in the compliance field from private practice, to becoming Chief Compliance Officer at Albemarle, to starting Integrity Bridge. At Albemarle, Andrew built a new ethics and compliance program against the backdrop of an FCPA investigation.  The work of Andrew and his team and their cooperation with the US Department of Justice, led to a decrease of 45% penalty reduction.  The program was also awarded Compliance Week's “Program of the Year” award. He highlights the importance of having a multifunctional approach to building compliance programs, working closely with various departments such as sales, procurement, and finance.  He also emphasizes how ethics and compliance teams are best positioned to succeed if they have different backgrounds and skill sets.   Andrew shares his experience in building Integrity Bridge, a consultancy focused on helping companies design and implement holistic compliance programs to proactively use technology and address risks which are constantly evolving.

CMIC Workstream on Countering Fraud series takes off with the first podcast with Julia Baranovskaya, Chief Compliance Officer at NDAX, who discusses how to spot scam crypto platforms. This episode focuses on identifying red flags, understanding crypto-specific scams, and the growing role of AI in scam activities. Learn practical tips and tools for fraud prevention, and how the crypto industry is coming together to strengthen market integrity.

What if you never really wanted or expected to become a lawyer? How do you navigate imposter syndrome? And where do you find meaning in your work?Join Ryan Nier, General Counsel, Chief Compliance Officer, and Head of People at Nova Credit, as he shares his career path from being a self-taught computer programmer who founded his own start-up to a decade as a litigation associate at a global law firm, eventually landing as a general counsel at companies with a positive impact on the world.Listen as Ryan discusses his struggles with imposter syndrome, feeling like the only person in the room with a unique background, hiring great people for roles you've never done before, and his side project of creating a documentary podcast about the time he and his brother dug up some (literal) buried gold.Read detailed summary: https://www.spotdraft.com/podcast/episode-85TopicsIntroduction 0:00Starting as a software engineer: 2:17Enrolling in law school: 5:34Managing imposter syndrome: 9:58Hiring diverse talent: 16:44Why representation matters: 23:42Transitioning to in-house legal: 27:08Making the leap to general counsel: 32:22Expanding beyond legal into the people function: 39:52Creating and hosting a podcast about your family: 45:18Rapid-fire questions: 53:30Connect with us:Ryan Nier - https://www.linkedin.com/in/ryannier/Tyler Finn - https://www.linkedin.com/in/tylerhfinnSpotDraft - https://www.linkedin.com/company/spotdraftSpotDraft is a leading contract lifecycle management platform that solves your end-to-end contract management issues. Visit https://www.spotdraft.com to learn more.

How This $2B Money Manager Looks At Holistic Investing… Guest:Dipen Mehta Chief Financial and Operating Officer at Invst with $1.8B A.U.M.Company:InvstWebsite: https://invst.comBio:Chief Operating and Financial Officer at Invst and a Founder at Super Amplify, with over 25 years of experience in the financial industry. I have a Series 65 license, an AIF® & CIMA® designation, and a Lean Six Sigma Black Belt. I am also a keynote speaker, a mathematician, and a former member of CBOE and CME. I have master's degree in financial mathematics from University of Chicago where I also took several MBA courses. I have certificate in Investment Management from Yale University and two undergraduate degrees with three majors in Computers Science, Economics, and International Management, from Boston University.At Invst, I oversee the day-to-day business operations of the firm, which includes human resources, compliance, technology, investment operations, insurance operations, financial management, and vendor management. I work closely with the leadership team, advisors, clients, and team members to create and execute the business plan, and to support the firm's mission of helping people live the life they want by making money work for them. I am passionate about cutting-edge technology and how it can help our team members and clients. I also hold the Chief Compliance Officer, Chief Financial Officer, and Chief Technology Officer positions. We pride ourselves on the growth achieved by our clients and our abundance mindset all of which have led to success for firm in accolades and AUM growth.Super Amplify is a company I started in 2023 to help people use AI better at work to help them do the things they love and automate the things they hate. At Super Amplify, I help bridge the gap between AI, data, and IP with customized technology for clients. I enable users to build collections of their files and ask questions to their data, using artificial intelligence and data science. I connect data sources, workflows, and people using to build automation via intelligent agents. I work with financial advisors, institutions, banks, and other financial organizations that want to improve performance for their clients and create efficiency.I started my career on the floor as a clerk and then a trader at the CBOE and CME, and then founded Intelligent Market Trading Company, one of the most successful firms in the pit and one of the first to trade derivatives electronically.Disclaimer: Invst, LLC (“Invst”) is an SEC registered investment advisor with offices in Indianapolis, IN and Tampa, FL. Invst does not make any representations or warranties as to the investments and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users should be guided accordingly. Prior to Invst rendering any of the advisory services described herein, clients are required to enter into one or more written agreements with Invst setting forth the relevant terms and conditions of the advisory relationship (the “Advisory Agreement”). For additional information, visit www.Invst.com.

Peter Golotko has dedicated his career to helping people achieve financial independence, helping businesses and business owners reach and exceed their goals, and helping charitable institutions protect and make the best possible use of their resources. With over 25 years of experience in investing, financial planning, accounting, and taxation, he brings a wealth of knowledge and experience to the financial planning process. Peter is the majority owner of CPS Investment Advisors, and also serves as the firm's Chief Compliance Officer. Peter is a frequent speaker on topics like financial planning, investing, retirement planning, SEC compliance, and technology. Listen to this insightful RIA episode with Peter Golotko about the journey of CPS Investment Advisors. Here is what to expect on this week's show: - How CPS Investment Advisors specializes in building customized portfolios using individual stocks instead of mutual funds. - Why a client-first approach ensures win-win situations for clients and the firm. - Why the firm emphasizes wealth-building strategies like dividend reinvestment and holding quality stocks. - Why CPS strives to be involved in their client's lives, even assisting with non-financial matters. - How integrating tax planning helps minimize client's largest expenses. Connect with Peter: Links Mentioned: CPS Investment Advisors Instagram Facebook LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

 Hedi Navazan, the Chief Compliance Officer of 1inch Group, to your podcast. Hedi brings over a decade of expertise in regulatory compliance, financial crime prevention, and governance. With a distinguished career spanning both traditional finance and digital assets, Hedi is a pivotal figure in navigating the intersection of decentralized finance (DeFi) and global regulatory landscapes.Prior to joining 1inch, Hedi managed financial crime and regulatory teams across Europe at HSBC, where she gained extensive experience in banking and compliance. Her global perspective is further enhanced by her work with prominent organizations such as Europol, Interpol, and the United Nations Office on Drugs and Crime (UNODC), where she has advised and educated policymakers on creating robust regulatory frameworks for the digital asset sector.

 Hedi Navazan is the Chief Compliance Officer of 1inch Group, to your podcast. Hedi brings over a decade of expertise in regulatory compliance, financial crime prevention, and governance. With a distinguished career spanning both traditional finance and digital assets, Hedi is a pivotal figure in navigating the intersection of decentralized finance (DeFi) and global regulatory landscapes.Prior to joining 1inch, Hedi managed financial crime and regulatory teams across Europe at HSBC, where she gained extensive experience in banking and compliance. Her global perspective is further enhanced by her work with prominent organizations such as Europol, Interpol, and the United Nations Office on Drugs and Crime (UNODC), where she has advised and educated policymakers on creating robust regulatory frameworks for the digital asset sector.

Live from a pile of dark chocolate-dipped kittens, it's an all-new Terrific Tuesday edition of Business Pants. Joined by Analyst-Hole Matt Moscardi! On today's calorie free Double Big Mac called February 4th 2025: the Who Do You Blame? Game!Our show today is being sponsored by Free Float Analytics, the only platform measuring board power, connections, and performance for FREE.DAMION1Who Do You Blame? GameWells Fargo CEO Charlie Scharf Gets Pay Bump To $31.2 Million CEO Charlie Scharf: for being greedy. His pay ratio was already an alarming 325:1 last year.Shareholders: Say on Pay 57% approval in 2021; 73% approval in 2022. Despite policy tweaks which resulted in 92% support in 2023 and 93% in 2024: the song remains the same: the CEO's pay steadily and magically increases annually: $21M, $25M, $26M, and now $31MPay Committee chair Ronald Sargent: why on earth would you ask the former CEO of Staples to control setting the pay of a fellow S&P 500 CEO brother? It's an immediate conflict of interest.Female board power: at -19% this is a board that chooses to underpower female leadership. 5 women control an aggregate 20% influence while the top 5 men control 68%Citi bucks back-to-office trend and embraces hybrid workingThe board: 8 of 14 directors are womenThe CEO: In 2021, Jane Fraser became Citi's CEO and the first woman to lead a major U.S. bank Shareholders: 26% in 2024 supported a SHP requesting a report on the effectiveness of Citi's policies and practices in respecting Indigenous Peoples' rights in Citi's existing and proposed financingChief Human Resources Officer Sara Wechter: Sara serves on the board of Onex Corporation (relatively rare for CHROs and is not afraid in her Citigroup bio to state that “she has championed diversity, equity and inclusion efforts across Citi, leading the firm in exceeding its original 3-year aspirational representation goals set in 2018 for women globally and black talent in the U.S.”McDonald's Shamrock Shake returns — and so does Grimace's uncleThe CEO: Chris Kempczinski's CEO pay ratio of 1,212:1 proves he doesn't care what anybody thinks.The Chair: oh wait, that's also Chris KempczinskiThe Lead independent Director: Miles White, clearly not independent having served on the board since 2009The Sustainability & Corporate Responsibility Committee Chair: The Committee that monitors strategies covering food, sourcing, the environment, human rights, community engagement, philanthropy, and DEI is Paul Walsh. A man who sold alcohol (former CEO at Diageo) and is currently the Executive Chair at a company that sells expensive racing cars (McLaren Group).OpenAI files a trademark application for humanoid robots and VR headsets as Sam Altman teases big hardware ambitionsThe CEO: Sam Altman the guy who refused to be fired for his board while subverting the company's mandate and mission.The Chair: Bret Taylor, the guy who comes from Twitter/Facebook/Google and is clearly disinterested in what humanity actually needs.The board: for allowing a CEO who was previously fired partly for lying to the board to sit on the board as a director.The two women who nearly fired Sam Altman: former OpenAI directors Helen Toner and Tasha McCauleyTarget hit with national boycott call over decision to drop DEI initiativesThe CEO: Brian Cornell's CEO pay ratio of 719:1 proves he doesn't care about anybody but himself.The double DEI-hating director: Dmitri Stockton also on the board of Deere The lead independent director: woman of color Monica Lozano, former CEO of The College Futures Foundation, whose “commitment to diversity, equity, and inclusion is paramount to its vision for advancing a racially, socially, and economically just California where generations of learners can thrive.”The chair of the committee responsible for Human capital management, specifically “DE&I in support of our business”: Compensation & Human Capital Management Committee chair Monica LozanoCoca-Cola and Novartis's CEOs don't care if ‘ESG' has become a toxic phrase among someNovartis CEO Vasant (Vas) Narasimhan: whose ego is so strong and secure he doesn't even need to serve on the board responsible for his oversight.Coca-Cola CEO James Quincey: for having the strength to say it:“If ESG becomes toxic as a phrase, which it basically has in the U.S., it doesn't matter to me. I'm just going to stop saying ‘ESG.' But the idea that for my basic product, I want to be water positive, I want to have a circular economy on my packaging, and I want to grow our business with less sugar—you can call it anything you like, but no one with common sense says those are bad ideas.“My business strategy is constant and clear and centered around the business and the things that consumers care about and that fix societal problems. If people want to attach labels to it, that's their issue. I'm saying this business will be great if I fix these problems, and it will be good for shareholders and be good for society.”Coca-Cola's Lead Independent Director and Corporate Governance and Sustainability Committee chair Maria Elena Lagomasino: maybe some of the woke messaging of Disney movies altered her conscience?Female board power at Coke: 49% influenceMATT1Ryder's $2.5M Settlement Brings 4-Year Governance Overhaul: What's Changing for Shareholders - suit alleged Ryder's management team and board artificially inflated the values of certain Ryder assets and made materially misleading statements regarding those values - suit alleged breach of fiduciary duties, unjust enrichment, and waste of corporate assets. Board has to create a Corporate Risk Steering Committee, company must hire a Chief Compliance Officer, a Management-level “Disclosure Committee”, at least two Audit Committee members must be financial experts, they have to hire a third party to do market research, they have to have a “pricing” team to examine market prices, they have a clawback, and they have a non-retaliation policy.CEO Robert Sanchez - CEO since 2013, the Man in the ChairThe Audit Committee - a FIVE person audit committee, all of whom they disclosed in 2020 were “financial experts”, all but one of whom was a CEO at another company that made them a “financial expert” (the fifth was an accounting professor), one of whom was the lead independent director who had been there since 2002Dmitri Stockton! The director who now has the wonderful distinction of having sat on the Deere board the flipped on DEI, the Target board that flipped on DEI, Stanley Black and Decker who was sued for not disclosing executive perks, and the Ryder board who was sued for sucking at being a board - all while he was there!DEI! Dmitri Stockton is BLACK and Robert Sanchez SOUNDS MEXICAN!US Steel Flags Trump DEI Order as Risk Factor for InvestorsRacist old white guys and tech bros! The order was written, ostensibly, by Stephen Miller, Trump, and Musk, the three horseman of the brownpocolypse, and US Steel is now including Trump's DEI order as a material risk to the companyThe lawyers! The company said in its annual report last year that it aims “to have an engaged and diverse workforce to promote new ideas and innovation, reflect the communities where we operate, and deliver exceptional customer service.” This year, that same sentence omitted a reference to having a “diverse” workforce. That sounds like Duane D. Holloway, chief ethics and compliance officer and general counsel, right?DEI! Duane Holloway… is BLACK! Mr. Holloway serves on the board of directors of the Minority Corporate Counsel Association (MCCA), the Carnegie Hero Fund Commission, the Allegheny County Parks Foundation and Gilman School. He also serves as Executive Sponsor of U. S. Steel's SteelPARENTS Employee Resource Group. That all sounds exceedingly woke and DEIish.The board! US Steel managed to find 8 white males for their 12 person board, 3 white woman, and 1 black woman… so people of color have a whopping 6% influence on the board. It DOES feel risky to talk about them though, right?Walgreens stock plunges. Its dividend payout changes are to blameRoz Brewer! She was a DEI hire after all, right? Can't we pin this on her tenure as fake CEO?Steffano Pessina! The man with 61% of board influence, the man who fired Roz Brewer, the man who we'll find out today won re-election despite cratering the company as executive chair!DEI! Did you see this line in the announcement about the dividend cessation? “In fiscal 2024, WBA scored 100% on the Disability Equality Index for disability inclusion”. SO WOKE.

The CFPB 1071 regulation has sparked plenty of debate and concern among financial institutions. Since our last 107 1 episode in March, there have been some key developments, including the Supreme Court's decision to uphold the CFPB's funding structure and the new administration's 60-day pause on the rule. We'll discuss how community financial institutions are responding—whether with resignation, adaptation, or continued hesitancy—and the practical steps they're taking to comply.Up next is an overview of CFPB 1033, the open banking rule, and what it means for community banks as they face new requirements for consumer data access and sharing. Learn how financial institutions can prepare, the role of technology in compliance, and how community banks can maintain their high-touch customer relationships while adapting to these changes. We'll also touch on what deregulation could mean for small business lending in 2025 and how banks can position themselves for growth.Our guest is Paula King, CPA, Principal Consultant for Abrigo Advisory Services. King assists financial institutions with CECL, credit processes, model validations, and more. A former banker and bank co-founder, she has held executive positions (CFO, Chief Risk Officer, and Chief Compliance Officer) and has more than 25 years of experience across all aspects of banking, including financial and asset/liability management, credit, services and product development, and director responsibilities.Helpful links:Webinar: Understanding the impact of CFPB 1071 on small business lendingBlog: The CFPB section 1071 effective dateSoftware: Small Business Loan Origination Software

Tim Callan, Co-Chair at CA/Browser Forum and Chief Compliance Officer at Sectigo, discusses the current state of digital certificate lifespans and explains the support for reducing them.

Please enjoy this encore of the Managing Director at Cerberus Sentinel, Chief Compliance Officer and the President of TalaTek, Baan Alsinawi as she shares her cybersecurity journey from a teenager who wanted to understand computers and held several positions in IT from help desk to systems engineering and cybersecurity. Founding her own business focusing on compliance, Baan says she spends maybe only 20% of her day on technical tasks and that there is always so more to do. Finding the right people for her team is a marker of success for Baan. She talks of the importance of sharing the sense of community of women in technology and nurturing women in the field. We thank Baan for sharing her story with us. Learn more about your ad choices. Visit megaphone.fm/adchoices

Please enjoy this encore with the Managing Director at Cerberus Sentinel, Chief Compliance Officer and the President of TalaTek, Baan Alsinawi as she shares her cybersecurity journey from a teenager who wanted to understand computers and held several positions in IT from help desk to systems engineering and cybersecurity. Founding her own business focusing on compliance, Baan says she spends maybe only 20% of her day on technical tasks and that there is always so more to do. Finding the right people for her team is a marker of success for Baan. She talks of the importance of sharing the sense of community of women in technology and nurturing women in the field. We thank Baan for sharing her story with us. Learn more about your ad choices. Visit megaphone.fm/adchoices

On today's episode, a look at reported merger talks between mining giants Rio Tinto and Glencore with Bloomberg's Paul Allen in Sydney. Plus - a look at the regulatory landscape for crypto in both Asia and the United States, ahead of Donald Trump's inauguration next week. We speak with Katherine Dowling, Chief Compliance Officer at Bitwise Asset Management.See omnystudio.com/listener for privacy information.

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Are you looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this Compliance into the Weeds episode, Tom Fox and Matt Kelly delve into JP Morgan Chase's treatment of employees who commented on the bank's Return to the Office policy. JP Morgan's recent decision to require employees to be back in the office five days a week caused the bank to disable employee comments on the internal announcement, citing backlash. Tom and Matt explore the implications this has on workplace respect, speak-up culture, and employee morale, juxtaposed with the compliance officer's role in measuring and maintaining corporate culture. They also detail how these corporate policies might reflect broader trust issues and potential fallout from a discontented workforce. Additionally, the episode revisits Meta's (formerly Facebook) recent rollback on DEI initiatives and its promotion of a more ‘freewheeling' speech environment, considering the ethical and compliance ramifications of such a culture shift. The hosts compare these actions to other reported corporate behaviors that may undermine workplace respect and discuss the fragile balance a Chief Compliance Officer must maintain in fostering a fair and open workplace compliant with evolving societal norms and internal policies. Key highlights: JP Morgan's Return to Office Policy Employee Reactions and Speak Up Culture Ethics and Compliance Implications Workplace Respect and Culture Meta's Policy Changes and Corporate Culture Resources: Matt in Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of Beyond the Code, Yitzy sits down with Noah Perlman, Chief Compliance Officer at Binance, to explore the intricate balance of power, responsibility, and innovation at the world's largest crypto exchange. Noah reflects on his journey from a federal prosecutor and DEA counsel to leading the compliance efforts of the one of the most important institutions in crypto. The conversation delves into Binance's proactive approach to compliance, the challenges of maintaining trust across 21 global jurisdictions, and the firm's investment in cutting-edge technologies, including AI, to combat financial crime. Noah also opens up about the emotional toll of last year's ordeal involving his colleague, Tigran Gambaryan, and how it galvanized the team's resolve. With insights into the future of regulation under a shifting political climate, this episode offers a thought-provoking look at how Binance is setting new standards in crypto governance.

Join Ana Carolina Carlos de Oliveira, Chief Compliance Officer at Venga, as she discusses how startups can lead with compliance, navigate MiCA regulations, and build trust in the crypto ecosystem.

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Are you looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode, Tom Fox and Matt Kelly dive into the intricate and unusual story of the National Rifle Association (NRA) and its recent corporate governance overhaul. Matt and Tom explore Judge Joel Cohen's final ruling, which mandates extensive corporate governance reforms for the NRA. These reforms address significant issues, such as a structurally weak board, poor financial controls, and an overpowering CEO in Wayne LaPierre, who misused the organization's resources. Necessary measures discussed include revamping the board's audit committee and introducing annual compliance reports, along with significant protections for the role of the Chief Compliance Officer. The episode highlights the universal principles of good governance, asserting that the NRA's reforms can serve as a valuable lesson for other organizations. Regardless of the political or ethical stance on the NRA's activities, the implemented governance structures underscore the necessity of transparency, an empowered compliance function, and robust oversight mechanisms to prevent misuse of organizational resources. These insights are illustrated through sample agreements and templates in the court ruling, which can guide other organizations in strengthening their governance and compliance programs. Key highlights: Corporate Governance Reforms Ordered by the Court Specifics of the Court-Ordered Reforms Audit Committee and Board Reforms Compliance and Governance Templates Universal Principles of Good Governance Resources Matt in Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode Ari sits down with René Michau, Global Head of Digital Assets at Standard Chartered Bank and Esme Hodson, Chief Compliance Office at, SC Ventures to discuss how the bank is building the bridge from TradFi to DeFi through partnerships, innovation in blockchain technology, compliance, and investment in cryptocurrency infrastructure. As the traditional financial system becomes more decentralized, Standard Chartered is working to shape the future of finance. Today's Guest René Michau, Global Head, Digital Assets, Standard Chartered Esme Hodson, Chief Compliance Officer, SC Ventures Host: Ari Redbord, Global Head of Policy, TRM Labs

In this episode, John and Thomas sit down with Matt Lovett, Chief Compliance Officer at Brookstone Capital Management, to explore the crucial role compliance plays in financial advising. With over 30 years of experience, Matt shares how fiduciary advisors prioritize transparency, rigorous product evaluation, and regulatory adherence to protect clients' interests. Get a behind-the-scenes look at the processes that keep your investments secure and aligned with your financial goals!   Important Info: Securus Financial: https://www.gosecurus.com/ International Financial Advisory Group: https://www.internationalfinancial.com/ Call John: (858) 758-9889 Call Thomas: (973) 394-0623

In this episode of Where Public Finance Works, we sit down with Dan Wiles, Assistant Treasurer for Los Angeles County and newly appointed MSRB Board Member, as he reflects on his nearly 40-year career in public finance and prepares for retirement. Join host Tyler Traudt and guest co-host Nina Enholm as they explore Dan's remarkable journey—from growing up in a small town in Minnesota to becoming a leader in municipal finance for one of the largest counties in the U.S. Dan shares his path from law school to public finance, recounting career-defining moments, including his pivotal role in the landmark 2013 financing of the Riverside County SR-91 Corridor Improvement Project. Dan takes us through the intricacies of structuring multi-layered deals involving sales tax, toll revenue bonds, and federal TIFIA loans while navigating challenges like volatile markets and rigorous rating requirements. In this episode, you'll gain insight into the teamwork, innovation, and strategic decision-making that shaped the success of this $1.4 billion transportation project, which continues to benefit Southern California commuters today. As Dan prepares to leave LA County, he reflects on his legacy and new role on the MSRB, offering valuable lessons in leadership, collaboration, and the lasting impact of public finance. Featured Guest Daniel Wiles is the Assistant Treasurer and Tax Collector for Los Angeles County, overseeing the Finance Branch of the Treasurer and Tax Collector's Office (TTC). His responsibilities encompass Public Finance, Cash Investments, and Defined Contribution Plan Investments, where he brings nearly 40 years of extensive experience in public finance and investment management. Since his appointment to this role in 2019, Dan has played a pivotal part in managing the financial strategies and operations for one of the largest counties in the United States. Before joining the TTC, Dan served as Principal and Chief Compliance Officer at Fieldman, Rolapp & Associates, Inc., a leading municipal advisory firm, where he spent 17 years providing strategic guidance and compliance oversight. His career also includes roles as a financial and investment advisor, as well as bond and underwriters counsel, giving him a well-rounded expertise in public finance. Dan earned his Bachelor of Science in Economics, magna cum laude, and Juris Doctor, magna cum laude, from the University of Minnesota, where he also served as an editor for the Minnesota Law Review. He holds MSRB licenses as a Municipal Advisor Representative (Series 50), Municipal Advisor Principal (Series 54), and Registered Investment Advisor (Series 65). Episode Resources How to Negotiate Your Earnings Credit Rate Common Cash Flow Issues for Government and Nonprofit Finance Teams Solving the Challenges of Decentralized Data in Treasury and Accounting    

Judy Bornstein, Boomer, joins me to discuss conflict – whoa! Judy is the Founder of C Suite Resolutions, where she provides mediation, ombuds services, conflict and negotiation coaching, and corporate trainings to organizations and executives. She has worked extensively as a CFO and Chief Compliance Officer, and brings her business experience to her work in addressing conflict. Topics Covered: Conflict definition Disagreement vs conflict Gossip Consequences of pushing down conflict Costs involved in unresolved conflicts How organizations set themselves up to handle conflicts Ombuds (trained independent designated neutral to build trust) Working in conflict and understanding our reactions Mediations Three Episode Takeaways   1.   If we only think of conflict as a fight we can lose that it can be a really powerful engine for creativity, change, and self-reflection. 2.   Responses to conflict can fall along gender lines. Many women are raised to “be nice” and “be good”, and told “don't make a scene”. Women may be uncomfortable acknowledging a conflict so will be quiet or not address it directly, and there is less latitude for women to express conflict than is often afforded to men 3.   Humans are naturally (evolutionarily) wired to not like conflict, so that means our managers, bosses, and leaders probably don't like conflict. As a result conflict may pushed down or silenced, which can lead to unintentional consequences like blaming the people involved rather than learning from the situation. Conflict is an inherent part of growth and innovation in organizations.   Great Quotes: Hope is not a strategy. We may have conflict because we are wise enough to see the complexity in our world. If you have conflict in your life it doesn't mean there's something wrong with you.  Conflict can be perplexing.   Episode Resources:   Baruch Bush: https://www.beyondintractability.org/bksum/bush-promise   More About Judy:   Judy is a doctoral candidate at Penn State University where her research interests center around organizational conflict. She holds a Masters in Dispute Resolution from Pepperdine University's Caruso School of Law, and an MBA from Simmons University in Boston, where she graduated first in her class. Judy is a Mediation trainer and serves on the San Francisco Bar Association Mediation Panel and on the Arbitration Panel for FINRA (the Financial Industry Regulatory Authority). She is a regular mediator for the Congress of Neutrals where she mediates court cases in Contra Costa County, CA. Judy also co-facilitates a Transformative Mediation group inside San Quentin State Prison, where she offers mediation and conflict-resolution training to incarcerated men interested in non-violent conflict resolution.     How to reach Judy:   LinkedIn: https://www.linkedin.com/in/judybornstein/ Email: jb@csuiteresolutions.com Website: www.csuiteresolutions.com   How to reach Yo Canny:    Our website: www.girltaketheleadpod.com  You can send a message or voicemail there. We'd love to hear from you!   email: yo@yocanny.com   FB group: Girl, Take the Lead https://www.facebook.com/groups/272025931481748/?ref=share   IG: yocanny   YouTube   LinkedIn: https://www.linkedin.com/in/yocanny/

The Four Gardens Podcast returns after a long hiatus with an interview of Johann Klaassen, the CEO and CIO of Horizons Sustainable Financial Services. I am thrilled to be working at Horizons as an investment advisor representative. One reason I enjoy my work so much is that I get to collaborate with Johann and learn from him every day. In our conversation, Johann explains what we mean by Socially Responsible Impact (SRI) investing, how we practice it at Horizons, and common misconceptions about this approach to investing. We discuss the ongoing intergenerational wealth transfer occurring. Johann shares about his background and how his study of philosophy shapes his approach to investing and working with clients. Links: https://horizonssfs.com/expanding-horizons-jake-ifshin/ KLD 400: https://www.msci.com/documents/10199/255599/msci-kld-400-social-index.pdf The Deep Impact Investing Podcast: https://horizonssfs.com/our-podcast/ Johann's Bio Johann A. Klaassen, PhD, is CEO and Chief Investment Officer for Horizons Sustainable Financial Services, where he develops asset allocation strategies and oversees investment policy for Horizons' individual and institutional clients. As a passionate advocate for SRI, a skilled navigator of its intricacies, and an enthusiastic early adopter of just about every new communication tool and technology, Johann is informed, informative, and far more accessible than his many commitments might imply. He directly serves clients across the nation, tending to specialize in serving unusual and special circumstances or needs. Johann is a CERTIFIED FINANCIAL PLANNER® professional. He was among the first in the nation to embrace the now-standard certification of Accredited Investment Fiduciary™ and holds the 70th such accreditation ever issued. He holds a B.A. from St. John's College, Annapolis/Santa Fe, and Masters and PhD degrees from the Philosophy Department of Washington University, St. Louis, where he specialized in Ethics and Social Philosophy. He served on the faculties of Washington University, Webster University, Millikin University, the University of Colorado at Colorado Springs, the University of Central Arkansas, and the University of Idaho. He has published and lectured on many topics, including areas of environmental ethics, business ethics, and social bias in finance. The content of this podcast is for informational and educational purposes only, and is not intended to be a substitute for personalized professional investing advice. Only you and your financial advisor can determine what the right investments are for you. Jake Ifshin is an Investment Advisor Representative of Horizons Sustainable Financial Services, Inc., an SEC-registered investment advisor. The information covered and posted represents the views and opinions of the host and or guest and does not necessarily represent the views and opinions of Horizons. Horizons Sustainable Financial Service's financial professionals do not render tax, accounting, or legal advice. Full disclosures are available at the Disclosures and Disclaimers link located at the bottom of the Horizons website at https://horizonssfs.com. Full disclosures are available at: https://horizonssfs.com/about-horizons/disclosures-and-disclaimers/ Correction:  I mistakenly referred to Aaron Garza as the current Chief Compliance Officer.  Although there are plans to make that official in 2025, on the date of the posting he did not hold that title.  Because that's what he does, it was in fact Mr. Garza who made sure I corrected this to make sure everything was in compliance with applicable rules and regulations.

How can the renewable energy sector learn from the corruption risks that have plagued the extractive industries for decades to ensure a just energy transition? Mark Robinson, Executive Director of the Extractive Industries Transparency Initiative (EITI), and Maja de Vibe, the Senior Vice President and Chief Compliance Officer at Statkraft discuss their new working paper ‘Good governance and the just transition: Implications for renewable energy companies', published by the Basel Institute. Mark and Maja discuss the critical corruption and governance risks facing the renewables sector; the commonalities and differences in risk between this sector and extractives corruption; and what role collective action and multi-stakeholder engagement could play in the governance of the sector in the future. You can find their paper here: https://baselgovernance.org/publications/wp-53

Patrice Bonfiglio is a Leader in the Investment sector.  On this episode, she discusses childhood resilience, boundless curiosity, territorial-ism, building on enthusiasm, opening the doors for others, and the value of small acts of service.Patrice Bonfiglio is the President of Sarissa Capital Management LP, a registered investment adviser focused on shareholder activism in healthcare. Prior to being president, she served in various roles at Sarissa Capital, including Chief Operating Officer, Chief Financial Officer and Chief Compliance Officer. She currently serves as a director of Amarin Corporation PLC, a pharmaceutical company focused on cardiovascular health. Additionally, Patrice is the host of the podcast, The Burnout Club. https://www.linkedin.com/in/patrice-bonfiglio/The Burnout Club - Debut Episodehttps://podcasts.apple.com/us/podcast/the-burnout-club/id1766321054?i=1000668192561To learn more, visit:linkedin.com/in/jason-Shupp-18b4619bListen to more episodes on Mission Matters:https://missionmatters.com/author/Jason-Shupp/

Allison Brecher, General Counsel and Chief Compliance Officer of growing fintech startup and digital retirement platform Vestwell, shares her journey from journalism to the law, and from law practice to in-house. She provides insights into how to be a general counsel who is proactive and integrated into the business, and the opportunity to build a department and company culture from the ground up at Vestwell.

David E. Kopans, Partner, DLA Piper LLP (US), and Larry Pliskin, Senior Vice President, General Counsel & Chief Compliance Officer, Home Care Delivered, Inc., discuss current trends and developments surrounding the delivery of health insurance coverage in the United States. They cover artificial intelligence in health insurance, marketing health insurance over the internet, alternative pharmacy benefit manager models, and Medicare Advantage supplemental benefits. David and Larry spoke about this topic at AHLA's 2024 Health Plan Law and Compliance Institute in Chicago, IL.To learn more about AHLA and the educational resources available to the health law community, visit americanhealthlaw.org.

Jon Moore, Head of Consulting Services and Client Success and Chief Risk Officer, Clearwater, speaks with Leah Voigt, Chief Compliance Officer, Corewell Health, and Dr. Mark Sendak, Population Health and Data Science Lead, Duke Institute for Health Innovation, about the policies, procedures, and structures that guide the application of artificial intelligence (AI) in health care. They discuss developing ethical principles and decision-making processes to guide AI use cases, fostering effective collaboration and dialogue about the use of AI, transparency and consent, federal agency and state law developments, ensuring representative data in creating AI, and opportunities and risks. Leah and Mark spoke about this topic at AHLA's 2024 Complexities of AI in Health Care in Chicago, IL. Sponsored by Clearwater.To learn more about AHLA and the educational resources available to the health law community, visit americanhealthlaw.org.

By Adam Turteltaub It's not for nothing that there's a year in the title of this blog post and podcast. Social media risks change frequently, explains Kortney Nordrum, VP, Regulatory Counsel & Chief Compliance Officer at Deluxe. She is the author of the chapter “Social Media Compliance” in The Complete Compliance and Ethics Manual and will be leading the session Social Media:  Old News and New Risks at the 23rd Annual Compliance & Ethics Institute. These days the range of those risks is substantial. TikTok poses a notable challenge, since it accesses most everything on the user's phone, which means work email and files may be exposed. At the same time the FTC and NLRB have been very aggressive in their enforcement. The FTC has been scrutinizing endorsements – and a “like” may count as one – by employees of their employer's products and services. Meantime, the NLRB has made it clear that it believes employees have wide, although not complete, latitude about what they say about their workplace online. And, if that wasn't enough, the marketing and social media teams need to be trained (and monitored) for what they are saying and doing in the company's name. What should you do? She recommends training with concrete examples, teaching people some common sense, and keeping lines of communication open. To learn more, listen in and then don't miss her session at the 23rd Annual Compliance & Ethics Institute.

Sean sat down with Dana McMahon, Chief Compliance Officer for Stryker to discuss all the great things she and her team are doing to ensure a culture of compliance and to lead Stryker into the future. Beyond that Dana is the Global President for Stryker Women's Network (see bio below)! This is one great discussion you do not want to miss! Bio Dana serves as Chief Compliance Officer for Stryker and is responsible for overseeing the global compliance, privacy, and enterprise risk programs and functions. Under her leadership, the Compliance function has been focused on driving value for Stryker by partnering across the businesses to enable growth and manage risk. Dana also currently serves as the global president for Stryker Women's Network, which seeks to improve Stryker's results by fostering an open and inclusive culture, with a focus on attracting, developing, and retaining talented women. Dana has more than 20 years of experience in the life sciences industry. She joined Stryker in 2017 as Chief Legal Counsel, leading a global legal team advising on regulatory and quality, manufacturing and supply, technology and cybersecurity, commercial and government contracting, and privacy. Prior to Stryker, she served as Assistant General Counsel at Novo Nordisk, where during her 14-year career she held several positions of escalating responsibility within the legal team, overseeing support to the commercial, clinical, medical affairs, R&D, compliance, and government affairs organizations. Dana has worked extensively on matters related to product development and commercialization, market access and reimbursement, and compliance and risk management. Previously, Dana worked in private practice at O'Melveny in New York City. Dana received her law degree from New York University School of Law and her bachelor's degree from Hamilton College.

Amii Barnard-Bahn is the Founder and CEO of Barnard-Bahn Coaching & Consulting, and a partner at Kaplan & Walker LLP. An attorney, former Fortune 5 Chief Compliance Officer, CAO, and CHRO, she previously held executive positions that shaped company culture and established strategic initiatives. Thinkers360 has ranked her the #1 Global Thought Leader on Careers and also #1 on Legal. She is the creator of the Promotability Index® career self-assessment and best-selling companion Guidebook. To identify your promotability gap, take Amii's free assessment: https://lrc.barnardbahn.com/promotability-index/ Connect with Amii Barnard-Bahn:Website: www.barnardbahn.com LinkedIn: https://www.linkedin.com/in/amiibarnardbahn/ Instagram: @barnardbahn TurnKey Podcast Productions Important Links:Guest to Gold Video Series: www.TurnkeyPodcast.com/gold The Ultimate Podcast Launch Formula- www.TurnkeyPodcast.com/UPLFplusFREE workshop on how to "Be A Great Guest."Free E-Book 5 Ways to Make Money Podcasting at www.Turnkeypodcast.com/gift Ready to earn 6-figures with your podcast? See if you've got what it takes at TurnkeyPodcast.com/quizSales Training for Podcasters: https://podcasts.apple.com/us/podcast/sales-training-for-podcasters/id1540644376Nice Guys on Business: http://www.niceguysonbusiness.com/subscribe/The Turnkey Podcast: https://podcasts.apple.com/us/podcast/turnkey-podcast/id1485077152 Partner Links -- We use these apps and get amazing results and huge time savings too!Design tool: Canva Pro: Create Stunning Design in Minutes!Check out Headliner to create social media posts with video easily- make.headliner.appSimplecast is the easiest way to set up your podcast hosting- Simplecast.comZoom is the easiest way to schedule meetings and record your podcast interviews. Zoom.usAcuity is the easiest way to schedule your podcast interviews, meetings, and life.Acuityscheduling.com

Closing a multimillion-dollar deal is an achievement that requires a deep understanding of your own value and the ability to effectively communicate it to others.  In today's fast-paced business environment, it's more important than ever to have a strong sense of your own worth and the unique value you bring to the table. On this Flashback Friday episode of the Share The Wealth Show, we are pleased to welcome back Clive Davis, as he continues to share the strategies he used and his experience in successfully closing multi-million dollar deals with the right mindset. After graduating from Columbia Law School, Clive worked for four years as a corporate transactional lawyer in Banking, Real Estate, M&A and Securities with a global Wall Street law firm, headquartered in NY, NY, with assignments in Menlo Park, CA and Hong Kong, China. Six years In-house counsel experience with a global pharmaceutical company, headquartered in New York. Nine years in Atlanta as a Chief Compliance Officer of a Belgian biopharmaceutical company. Clive holds a Juris Doctorate from the Columbia University School of Law and is admitted to practice in New Jersey, New York, and before the Court of International Trade. He holds a M.A. from SUNY at Albany and a B.A., with high honors, Rutgers University. Throughout the entirety of this twenty-year career, he remained actively invested in real estate with a small portfolio of holdings. Clive decided 2017 was the time and walked away from corporate life in pursuit of his interests and passion as a full-time real estate investment entrepreneur. Since founding Park Royal Capital in 2017 Clive Davis has personally invested in more than 2,500 multifamily rental units, as well as a portfolio of hotels based in Atlanta where he has resided since 2005. Most recently Park Royal Capital acquired two Atlanta multifamily properties totaling 444 units with a combined value of over $70M. So whether you're a seasoned negotiator or just starting out in your career, this episode is packed with valuable insights and strategies to help you close bigger deals with mindset and find your value in the process. So sit back, relax, and enjoy the show! ________________________________ Interested in investing in small multifamily? Learn more about The Microfamily Mavericks mentorship program here: https://noirvestholdings.kartra.com/page/microfamilymavericks Check out our podcast website! Thesharethewealthshow.com Want to leave feedback or suggestions on our show? Take our survey: https://s.surveyplanet.com/c1xu5qdv ________________________________ Quote: “Mindset is so key in this business and not just in real estate, but definitely it's needed.  You have to have the right mindset. You got to figure out what advantages you bring to the table.” - Clive Davis “You've got to know who you are and the value that you bring.” - Clive Davis “Wealth means the freedom to do the things that you deem to be important.” - Clive Davis Connect with Clive! Website - www.parkroyalcapital.com  Linkedin - https://www.linkedin.com/in/clivedavisesq/  ___________________________________________ Let's get connected!  You can find Nicole on  LinkedIn https://www.linkedin.com/in/nicole-pendergrass/ Instagram https://www.instagram.com/nvestornikki/?hl=en Facebook https://www.facebook.com/nvestornikki or Visit her website https://noirvestholdings.com  LEAVE A REVIEW & SHARE THE WEALTH by SHARING this EPISODE with someone who wants to learn the secret strategies of the wealthy and build an abundant life. You can listen to previous episodes of Share the Wealth Show here. https://podcasts.apple.com/us/podcast/share-the-wealth-show/id1622218163 

LifeBlood: We talked about medication therapy management, what that is and the impact it can have, how technology is impacting pharmacies in positive ways, and the opportunity that exists to better serve patients, with Anna Hall, Clinical Pharmacist and Chief Compliance Officer with Outcomes Operating Inc.        Listen to learn why better patient outcomes are closer than we realize! You can learn more about Anna at Outcomes.com, X, Facebook and LinkedIn. Thanks, as always for listening! If you got some value and enjoyed the show, please leave us a review here: ​​https://ratethispodcast.com/lifebloodpodcast You can learn more about us at LifeBlood.Live, Twitter, LinkedIn, Instagram, YouTube and Facebook or you'd like to be a guest on the show, contact us at contact@LifeBlood.Live.  Stay up to date by getting our monthly updates. Want to say “Thanks!” You can buy us a cup of coffee. https://www.buymeacoffee.com/lifeblood