Podcasts about chief compliance officers

In this episode of The General Counsel Series, powered by  ⁨@zohosign⁩  , Jenna Krishnan sits down with Manjaree Chowdhary, General Counsel and Chief Compliance Officer of Maruti Suzuki and former GC at General Electric, to trace an extraordinary 37-year journey across academia, global industry, and leadership. From starting her career as a professor of English literature to becoming one of India's most respected in-house counsels, Manjari's story is one of courage, curiosity, and continuous growth. She shares her insights on: Navigating career transitions with grace and conviction The art of managing risk, reputation, and relationships Building empathy and credibility as a legal leader Women in leadership and the importance of perspective Embracing technology to simplify work Whether you're a law student, young lawyer, or a corporate leader, this conversation is filled with wisdom, humour, and real-world lessons on resilience and reinvention. Listen to more episodes of The General Counsel Series - where India's top GCs share what it takes to lead with both head and heart. Also available on: Spotify | Apple Podcasts | Google Podcasts | Amazon Music About Zoho Sign This series is powered by Zoho Sign - a comprehensive digital e-signature solution built for Indian businesses. Learn more or book a demo: https://www.zoho.com/en-in/sign/ Connect with us: Contact: contact@thedailylawyer.in Website: https://thedailylawyer.in/ Instagram: https://www.instagram.com/thedailylawyerig/?hl=en LinkedIn: https://www.linkedin.com/in/jenna-v-krishnan/ Connect with Zoho Sign: Instagram: https://www.instagram.com/zohosignofficial/?hl=en X: https://x.com/ZohoSign?ref_src=twsrc%5Egoogle%7Ctwcamp%5Eserp%7Ctwgr%5Eauthor LinkedIn: https://www.linkedin.com/company/zohosign/ YouTube: https://www.youtube.com/@zohosign Explore: https://www.zoho.com/en-in/sign/ #TheDailyLawyer #ZohoSign #GeneralCounselSeries #LegalLeadership #InHouseCounsel #LegalPodcast #WomenInLaw #LawAndLife #LegalTech #JennaKrishnan #ManjareeChowdhary

Kann Regulierung neue Geschäftsfelder und Innovationen ermöglichen? Wie lassen sich Vorgaben wirksam in Unternehmen umsetzen?    In dieser Episode des The Agenda Podcasts spricht Dr. Klaus Moosmayer, Aufsichtsrat der Deutschen Bank AG und ehemaliger Vorstand bei Novartis sowie vorheriger Chief Compliance Officer bei Siemens, über die Herausforderungen und Chancen, die sich aus den sich wandelnden rechtlichen und regulatorischen Rahmenbedingungen in Europa ergeben. Zusammen mit Sherpany Podcast-Host Ingo Notthoff beleuchtet der Co-Vorsitzende des Global Future Council on Good Governance des Weltwirtschaftsforums die Bedeutung von Compliance und Risikomanagement für Unternehmen, die Balance zwischen Regulierung und Innovation sowie die spezifischen Herausforderungen, mit denen Unternehmen konfrontiert sind, wenn sie neue Vorschriften umsetzen. Zudem wird die Rolle von Vorständen und Aufsichtsräten bei der strategischen Governance thematisiert und wie Unternehmen sich auf die Umsetzung von EU-Vorgaben vorbereiten können.  Diese Impulse erhalten Sie in dieser Episode: Compliance ist mehr als nur Regeln – es geht um Werte Regulierung kann Innovationen sowohl fördern als auch behindern Ein ausgewogenes Regelsystem ist entscheidend für den Unternehmenserfolg Unternehmen müssen sich aktiv mit Regulierungen auseinandersetzen Die Kommunikation von Compliance-Regeln ist entscheidend Governance sollte nicht siloartig, sondern integriert sein Vorstände müssen eine Gesamtsicht auf Risiken haben Compliance als strategischer Hebel für Unternehmen Thank you for listening! Visit us at Sherpany.com or follow us on LinkedIn for board, board committee, and executive meetings solutions.

Gino Wirthensohn, Chief Compliance Officer at Laser Digital, joins Compliance Champions to explore how regulated crypto firms can thrive across global jurisdictions. From securing licenses with VARA and ADGM to building a future-proof compliance culture, Gino shares tactical insights on regulatory strategy, risk frameworks, and DeFi engagement.

Angelica Kapsis is the President and Co-Founder of VotRite, a South Florida-based company revolutionizing election technology to make voting more accessible, secure, and transparent. A U.S. Navy veteran with degrees in Forensic Science and Psychology, Angelica is a passionate advocate for innovation, inclusivity, and ADA compliance in elections.Christopher H. Baum is the Chief Compliance Officer at VotRite, bringing over 30 years of expertise in election technology and IT analysis. He has advised multiple states on election regulation, testified before Congress in support of the Help America Vote Act, and authored more than 90 Gartner reports on voting technology. At VotRite, he oversees certification and election integrity, helping advance secure, innovative, and accessible voting solutions nationwide.

Loyalty used to earn you a pension. Now it earns you a pink slip. Nick Passarelli has protected billion-dollar companies from risk—and realized the biggest one was believing loyalty still mattered. From Wall Street to crypto to fintech, he's watched good people blindsided for playing by outdated rules. This isn't about layoffs. It's about liberation. Stop renting your security from a company that can revoke it overnight. You need to listen if you've ever said: “I've been here forever.” “They'd never let me go.” “I'll just ride it out.” Because: If you're “just holding on,” you're already replaceable. Loyalty = Liability. Hard Work ≠ job security and doing your job won't protect it. Just because you made the loyalty deal. The company didn't. Reciprocity Is a Myth. So how do you trade false loyalty for real leverage. It's all in here. Loved the episode? Subscribe! Follow Nick here: https://www.linkedin.com/in/nick-passarelli-9777454/ Follow me on LinkedIn: https://www.linkedin.com/in/lorengreiff/ Follow me on Instagram: https://www.instagram.com/portfoliorocket/ Watch my podcast on YouTube: https://www.youtube.com/channel/UCpGM7j8croBkkZ4bLqN7DOQ/  

Leah Voigt, Chief Compliance Officer, Corewell Health, and Anthony J. Burba, Partner, Barnes & Thornburg, discuss takeaways from recent health care fraud enforcement activity, recent compliance guidance from DOJ and OIG, and practical steps that health care companies can take to address, mitigate, and remediate risks in key focus areas for the government. Anthony and Leah spoke about this topic at AHLA's 2025 Annual Meeting in San Diego, CA.Watch this episode: https://www.youtube.com/watch?v=PviibFEEEpELearn more about the AHLA 2025 Annual Meeting that took place in San Diego, CA: https://www.americanhealthlaw.org/annualmeeting Essential Legal Updates, Now in Audio 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 podcast! To subscribe and add this private podcast feed to your podcast app, go to americanhealthlaw.org/dailypodcast. Stay At the Forefront of Health Legal Education Learn more about AHLA and the educational resources available to the health law community at https://www.americanhealthlaw.org/.

In this episode of the Kaya Cast Podcast, host Tommy Truong sits down with Warren Harasz, Chief Compliance Officer at Cannaspire, an end-to-end cannabis consulting firm that helps operators license, design SOPs, source vendors, build facilities, and stay compliant. Warren brings 18 years of cultivation experience and a professor's approach to turning complex regulations into practical, living playbooks. The conversation covers how to get SOPs off the shelf and into daily operations—from employee handbooks and disciplinary policies to state and municipal reporting—and why consistency in enforcement is essential to avoid costly lawsuits. Learn why cannabis-specific templates are scarce, how to write flexible SOPs that survive equipment changes, and the art of rolling out policies with buy-in from the GM and operations leaders. The episode also dives into staffing strategies before opening (lean staffing, six weeks of prep, two weeks of onboarding), how often to audit and update SOPs (annual reviews and triggers like code changes or new processes), and who should own SOPs in cultivation, manufacturing, and retail. Practical, actionable guidance for dispensaries aiming to scale while staying compliant. For more, visit cannaspire.com. Find out more about Cannaspire at:https://cannaspire.com/https://www.linkedin.com/in/warren-harasz-72a022b0/https://www.linkedin.com/company/35626647/ 00:00 Introduction and Guest Welcome00:06 Cannaspire's Role and Services01:08 Warren's Background and Industry Experience02:38 Key Processes for New Cannabis Operators02:47 Importance of Employee Management03:52 Creating Effective SOPs07:23 Compliance and Regulatory Considerations09:06 Operationalizing SOPs15:58 Reviewing and Updating SOPs29:51 Hiring and Training Best Practices38:28 Final Thoughts and Contact Information #kayacast #cannabis #tips #dispensaries #business #podcast

In deze aflevering van de Leaders in Finance Compliance Podcast zijn Saskia Hoskens, Chief Risk Officer en lid van de Executive Board, en Jan van Vulpen, Chief Compliance Officer van ASN Bank, te gast. Ze vertellen over de grote verandering die de bank doormaakt van De Volksbank naar één merk en één identiteit. Wat betekent dat voor de mensen, de cultuur en de manier van werken? En hoe houd je in zo'n transformatie oog voor risico's en compliance? We praten over samenwerking tussen risk en compliance, over hoe je als bestuurders elkaar scherp houdt en tegelijk dezelfde richting op gaat. Ook komt de praktijk aan bod: hoe ga je om met cybersecurity, datakwaliteit, duurzaamheid en de groeiende berg aan regelgeving? Luister nu!   ***  Leaders in Finance wordt mede mogelijk gemaakt door Kayak, EY, Mogelijk Vastgoedfinancieringen, Roland Berger en Lepaya   *** Op de hoogte blijven van Leaders in Finance? Abonneer je dan op de nieuwsbrief.   ***  Vragen, suggesties of feedback? Graag! Via email: info@leadersinfinance.nl en check de website leadersinfinance.nl.   *** Eerdere gasten bij de Leaders in Finance podcast waren onder andere: Klaas Knot (President DNB), Robert Swaak (CEO ABN AMRO), Frank Elderson (directie ECB), David Knibbe (CEO NN), Janine Vos (RvB Rabobank), Jos Baeten (CEO ASR), Nadine Klokke (CEO Knab), Gita Salden (CEO BNG Bank),  Annerie Vreugdenhil (CIO ING), Geert Lippens (CEO BNP Paribas NL), Karien van Gennip (CEO VGZ), Maarten Edixhoven (CEO Van Lanschot Kempen), Jeroen Rijpkema (CEO Triodos), Chantal Vergouw (CEO Interpolis), Simone Huis in ‘t Veld (CEO Euronext), Nout Wellink (ex DNB), Onno Ruding (ex minister van financiën), Maurice Oostendorp en Martijn Gribnau (CEOs Volksbank), Olaf Sleijpen (Director DNB), Allegra van Hövell-Patrizi (CEO Aegon NL), Yoram Schwarz (CEO Movir), Laura van Geest (Bestuursvoorzitter AFM) Katja Kok (CEO Van Lanschot CH), Ali Niknam (CEO bunq), Nick Bortot (CEO BUX), Matthijs Bierman (MD Triodos NL), Peter Paul de Vries (CEO Value8), Barbara Baarsma (CEO Rabo Carbon Bank), Jan van Rutte (Commissaris PGGM, BNG Bank, vml CFO ABN AMRO), Marguerite Soeteman-Reijnen (Chair Aon Holdings), Annemarie Jorritsma (o.a. Voorzitter NVP), Lidwin van Velden (CEO Waterschapsbank), Don Ginsel (CEO Holland Fintech), Mary Pieterse-Bloem (Professor Erasmus), Jan-Willem van der Schoot (CEO Mastercard NL), Tjeerd Bosklopper (CEO NN NL), Joanne Kellermann (Chair PFZW), Steven Maijoor (Chair ESMA), Radboud Vlaar (CEO Finch Capital), Karin van Baardwijk (CEO Robeco) en Annette Mosman (CEO APG).   

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.

Happy Mindset Monday!True leadership isn't about climbing the ladder—it's about lifting others as you climb.In Part 2 of my conversation with Shari Riley, Chief Compliance Officer at Centene/WellCare, we talk about the kind of leadership that transforms organizations from the inside out. Shari shares how empowering others, listening with empathy, and leading through gratitude create teams that perform with purpose and trust.

In deze aflevering van de Leaders in Finance Compliance Podcast spreekt Jeroen Broekema met Saskia Hoskens, Chief Risk Officer en Executive Board Member, en Jan van Vulpen, Chief Compliance Officer van ASN Bank.De bank is volop in transformatie: van meerdere merken naar één identiteit, van De Volksbank naar ASN Bank. Wat betekent dat voor de organisatie, de cultuur en de medewerkers? Hoe bewaak je in zo'n periode de balans tussen verandering en beheersing? We praten over de samenwerking tussen risk en compliance: waar raken de rollen van CRO en CCO elkaar, en waar moet juist gezonde spanning blijven bestaan?Daarnaast bespreken we actuele thema's als cybersecurity, datakwaliteit, sustainability-risico's en compliance-cultuur. Hoe zorg je voor grip op honderden wetten en regels zonder de organisatie te verstikken? Hoe creëer je risicobewustzijn en trots binnen een bank die wil groeien én haar maatschappelijke missie wil waarmaken?Tot slot delen Saskia en Jan hun persoonlijke ervaring, kijk op leiderschap en tips voor starters: blijf breed kijken, stel vragen, doe wat energie geeft, en, in Saskia's woorden: get shit done.Luister nu!---> Volg de Leaders in Finance Compliance Podcast via de Website en LinkedIn.---> De Leaders in Finance Compliance Podcast wordt mede mogelijk gemaakt door Cense, Deloitte, Kayak, Rabobank, en Osborne Clarke.

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/

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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

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.

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/

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.