Podcasts about chief compliance officers

In this episode of The Ethics Experts, Nick welcomes Norm Ashkenas.Norm Ashkenas is Chief Compliance Officer of Robinhood Markets, joining in 2020. He has been in the financial services industry for 30 years in a variety of legal and compliance roles, including as Chief Compliance Officer for large retail brokerage and investment advisory firms. Norm is a leader, committee member and frequent speaker for a number of industry and regulatory groups including SIFMA, FINRA, NSCP, FSDA and FMA. He holds a B.A. in European History & American Culture from Northwestern University, a J.D. from Fordham Law School, and FINRA Series 7, 14, 24, and 63 licenses.

In this episode recorded live at the McGuireWoods Healthcare Growth & Operations conference, Meggan Bushee, General Counsel and Chief Compliance Officer at Crossroads Treatment Centers, shares insights on tackling substance use disorder, evolving reimbursement models, mobile healthcare innovations, and the importance of passion in building a meaningful career.

In this episode recorded live at the McGuireWoods Healthcare Growth & Operations conference, Meggan Bushee, General Counsel and Chief Compliance Officer at Crossroads Treatment Centers, shares insights on tackling substance use disorder, evolving reimbursement models, mobile healthcare innovations, and the importance of passion in building a meaningful career.

In this episode recorded live at the McGuireWoods Healthcare Growth & Operations conference, Meggan Bushee, General Counsel and Chief Compliance Officer at Crossroads Treatment Centers, shares insights on tackling substance use disorder, evolving reimbursement models, mobile healthcare innovations, and the importance of passion in building a meaningful career.

Leadership isn't about being the smartest person in the room—it's about creating spaces where everyone can grow, contribute, and thrive.This week on Living The Sweet Life, I sat down with Shari Riley, Chief Compliance Officer for Centene/WellCare, to talk about what authentic leadership really looks like. Shari opened up about her journey to the C-suite, the lessons she's learned about resilience, and why humility and curiosity are non-negotiables for anyone who wants to lead well.

How have domestic Islamic financial institutions performed, and what is a realistic assessment of asset quality, funding and liquidity conditions in the banking market? How is digital transformation advancing the development of new Islamic banking and Takaful products in Oman, and can technology be better applied to improving user experience? How can Islamic financial products incorporate important sustainability characteristics and recognise climate risk?Moderator:Aisha Al Kharusi, Deputy Executive Chair, Modern College of Business and SciencePanelists:Ahmed Ibrahim Lamei, Senior Manager, ITS Dr Eskandar Shah, CEO, ISRA International Consulting Firas Al Lawati, Deputy CTO for Digital Transformation, Central Bank of Oman Mohammed Al Hashmi, Chief Compliance Officer, Bank Nizwa Rafiza Ghazali, CEO, KAF Digital Bank

James "Jim" Downing is a seasoned compliance professional with over 25 years of experience in the broker-dealer and investment advisory industry. Currently serving as the Chief Compliance Officer of JLL Securities, Jim has held similar roles at esteemed organizations such as Morningstar, Aon, BMO, and JP Morgan. Prior to his corporate positions, Jim worked as a FINRA examiner at the Chicago District Office for 5 years, gaining valuable insights into regulatory compliance. Jim has his Juris Doctorate with honors from Taft Law School and a Masters of Accounting with honors from Roosevelt University.Connect with James: https://www.linkedin.com/in/jamesrdowning/

We are proud to announce the

On BDO's latest Private Equity PErspectives podcast episode, Host Todd Kinney is once again joined by Jason Frank, President and Chief Compliance Officer at BDO Capital Advisors, and Jamie Austin, Global Private Equity Leader and Partner at BDO UK. Together, they explore the findings from BDO's 2025 PE Survey, including:Who PE firms currently view as the top competition for dealmakingEffective value creation strategies amid ongoing extended holding periodsThe top factors PE predict could accelerate M&A activity in 2025Investment banking products and services within the United States are offered exclusively through BDO Capital Advisors, LLC, a separate legal entity and affiliated company of BDO USA, P.C., a Virginia professional corporation. For more information, visit www.bdocap.com. Certain services may not be available to attest clients under the rules and regulations of public accounting. BDO Capital Advisors, LLC Member FINRA/SIPC.

✨ New Episode Alert! ✨ On this special episode of #GWIC, guest host Ellen Hunt talks with the incredible Teri Cotton Santos, Chief Compliance Officer at Phillips 66. Teri shares her inspiring journey—from serving as General Counsel in Asia at Eli Lilly to leading compliance at HF Sinclair, and now shaping the culture of ethics and compliance at Phillips 66.

¿Alguna vez te has preguntado qué se necesita para que tú y tu empresa eviten un escándalo… o sobrevivan a uno? Después de que Vector, Intercam y CI Banco fueron señalados por lavado de dinero y el CEO y la jefa de Recursos Humanos de Astronomer fueron captados por la kiss cam en un concierto de Coldplay, tenía que hablarse de compliance. Mónica Alfaro, editora de Broadcasting, Gonzalo Soto, director editorial, y Bernardo Álvarez, Chief Compliance Officer en Expansión, te dicen cuáles son las políticas y los procesos que salvan a las empresas de este tipo de problemas, sin importar si son corporativos gigantes o pequeños negocios.  Escucha un episodio nuevo cada lunes en todas las plataformas.

The healthcare landscape is transforming before our eyes, shifting away from hospital-centered care toward home-based models. This fundamental change raises urgent questions about Medicare's outdated reimbursement systems, particularly for hospice providers facing the reality of a mere 2.6% rate increase while battling significant inflation.Join us in this illuminating conversation and in-depth discussion with industry experts Annette Kiser, Chief Compliance Officer with Teleios, and Judi Lund Person, Principal, Lund Person & Associates LLC, as they sit down with Chris and explore the complexities of the final 2026 Hospice Wage Index and its impact on hospice organizations.  Discover the challenges and opportunities within the current regulatory framework and gain valuable insights into strategic actions for the future.  So join us, this is a great listen for staff, leaders, and Boards of hospice and palliative care organizations.  This is timely and relevant.  GuestAnnette KiserChief Compliance Officer with TELEIOSJudi Lund PersonPrincipal, Lund Person & Associates LLC HostChris ComeauxPresident / CEO of TELEIOSTeleios Collaborative Network / https://www.teleioscn.org/tcntalkspodcast

On BDO's latest Private Equity Perspectives podcast episode, host Todd Kinney is joined by Jason Frank, President and Chief Compliance Officer at BDO Capital Advisors, and Jamie Austin, Global Private Equity Leader and Partner at BDO UK. Together, they unpacked the findings in BDO's new 2025 Private Equity Survey, including:How post-Liberation Day market volatility has influenced dealmaking and the top factors impacting transactions.Why platform acquisitions have emerged as the leading capital deployment strategy as firms navigate uncertain times.What makes first-time investments particularly attractive in today's climate, especially for founder- and family-owned businesses.Investment banking products and services within the United States are offered exclusively through BDO Capital Advisors, LLC, a separate legal entity and affiliated company of BDO USA, P.C., a Virginia professional corporation. For more information, visit www.bdocap.com. Certain services may not be available to attest clients under the rules and regulations of public accounting. BDO Capital Advisors, LLC Member FINRA/SIPC.Turnaround and restructuring services as well as operational value creation services within the United States are offered through BDO Consulting Group, LLC, a separate legal entity and affiliated company of BDO USA, P.C., a Virginia professional corporation. Certain turnaround and restructuring services may not be available to attest clients of BDO USA under the rules and regulations of public accounting.

By Adam Turteltaub It's time to think bigger when it comes to helpline data.  Yes, it's still important to look at traditional metrics such as the number of calls and the substantiation rate.  But, there is so much more that can be done. Justin Ross, Vice President, Chief Compliance Officer at Sysco and Carrie Penman, Chief Risk and Compliance Officer at NAVEX will be addressing what you can do with your helpline data during their 2025 SCCE Compliance & Ethics Institute session “Numbers That Matter:  Moving Beyond Hotline Data to Identify and Build an Ethical Workplace.” For one, they encourage compliance officers to think about whom they are sharing the data with.  What the board, management and others will want to see is likely to be different. As a result, it's important to tailor your reporting accordingly. Second, they argue in this podcast that it's important to not just look at the data reactively.  Instead, think proactively and use it as a way to identify where there are issues to be addressed, either now or potentially in the future. The data can also provide a window into the culture of the organization as a whole, as well as the differences by region or even office.  This approach can help you better understand your risks and where you need to address potential problems. Some of the data they suggest using is: Outcomes of allegations: are they leading to discipline and is it consistent Retaliation issues Substantiation rates Patterns of employee vs. non-employee reports Number of days between allegation and conclusion of investigation Number of days between incident and helpline call Be sure, too, to look at the helpline data in concert with other data your organization has such as employee turnover, exit interviews, culture surveys, audit results and more. In sum, to get the most out of your helpline data, think about all the data that you have, what it can tell about the past and present, how it can guide the future and what's the best way to share it with each of your audiences. Listen in to learn more, and plan on joining them for the 2025 SCCE Compliance & Ethics Institute.

Lisa Fine speaks with Cricket Snyder, the first Chief Compliance Officer for the Jefferson County Commission in Birmingham, Alabama, a role that was mandated by a US Federal District Court decree. Cricket shares her experiences in shifting the compliance culture in Jefferson County from one where she was initially viewed as an extension of the monitoring to one where she overcame employee skepticism and built trust, connecting with people throughout the county. Cricket also emphasizes the importance of vulnerability, particularly in a new, challenging role. She also reminds us of the power of being open about what you don't know and how doing so helped foster a more transparent and collaborative environment. She also received support from the broader compliance community. Lisa and Cricket also discuss strategies to increase engagement. Cricket introduced “Compliance Week” to Jefferson County, transforming compliance education into engaging, themed events. These have increased trust in the function among all county employees, leading to a positive culture shift.

By Adam Turteltaub As important as gaining access to the board is, using that time properly is even more crucial. Becky Rohr, Chief Compliance Officer and head of Investigations at Ericsson, will be sharing her insights and advice on this topic in her session “Board Reporting, Not Bored Reporting: Presenting to Boards and Other Senior Stakeholders by Using Data and Storytelling” at the 2025 SCCE Annual Compliance & Ethics Institute in Nashville. In this podcast and preview of her session, she advises that, even before entering the boardroom it's important to take the time to know your audience. Talking to the board, a board committee or senior executives is different since each has its own priorities. Be sure that what you say and show them speaks directly to their role. Remember, too, that the board is focused on the organization as a whole. She cautions that the board will feel obligated to read anything you send it. So, be sure to avoid overwhelming them and to focus on the larger issues that could materially affect the organization. When presenting data, don't just give them the raw numbers. Prepare a concise analysis that tells them what those numbers mean and what the key takeaways are. She found that a slide showing opportunities, challenges, highlights and lowlights in a simple quadrant graphic can be particularly useful. Dashboards, too, can be valuable, so long as every light on it isn't green. That's bound to raise suspicions. Take the time, too, to anticipate what questions they are likely to ask. She warns that boards tend to want to know how the organization stacks up against its industry peers. So, be sure to take the time to benchmark. Be sure to also take the time to listen to the podcast and join us in Nashville, September 14-17, at the SCCE Annual Compliance & Ethics Institute. Listen now The Compliance Perspectives Podcast is sponsored by Athennian, a leading provider of entity management and governance software. Get started at www.athennian.com.

What is the price of doing the right thing? Is it a promotion? Your career? The fate of an entire town? Today, we bring you a story that lives at the intersection of profit and principle. It's called “The Ethics Audit.” Meet Ethan Vance. A former EPA investigator, he's just landed his dream job: Chief Compliance Officer at Precision Parts, a respected manufacturer that is the lifeblood of its community. The CEO, Marcus Thorne, is a local hero who says he wants to be the “gold standard” of corporate responsibility. He's hired Ethan to be his watchdog. But when a vague tip in the local paper hints at environmental wrongdoing, Thorne tasks Ethan with an internal audit to prove the company's innocence. What Ethan uncovers, however, is not a clean bill of health. He finds a trail of falsified records, a shady shell corporation, and a secret that leads to a dead, poisoned patch of earth on the edge of town. The conspiracy isn't the work of some rogue employee. It's a calculated business decision, engineered from the very top to save the company during a tough quarter. Suddenly, Ethan isn't just a compliance officer; he's the sole witness to a crime. He is offered a choice: a massive promotion and a corner office in exchange for his silence, or a lonely, devastating path as a whistleblower. In this gripping narrative, we explore the slippery slope of corporate malfeasance, the immense pressure of leadership, and the staggering personal cost of integrity. Join us for “The Ethics Audit,” a story that asks a question every professional may one day have to face: When your loyalty to the company conflicts with your loyalty to the law, which side do you choose? To unlock full access to all our episodes, consider becoming a premium subscriber on Apple Podcasts or Patreon. And don't forget to visit englishpluspodcast.com for even more content, including articles, in-depth studies, and our brand-new audio series and courses now available in our Patreon Shop!

In this episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm's Securities Regulation and Litigation Practice, joins William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, for a timely conversation with Kate Ring, Chief Compliance Officer at Stash Financial. Stash is a fintech platform serving over 1.3 million customers with $4.1 billion in assets under management (AUM) - on a mission to help everyday Americans invest and build better financial futures.Building on our June episode regarding artificial intelligence (AI), this conversation examines how AI is reshaping the investment adviser industry—spotlighting key opportunities, emerging risks, and what effective oversight entails. A key takeaway: while AI has the potential to significantly boost efficiency, it must be carefully supervised to ensure it supports - not replaces - human judgment. The goal is AI-assisted human efficiency. Kate shares practical insights from her experience overseeing compliance and risk across Stash's diverse business lines, offering guidance for CCOs on how to effectively understand and supervise the use of AI tools. Her advice focuses on supporting responsible implementation that aligns with both business objectives and regulatory expectations.

By Adam Turteltaub Joint ventures are created to capitalize on a business opportunity, but they come with challenges. Each partner may have a different experience with or attitude towards compliance. They may have distinctly different cultures, and, in the worst case, may each be expecting the other to be watching compliance when, in fact, no one is. Hassan Chaudry, a member of the SCCE & HCCA Board and Chief Compliance Officer of POSCO JV, a General Motors joint venture, recommends several keys to success in JVs. First, having meaningful conversations with leadership right at the start is important, especially if it is face-to-face. This helps establish rapport and makes top management more comfortable with the role of compliance. Look to commonalities between the partners, not just the difference. In his case, with one party being from North America and the other from South Korea, there were different approaches and laws, but both countries are members of the OECD, and its guidance for compliance programs provided a common reference point. Once the groundwork is set, take the time to meet with employees from senior and middle management, as well as the front line. Also, don't forget the board: setting expectations with them and building an ongoing line of communication is essential. He also recommends treating the JV like a start-up, not an established company. Finally, put yourself in the shoes of joint venture partners. Look at the business from their perspective, and that will help you better understand what will make for a truly successful compliance program. Listen now The Compliance Perspectives Podcast is sponsored by Athennian, a leading provider of entity management and governance software. Get started at www.athennian.com.

Jessi Brooks is the General Counsel & Chief Compliance Officer at Ribbit Capital. Prior to Ribbit, Jessi was an attorney at the U.S. Department of Justice, where she worked on high-profile crypto and national security cases. Jessi explains the blockchain tools used in the Bitfinex hack, why crypto > cash, how the DOJ works with stablecoin issuers, and much more. The conversation also covers Jessi's journey from prosecuting domestic violence cases to crypto, and her perspective on building bridges between regulators and the industry.Timestamps:➡️ 00:57 Lessons from the Bitfinex hack➡️ 06:28 Unhosted wallets and the DOJ➡️ 09:42 The role of seizure & forfeiture➡️ 13:44 Increase in crypto-related cases ➡️ 19:18 Jessi's early DOJ crypto cases ➡️ 23:23 Al-Qassam Brigades operation➡️ 31:31 How DOJ and industry can align➡️ 35:49 Her work at Ribbit Capital and advising startupsSponsor: This episode is brought to you by Day One Law — a boutique law firm helping crypto startups navigate complex legal challenges.Visit ⁠https://www.dayonelaw.xyz/⁠ to get in touch.#crypto #cryptocurrency #law #blockchain #bitcoin #ethereumDisclaimer: Jacob Robinson and his guests are not your lawyer. Nothing herein or mentioned on the Law of Code podcast should be construed as legal advice. The material published is intended for informational, educational, and entertainment purposes only. Please seek the advice of counsel, and do not apply any of the generalized material to your individual facts or circumstances without speaking to an attorney.

On today's episode we're talking about the complex issue of cryptocurrency and divorce, and to help unpack it, I brought in Chris Groshong. Chris made the leap from biotech to fintech when he founded CoinStructive back in 2015. Since then he's worked for crypto financial institutions and has helped hundreds of people track down crypto lost to scams, hacks, and yes, hidden in divorce. If crypto feels confusing, secretive, or even a little bit shady to you, you're not alone. But as Chris explains, the blockchain is actually built on transparency. So once you know what to look for, it becomes a powerful tool for uncovering hidden assets.  In this conversation, we break down what crypto really is, how it shows up in divorce, and what steps you can take if you suspect it's being used to conceal money. Here's what else we discuss in this episode: What cryptocurrency is and why understanding how it works is so important in the context of divorce (3:29) What the hell is the blockchain?? (4:56) Why crypto can be risky in divorce: people often forget that it's not just about gains, but losses too (21:26) Red flags that might signal your spouse is hiding crypto (think unexplainable withdrawals, hardware wallets, or sketchy apps) (24:56) How crypto investigations actually work and why they're often more successful than you'd think (44:49) Learn more about Chris Groshong: Chris Groshong is a Certified Fraud Investigator who focuses on helping victims of cryptocurrency scams. He is also the Chief Compliance Officer for several crypto financial institutions including Bitcoin ATM operators, OTC exchanges, Wallet operators, DeFi platforms and more. He helps oversee money transmitter licensing and regulatory affairs for his clients at a fraction of the cost of attorneys. He is a member of the CFCIA (California Financial Crimes Investigators Association), Government Blockchain Association, The Chamber of Digital Commerce, ABA (American Bar Association), ACFCS, ACFE, ACAMS, and has served as an Expert Witness in a Federal fraud case involving Bitcoin and Monero as well as several Divorce cases. He maintains a public-private partnership with the FBI through Infragard. Chris is the Executive Director of the Crypto Recovery Alliance, a non-profit organization dedicated to helping victims of crypto thefts and scams by providing Blockchain Forensics to victims who can't afford services, as well as access to low or no-cost Mental Health services and preventative education and training. Resources & Links:The Divorce Survival Guide Resource BundleFocused Strategy Sessions with Kate  Phoenix Rising: A Divorce Empowerment Collective Chris's website Crypto Recovery Alliance Chris on LinkedIn =================== DISCLAIMER:  THE COMMENTARY AND OPINIONS AVAILABLE ON THIS PODCAST ARE FOR INFORMATIONAL AND ENTERTAINMENT PURPOSES ONLY AND NOT FOR THE PURPOSE OF PROVIDING LEGAL OR PSYCHOLOGICAL ADVICE.  YOU SHOULD CONTACT AN ATTORNEY, COACH, OR THERAPIST IN YOUR STATE TO OBTAIN ADVICE WITH RESPECT TO ANY PARTICULAR ISSUE OR PROBLEM. Episode link: https://kateanthony.com/podcast/episode-328-crypto-and-divorce-how-to-uncover-digital-assets-with-chris-groshong  

In this episode, Lisa and Ellen get the opportunity to speak with Junna Ro and Melanie Sponholz to recap the Women in Compliance Summit and the discuss the evolving landscape for women in the field. Junna Ro, a seasoned legal and compliance executive and the Head of Strategic Initiatives at the University of California, and Melanie Sponholz, Chief Compliance Officer & Director of Responsible Investing ‑ Portfolio Operations, Waud Capital Partners shared insights from the summit.  Both Junna and Melanie emphasized the collective support and sense of community at the event, and talked about her session on mentorship and allyship, and effective strategies to build these relationships. Junna's session with Elizabeth Simon focused on Women on Boards and also provided insight and strategies. They also discuss the current state of the profession, both in terms of challenges and opportunities.

AI, fraud, compliance, and the future of fintech take centre stage in this special crossover episode of the c-suite podcast and Sumsub's 'What The Fraud?' recorded live at Money20/20 Europe in Amsterdam. We hand over hosting duties to 'What the Fraud?' presenter, Thomas Taraniuk, who was joined by the following guests: 1/ Mitch Trehan, Chief Compliance Officer, Allica Bank 2/ Daniele Tonella, Chief Technology Officer, ING 3/ Katherine Yeung, Chief Risk & Compliance Officer, 10x Banking 4/ David McHenry, Managing Director, Head of Global Treasury & Payments Advisory - UK, HSBC Innovation Banking 5/ Lee McNabb, Head of Group Payment Strategy, NatWest

Episode 098: This week, Kyle Van Pelt talks with Carrie King, Partner and Chief Compliance Officer at UlImann Wealth Partners. A former restaurateur turned finance professional, Carrie brings a service-driven mindset to wealth management—prioritizing simplicity, optimism, and disciplined planning. With over two decades of experience spanning hedge funds, trading desks, and advisory firms, she now helps lead a holistic, client-centered practice that supports families through life's most complex transitions. Kyle and Carrie discuss how Ullman supports clients through these transitions by staying grounded in simplicity, optimism, and practical discipline. Carrie also discusses the firm's core values, how they integrate books into company culture, and the evolving role of compliance in an AI-driven world.  In this episode: (00:00) - Intro (02:59) - Carrie's money moment (05:37) - The importance of core values in company culture (09:08) - Reframing compliance through optimism and simplicity (11:02) - Ullmann Wealth Partners' Divorce Advisory Group (12:54) - Building relationships with Centers of Influence (COI) (17:42) - Making complex projects simple (19:30) - What makes a great CRM (23:13) - Ullmann's tech stack (25:53) - Why texting is such a taboo for regulators (28:04) - Carrie's outlook on the future of the industry (30:46) - Carrie's Milemarker Minute Key Takeaways Building your firm around core principles like discipline, simplicity, optimism, and professional advice isn't just good branding—it creates a shared language that guides decision-making, shapes culture, and helps clients stay focused during uncertainty. Compliance isn't just about rules—it's about protecting clients and building trust. A proactive, optimistic approach to compliance can strengthen your firm's culture and help you deliver better service across the board. Before adopting new tools like CRMs or AI platforms, prioritize peer insights over sales pitches. Talk to other firms, ask about pitfalls, and be methodical in your rollout—technology should support your process, not disrupt it. When building relationships with centers of influence (COIs), don't just tell them what you do—show them. Invite them into your client meetings, let them experience your planning firsthand, and trust that authenticity will speak louder than any pitch. Quotes "This business is working with people day in and day out. And when you see that in practice, there's nothing more fulfilling than that." ~ Carrie King "You don't need to do crazy investment strategies, trading options, or all these other things. The most important thing for people is coming up with a financial plan and helping them stick to it, especially in times of turbulence when there are unexpected consequences." ~ Carrie King "The ultimate end goal of compliance is to protect the client—protect them from scams, and protect them from fraud." ~ Carrie King Links  Carrie King on LinkedIn Ullmann Wealth Partners Brian James Glenn Ullmann Landing a Smooth Retirement Move Forward Confidently Patrick Kilbane Caitlin Frederick Getting Things Done Factfulness Jump AI MyRepChat Merrill Lynch Raymond James Wells Fargo Mercer Advisors Creative Planning Hightower Advisors Unreasonable Hospitality An Unfinished Love Story Connect with our hosts Milemarker.co Kyle on LinkedIn Jud on LinkedIn Subscribe and stay in touch Apple Podcasts Spotify YouTube Produce game-changing content with Turncast Turncast helps your company grow by producing top-quality content and fostering transformative conversations. We specialize in content generation, podcasting, digital strategy, and audience growth for fintech and financial services companies. Learn more at Turncast.com.

Join Tom Fox and hundreds of other GRC professionals in the city that never sleeps, New York City, on July 9 & 10 for one of the top conferences around, #Risk New York. The current US landscape, shaped by evolving policies, rapid advancements in AI, and shifting global dynamics, demands adaptive strategies and cross-functional collaboration. At #RISK New York, you will master the New Regulatory Reality by getting ahead of US regulatory shifts and their impact. Conquer AI and Tech Risk by Safeguarding Your Organization in an AI-Driven World and Understanding the Implications of Major Tech Investments. Navigate Financial and Crypto Volatility by Protecting Your Assets and Exploring Solutions in a Dynamic Market. Strengthen Your GRC Framework by Leveraging Governance, Risk, and Compliance for Strategic Advantage. Protect Digital Trust by addressing challenges in cybersecurity and data privacy, and combating misinformation. All while meeting with the country's top #Risk management professionals. In this episode, Tom Fox talks with Gwen Hassan, the Chief Compliance Officer for Unisys Corporation, about her role and the upcoming #RiskNYC conference. Gwen shares insights into Unisys' operations, including the various technologies and services they provide, and highlights her responsibilities in managing global ethics, compliance, and trade compliance risks. She also gives a teaser about her panel presentation on the compliance and ethics risks associated with artificial intelligence, stressing the importance of understanding AI's impact on company culture and regulatory compliance. Gwen expresses her excitement about the conference, emphasizing the value of engaging with fellow risk management experts. Resources: #Risk Conference Series #RiskNYC—Tickets and Information Gwen Hassan on LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to this edition of the award-winning Everything Compliance. In this episode, we have the quartet of Matt Kelly, Jonathan Marks, Jonathan Armstrong, and special guest panelist Hemma Lomax, all hosted by Tom Fox, the Compliance Evangelist. Hemma Lomax examines the customers of a compliance program and introduces us to the terms EX and CX. She shouts out to AI for podcasters. Matt Kelly delves into Google's compliance spending announcement and asks why the company does not have a Chief Compliance Officer. He both shouts out and rants about Marjorie Taylor Greene and her reading list. Jonathan Marks gives us a primer on corporate governance. He shouts out the quiet compliance professionals who do the day-to-day spadework of compliance. Jonathan Armstrong takes a deep dive into the finances of Tesla and its profitability. He shouts out to Operation Spider's Web. Tom Fox highlights Wells Fargo's compliance remediation, the Fed's asset cap placed on Wells Fargo, and its subsequent removal. The members of Everything Compliance are: Karen Woody – is one of the top academic experts at the SEC. Woody can be reached at kwoody@wlu.edu Matt Kelly – Founder and CEO of Radical Compliance. Kelly can be reached at mkelly@radicalcompliance.com Jonathan Armstrong – is an experienced compliance & technology lawyer based at Punter Southall Law in London (https://puntersouthall.law/).  He adds an international focus and can be reached at Jonathan.Armstrong@puntersouthall.law. Jonathan Marks – can be reached at jtmarks@gmail.com Karen Moore – is a principal at Sounding Board Compliance and can be reached at karen.moore@soundingboardcompliance.com Tom Fox, the Voice of Compliance, is the host, producer, and sometimes panelist of Everything Compliance. He can be reached at tfox@tfoxlaw.com. The award-winning Everything Compliance is part of the Compliance Podcast Network. Learn more about your ad choices. Visit megaphone.fm/adchoices

During this episode of the Industry Matters podcast, Ronda Buhrmester, Senior Director of Payer Relations and Reimbursement at VGM & Associates and Noel Neil, Chief Compliance Officer at ACU-Serve, delve into the complexities of lymphedema compression therapy as a DME benefit. They discuss essential compliance and documentation requirements, market analysis, recent HCPCS code updates, and the challenges and opportunities within the Medicare Advantage space. They also provide valuable insights on managing product categories, maintaining compliance, and the implications of billing upgrades. If you're considering adding lymphedema compression to your offerings or you already provide compression, this episode provides crucial information and actionable guidance to ensure you navigate this space successfully.Resources:https://cgsmedicare.com/jc/education/lymphedema_compression.htmlhttps://cgsmedicare.com/jc/pubs/news/2023/12/cope147943.htmlhttps://med.noridianmedicare.com/web/jddme/dmepos/lymphedema-compression-treatment

Operation Brace Yourself, a massive 2019 Department of Justice operation involving the durable medical equipment (DME) industry, was one of the largest health fraud enforcement actions in history and had major legal and compliance repercussions for DME companies. In this two-part series, Stephen Lee, Solo Practitioner, Law Office of Stephen Chahn Lee, recounts the true story of two DME owners who unwittingly found themselves in the crosshairs of this massive government enforcement action. In part one, Stephen speaks with Michael Silverman, Lawyer, Silverman Bain LLP, and Noel Neil, Chief Compliance Officer, ACU-Serve Corp, who both advised the owners and recommended stopping operations. Michael and Noel discuss how they advised the owners amid increased government scrutiny of the DME industry and also provide practical tips and guidance on how to communicate complex legal issues to clients. Watch this episode: https://www.youtube.com/watch?v=TPgVnbVQhpcAHLA'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.

This week on The Audit Podcast, we're kicking off our Retired CAE Summer Series with Bob Brewer, former Chief Audit Executive at Las Vegas Sands and former Chief Compliance Officer at Office Depot. With almost two years of retirement under his belt, Bob joins the show to reflect on his career from a fresh perspective. In this episode, he shares what he would do differently if he had the chance to start over, the political lessons he learned as a full-time executive, and the one thing he wishes every auditor would do. We also explore a fun thought experiment: If Bob wrote a book about his career, what would the first and last chapters be about? This series is all about gaining insights from those who have stepped back from the profession—and seeing things with a little more clarity. Be sure to connect with Bob on LinkedIn.   Also, be sure to follow us on our new social media accounts on LinkedIn, Instagram, and TikTok.   Also be sure to sign up for The Audit Podcast newsletter and to check the full video interview on The Audit Podcast YouTube channel.   Timecodes:   2:25 – How a Retired CAE uses LLMs 4:43 – Career Reflections 6:33 – Go-To Audit Resources 10:35 – A Lesson in Audit Politics 19:45 – Top Advice for Auditors 25:50 – The Critical Role of People, Processes, and Technology 33:10 – Final Thoughts   * This podcast is brought to you by Greenskies Analytics, the services firm that helps auditors leap-frog up the analytics maturity model. Their approach for launching audit analytics programs with a series of proven quick-win analytics will guarantee the results worthy of the analytics hype.  Whether your audit team needs a data strategy, methodology, governance, literacy, or anything else related to audit and analytics, schedule time with Greenskies Analytics.

Basil Jermanos Amso is Chief Executive Officer at ArticuLit. Cedrick Lawrence Gervacio is Chief Compliance Officer at ArticuLit. ArticuLit enables productive learning on the go. With the ArticuLit app, you can make any text into audio format so you can listen and learn wherever you are. This episode is recorded live at CPUGAD TBI. CPUGAD TBI is a startup incubator based in Central Philippine University in Iloilo City.In this episode | 00:55 Ano ang ArticuLit? | 03:28 What problem is being solved? | 07:17 What solution is being provided? | 21:14 What are stories behind the startup? | 40:40 What is the vision? | 43:23 How can listeners find more information?ARTICULIT | FacebookCPUGAD TBI | Website | Facebook: https://facebook.com/cpugadtbiTHIS EPISODE IS CO-PRODUCED BY:SPROUT SOLUTIONS | Website: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://sprout.ph⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Sprout Payroll Starter: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://bit.ly/SproutPayrollStarter⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | APEIRON | Website: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://apeirongrp.com |⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ TWALA |Website: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://twala.io⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | SYMPH Website: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://symph.co⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | SECUNA Website: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://secuna.io⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | MAROON STUDIOS Website: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://maroonstudios.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | AIMHI Website: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://aimhi.ai⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠CHECK OUT OUR PARTNERS | Ask Lex PH Academy: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://asklexph.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ (5% discount on e-learning courses! Code: ALPHAXSUP) | Founders Launchpad: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://founderslaunchpad.vc⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | GumdropLab: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://gumdroplab.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | CloudCFO: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://cloudcfo.ph⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ (Free financial assessment, process onboarding, and 6-month QuickBooks subscription! Mention: Start Up Podcast PH) | Cloverly.tech: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://cloverly.tech |⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ BuddyBetes: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://buddybetes.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | HKB Digital Services: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://contakt-ph.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ (10% discount on RFID Business Cards! Code: CONTAKTXSUP) | Hyperstacks: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://hyperstacksinc.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | OneCFO: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://onecfoph.co⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ (10% discount on CFO services! Code: ONECFOXSUP) | UNAWA: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://unawa.asia⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | SkoolTek: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://skooltek.co⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Better Support: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://bettersupport.io⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ (Referral fee for anyone who can bring in new BPO clients!) | Britana: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://britanaerp.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Wunderbrand: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://wunderbrand.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Fail Coach: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://fail.coach⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Drive Manila: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://facebook.com/drivemanilaph⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | EastPoint Business Outsourcing Services: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://facebook.com/eastpointoutsourcing⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Doon: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://doon.ph⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Hier Business Solutions: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://hierpayroll.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | DVCode Technologies: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://dvcode.tech |⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ Mata Technologies: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://mata.ph⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | LookingFour Buy & Sell Online: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://lookingfour.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | NutriCoach: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://nutricoach.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Uplift Code Camp: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://upliftcodecamp.com⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ (5% discount on bootcamps and courses! Code: UPLIFTSTARTUPPH) | Digest PH: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://digest.ph⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ (10% discount on legal services! Code: DIGESTXSUP)START UP PODCAST PH | YouTube: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://youtube.com/startuppodcastph⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Spotify: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://open.spotify.com/show/6BObuPvMfoZzdlJeb1XXVa⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Apple Podcasts: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://podcasts.apple.com/us/podcast/start-up-podcast/id1576462394⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Facebook: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://facebook.com/startuppodcastph⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Patreon: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://patreon.com/StartUpPodcastPH⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠ | Website: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://phstartup.online⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠Edited by: ⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠⁠https://tasharivera.com

In this episode, Ari Redbord, TRM's Global head of Policy, sits down with Kate Eyerman, Chief Compliance Officer at Blockchain.com, to unpack her unconventional path from the US State Department and Treasury to leading compliance in one of crypto's most dynamic environments.With deep experience in counter-terrorism financing and sanctions policy, Kate brings a policy-informed lens to navigating the evolving risks in the digital asset space.Kate and Ari explore the practical challenges of applying legacy financial compliance standards — like the Travel Rule — to blockchain-based finance, and how a strong foundation of AML and sanctions controls enables innovation. Kate also shares candid reflections on the shift from policy theory to operational reality and why public-private partnerships are more than buzzwords in today's crypto compliance landscape.From developing transaction monitoring protocols to evaluating emerging threats like AI-generated fraud, the emerging impact on AI on compliance and KYC, Kate emphasizes a risk-based approach rooted in mission-driven strategy. She also discusses the importance of educating policymakers, engaging with global regulators, and maintaining an agile compliance posture amid fast-moving technologies.And outside of compliance? Kate takes a risk-based approach to kayaking whitewater rivers — an apt metaphor for navigating crypto compliance in 2025.

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.

Letti de Little is the Chief Compliance Officer for Grain Management, a private equity firm that invests in telecom, infrastructure, and wireless spectrum assets.   Today's LP is focused on finding uncorrelated assets more than ever.  But doing so often requires an understanding of the operational nuances which are different from buying traditional, tradable securities.  I spent some time with Letti to unpack some of the common legal and operational elements for investing in this asset class.    We cover how wireless spectrum auctions work and how Grain manages the dual regulatory oversight of the Securities and Exchange Commission and the Federal Communications Commission.  We also talk about what ODD practitioners should know about with this lesser-known strategy.    Learn More Follow Capital Allocators at ⁠⁠⁠@tseides⁠⁠⁠ or ⁠⁠⁠LinkedIn⁠⁠⁠ Subscribe to the ⁠⁠⁠mailing list⁠⁠⁠ Access transcript with ⁠⁠⁠Premium Membership⁠⁠⁠ 

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

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.

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.

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.

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

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.

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