Podcasts about chief compliance officers

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs. Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you! There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently. If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today! Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $) #359 Topics: Market Performance & Macro Trends — indices, CPI report, Fed rate expectations (01:09)  Equity Market Dynamics & Earnings Outlook — 2026 earnings growth, tech insider buying, semiconductor cash flow (15:18)  Diversification & Asset Allocation Insights — Magnificent Seven underperformance, rotation opportunities (05:40)  Long-Term Investment Themes & Market Narratives — dot-com comparison, tech volatility, AI infrastructure (08:46)  Financial Planning: Trump Accounts Update — new kids' savings vehicle, eligibility, setup (27:29)Hosts: Mark McEvily - Chief Investment Officer and Managing Partner Matthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing Partner Address: 35 Park Ave. Dayton, OH 45419 Phone: 937-938-9105 https://www.jessupwealthmanagement.com/ Social Media: Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagement Twitter: @jessupwealth Instagram: @jessupwealth https://www.jessupwealthmanagement.com/disclosures-page

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs.Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you! There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently.If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today!Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $)Show Notes:Post on X from Ryan Detrick on 7.1.26 - https://x.com/RyanDetrick/status/2072147268589813875 Chart from JPMorgan Asset Management's “Guide to Retirement” 2026 slide deck - https://am.jpmorgan.com/us/en/asset-management/adv/insights/retirement-insights/guide-to-retirement/ Chart From JPMorgan Asset Management's “Guide to Retirement” 2026 slide deck - https://am.jpmorgan.com/us/en/asset-management/adv/insights/retirement-insights/guide-to-retirement/Article written by Jim Dahle on The White Coat Investor on June 9th titled “Great Reasons to have a Tax-Deferred Account” - https://www.whitecoatinvestor.com/tax-deferred-accounts/ Market Performance & Economic Insights — July market trends, midterm-year patterns (01:00)New "530A" Child Retirement Accounts — $1,000 government seed money for kids' IRAs (03:30)Retirement Spending Variability & Portfolio Management — spending fluctuations, stock allocation strategy (09:30)Tax-Deferred Accounts & Strategic Tax Planning — pre-tax vs. Roth, QCDs, medical deductions (18:00)Hosts:Mark McEvily - Chief Investment Officer and Managing PartnerMatthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing PartnerAddress: 35 Park Ave. Dayton, OH 45419Phone: 937-938-9105 https://www.jessupwealthmanagement.com/Social Media: Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagement Twitter: @jessupwealth Instagram: @jessupwealth 

Need financing for your next investment property? Visit: https://www.academyfund.com/ Want to join us in Washington, D.C. on Sept 28th & 29th? Visit: https://www.10xvets.com/events ____ Pat O'Boyle is the Chief Compliance Officer at Glen Eagle Advisors and a member of the leadership team behind Alooola, a technology-driven financial planning and investment platform. In addition to overseeing regulatory compliance, he supports business development and helps drive the growth of Aloooa's advisory and retirement planning services, including its expanding 401(k) platform for business owners. A graduate of the U.S. Naval Academy, Pat served as a Marine Corps infantry officer with 7th Marines and completed two deployments to the Middle East. After transitioning from military service, he built experience across investment banking, fintech, and wealth management through roles at Wells Fargo Securities, EquitiesEnd, and CBIZ before joining Glen Eagle Advisors to help scale Alooola's technology-first approach to financial planning.   In this episode of the SABM podcast, Scott chats with Pat about: From the Marine Corps to Financial Services: How military leadership, investment banking, and startup experience ultimately led to helping build a technology driven planning platform. Creating Alooola's Hybrid Approach: Combining personalized financial advice with a mobile-first experience that keeps advisors accessible to clients. Helping Businesses Reduce 401(k) Costs: Helping business owners uncover hidden retirement plan fees while improving retirement plan offerings. How Technology Enhances the Advisor Relationship: Using technology to simplify investment management and create more meaningful client conversations. Building the Future of Financial Planning: Bringing investing, retirement planning, tax strategy, insurance, and advisor support into one platform. Timestamps: 01:13 Marine Corps to Finance 02:10 Wells Fargo and COVID Markets 04:27 Startup Culture Shift 05:51 Joining Gleneagle and Alooola 09:06 Alooola App Overview 12:40 Why Build the App 14:57 Advisors Using the Platform 18:19 Building with AI and Compliance 21:49 Goals for 2026 and Beyond 25:08 Who They Help Most   Connect with Pat: LinkedIn | Pat O'Boyle poboyle@gleneagleadv.com  www.gleneagleadv.com If you found value in today's episode, don't keep it to yourself—share it with a colleague or friend who could benefit. And if you're a Service Academy graduate ready to elevate your business, we'd love for you to join our community and get started today.   Make sure you never miss an episode. Subscribe now and help support the show: Apple Podcasts Spotify Leave us a 5-star review!   A special thank you to Pat for joining me this week. Until next time! -Scott Mackes, USNA '01  

What happens when the very things that make you different become your greatest strengths?For Fitzann “Fitz” Reid, showing up fully, taking calculated risks, and creating opportunities where none existed before have been defining themes throughout her career.A lawyer, investor, entrepreneur, sports owner, and leader, Fitz has built a career that defies traditional expectations. From growing up in South Jamaica, Queens, as the daughter of Jamaican immigrants to serving at the highest levels of the SEC, helping launch Hunterbrook, and investing in professional sports, she has consistently chosen growth over comfort and possibility over convention.In this episode of Branding Room Only, Fitz and Paula explore what it means to build a career intentionally rather than simply following the path laid out for you. They discuss the power of sponsorship, the leadership lessons learned through sports, the responsibility that comes with visibility, and the confidence required to remain authentic in spaces that were not always designed with you in mind. Fitz also shares her experiences as a Black queer woman and a first-generation Jamaican-American, and how those experiences have informed her perspective while never limiting the scope of who she is or what she can accomplish.The conversation covers career pivots, entrepreneurship, investing, leadership, and personal branding through the lens of someone who has repeatedly stepped into unfamiliar spaces and found ways to succeed. Fitz's story is a reminder that growth often requires courage, that visibility creates possibility for others, and that some of the most meaningful opportunities appear long before there is certainty about the outcome. Her approach to life and work demonstrates the value of trusting yourself, staying open to possibility, and being willing to take the first step before you have every answer.1:26 – Fitzann's personal brand definition and why she describes herself as authentic, relentless, and empathetic4:20 – Why a Bryan Stevenson (director of Equal Justice Initiative) quote that hangs on Fitz's wall made such an impression7:43 – How Fitz learned independence and resilience as a kid growing up in South Jamaica, Queens 10:25 – How being a first-generation Jamaican American has influenced Fitz's leadership and ambition13:02 – The weight of responsibility often facing children of immigrants and how Paula conveyed that to her kids14:25 – How Fitz has navigated her career and assumed leadership positions as a Black, queer woman in industries often lacking diversity19:05 – How her background in sports has played a major role in Fitz's leadership style22:38 – How Fitz stood her ground against conforming in law school and grew her confidence over time31:45 – Fitz outlines her career trajectory, from an early interest in politics and law school to buying an Italian basketball team and building Hunterbrook39:02 – How that initial sports investment opened up bigger doors of opportunity41:00 – How Fitz has been intentional about building her brand while navigating her career44:32 – The root of Fitz's personal and strategic interest in women's sports, and investment opportunities still available48:10 – Why advocacy through the National LGBTQ+ Bar Association is so important to Fitz51:48 – Why Fitz will never compromise on how she shows up, and the magic she offers to others53:41 – The importance of treating your difference from others as a superpower, not a disadvantageConnect With Fitzann ReidFitzann “Fitz” Reid is a partner, general counsel, and chief compliance officer at Hunterbook, a startup media company and hedge fund. She's also an avid sports investor and co-founder of Vera West Sports and Entertainment. Before Hunterbrook, she spent the bulk of her career in the U.S. Securities and Exchange Commission at the highest levels, serving across Examinations and Enforcement as well as Senior Counsel to Commissioner Allison Lee. Then she moved on to become the Chief Compliance Officer and Deputy General Counsel at impact-focused hedge fund Engine No 1. Her work spanned rulemaking, enforcement, litigation, whistleblowers, and on-site examinations of registrants, including broker-dealers, investment advisers, private fund advisers, and mutual funds.Fitzann has a BBA from Pace University, an MBA from Wharton at UPenn, and a JD from Washington University School of Law in St. Louis, where she later taught federal regulations and enforcement as an Adjunct Professor. Off the clock, she serves on several boards, including the National LGBTQ Plus Bar Association, and is registered with the state bar in D.C. and New York.Fitzann Reid on LinkedInHunterbrook | Instagram | X | TikTok | YouTubeMentioned In Authenticity, Ambition, and Betting on Yourself with Fitzann ReidEqual Justice InitiativeNational LGBTQ+ Bar AssociationCurated Resources from PaulaSign up for Paula's Upcoming Events Learn More About Paula's Personal Branding Strategy Session OfferSubscribe to The Branding Room Only podcast on YouTubeCall to ActionFollow & Review: Help others find the podcast. Subscribe and leave a quick review.Want more branding insights? Join Paula's newsletter for expert tips and exclusive content! Subscribe HereConferences are an investment—make sure you maximize yours. My Engage Your Hustle™ Conference Playbook gives you the strategies to prepare, stand out, and follow up with impact. Get your copy today.Sponsor for this episodeThis episode is brought to you by PGE Consulting Group LLC.PGE Consulting Group LLC empowers individuals and organizations to lead with purpose, presence, and impact. Specializing in leadership development and personal branding, we offer keynotes, custom programming, consulting, and strategic advising—all designed to elevate influence and performance at every level.Founded and led by Paula Edgar, our work centers on practical strategies that enhance professional development, strengthen workplace culture, and drive meaningful, measurable change.To learn more about Paula and her services, go to www.paulaedgar.com or contact her at info@paulaedgar.com, and follow Paula Edgar and the PGE Consulting Group LLC on LinkedIn.

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs. Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you! There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently. If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today! Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $) • Market Update & Fed Outlook (1:40–6:20) – Market performance, inflation data, and interest rate expectations. • Social Security Solvency (9:10–10:40) – Trust fund projections and potential benefit changes. • AI Spending & Tech Growth (13:30–15:00) – Rising AI infrastructure investment and its impact on tech stocks. • Consumer Wealth Trends (17:50–21:30) – Growth of the upper middle class and its influence on spending. • Bond Market Risks (23:30–26:50) – How interest rate changes affect bond prices and volatility. • College Savings Strategies (28:45–32:50) – Comparing 529 plans and brokerage accounts for education savings.Show Notes:Article from Lorie Konish on June 9th on CNBC titled “Social Security retirement trust fund may be depleted in 2032, new trustees report finds” with commentary from Kitces.com - https://www.cnbc.com/2026/06/09/social-security-trustees-report-depletion-dates.html Post on X from Ryan Detrick on June 15th - https://x.com/RyanDetrick/status/2066551008654762075 - Article by Dalvin Brown in the Wall Street Journal titled “The Financial Planning Expert Who's Boycotting 529s for His Kids” - https://www.wsj.com/personal-finance/the-financial-planning-expert-whos-boycotting-529s-for-his-kids-6c3e32fc?st=KgKuSt&reflink=desktopwebshare_permalink- Article by Anna Garcia titled “Why Advisors don't Recommend 529s” outlines a different approach - https://thecollegefinanciallady.com/2026/01/27/why-advisors-dont-recommend-529s/Hosts: Mark McEvily - Chief Investment Officer and Managing Partner Matthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing Partner Address: 35 Park Ave. Dayton, OH 45419 Phone: 937-938-9105 https://www.jessupwealthmanagement.com/ Social Media: Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagement Twitter: @jessupwealth Instagram: @jessupwealth https://www.jessupwealthmanagement.com/disclosures-page

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs. Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you! There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently. If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today! Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $) ·       Market Pullback & Outlook (2:41)·       Earnings Season Expectations (6:56)·       SpaceX IPO & IPO Market Trends (7:28)·       Fear, Volatility & Investor Behavior (8:25)·       Technology Sector Momentum & Earnings Growth (11:16)·       Historical IPO Activity & Market Context (17:04)·       IPO Investing Considerations (20:02)·       Tech Valuations vs. the Dot-Com Bubble (21:40)·       Long-Term Perspective on Technology Investing (24:50)·       Nine-Week Market Winning Streak Analysis (25:10)·       Inheritance Spending & Wealth Transfer Risks (26:40)·       Estate Planning & Preserving Family Wealth (29:50)·       Market Sentiment & June Outlook (31:00)Hosts: Mark McEvily - Chief Investment Officer and Managing Partner Matthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing Partner Address: 35 Park Ave. Dayton, OH 45419 Phone: 937-938-9105 https://www.jessupwealthmanagement.com/ Social Media: Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagement Twitter: @jessupwealth Instagram: @jessupwealth https://www.jessupwealthmanagement.com/disclosures-page

In this episode of On Just Terms, Jason Betts and Harry Edwards are joined by Lucinda McCann, Chief Compliance Officer at the ASX, for a candid conversation on the organisation's approach to its supervisory and enforcement responsibilities. Lucinda discusses ASX's shift to risk-based supervision, effective engagement during its inquiries, continuous disclosure obligations, trading halts, and its referrals of matters to ASIC. She also explores the impact of the securities class actions market on its work and how AI may support the ASX's work. A practical discussion for those advising or working in Australia's listed markets.

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs. Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you! There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently. If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today! Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $) Hosts: Mark McEvily - Chief Investment Officer and Managing Partner Matthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing Partner Address: 35 Park Ave. Dayton, OH 45419 Phone: 937-938-9105 https://www.jessupwealthmanagement.com/ Social Media: Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagement Twitter: @jessupwealth Instagram: @jessupwealth https://www.jessupwealthmanagement.com/disclosures-pageShow Notes:Post from Ryan Detrick on X on 5.3.26 - https://x.com/ryandetrick/status/2051041560565809579?Post on X from Astra Insights on May 1st - https://x.com/AstraInsights/status/2050185241453609222?s=20 Blog Post from The White Coat Investor on May 12th titled “4 Reasons Why We're Spending Our HSA Money – And Why You Should Too - https://www.whitecoatinvestor.com/spend-hsa-money-now/

Welcome to another Risky Women Radio Book Club Edition. In an era dominated by rapid AI disruption, intensifying social scrutiny, and relentless geopolitical shifts, compliance can no longer be treated as a mere back-office box-checking exercise. In this episode, host Kimberley Cole sits down with Natalie McManus-Barnett, co-author of How to Be a Chief Compliance Officer and founder of Innovate Compliance. Shifting the narrative away from dry, bureaucratic policy-pushing, Natalie brings a refreshing dose of "polite disruption" to the table. She shares her "Jungle Gym" journey from the Financial Conduct Authority to Citibank, introducing a masterclass on how to weave compliance directly into the DNA of corporate strategy, execution, and culture to turn risk management into a genuine competitive advantage.

Episode 144: This week, Kyle Van Pelt talks with Tim Gavin, Chief Strategy Officer & Chief Compliance Officer at MCF. Tim helps lead the firm's long-term strategic direction across operations, compliance, advisor support, technology, and growth initiatives. Kyle and Tim discuss what sustainable growth actually looks like inside a modern advisory firm. Tim explains why organic growth creates stronger long-term enterprise value, how firms should think about operational capacity before scaling, and why successful change management starts with team buy-in—not software purchases. They also explore AI adoption, technology fatigue, client experience design, and the growing divide between firms that strategically invest in technology and firms that fall behind. In this episode: (00:00) - Intro (01:26) - Tim's money moment (02:51) - Why compliance can become a strategic advantage (03:56) - MCF's acquisition of Wealth Planning Corporation (05:37) - Defining intentional growth (07:31) - Measuring operational efficiency and capacity (09:53) - Organic growth vs. inorganic growth (12:41) - The hidden operational risks of scaling too quickly (14:41) - Why change management is harder than buying technology (17:30) - Building a tech stack that actually supports growth (21:38) - AI adoption, due diligence, and compliance concerns (23:33) - Responsible AI use and protecting client trust (26:34) - Tim's outlook on the future of financial services (28:31) - Why client experience is the real product (29:42) - Tim's Milemarker Minute Key Takeaways Organic growth compounds differently than acquisition growth. Firms that build referral systems, operational consistency, and advisor enablement create more durable enterprise value over time. Scaling exposes operational weaknesses. Growth only works when firms proactively manage advisor capacity, workflows, onboarding systems, and internal communication. Technology should reinforce strategy—not dictate it. Tim emphasizes evaluating tools through the lens of client impact, operational fit, and long-term scalability rather than reacting to hype cycles. Great client experience extends beyond meetings. The real question is how clients feel between interactions—whether they trust the plan, understand what's happening, and feel connected to the firm even when they're not actively engaging. Quotes "We don't want to grow just to grow. It's about how many clients we can impact and provide real value to them." ~ Tim Gavin "Everybody wants to talk about acquiring a firm. But at the end of the day, to really say you have scale, it means having systems in place that can generate organic growth." ~ Tim Gavin "You have to revisit your processes very frequently because technology changes constantly." ~ Tim Gavin Links  Tim Gavin on LinkedIn MCF Advisors Salesforce  Power BI Think and Grow Rich 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.

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs. Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you! There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently. If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today! Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $) #349 Topics• Market rebound & performance trends (02:00) – Strong April/May gains across S&P 500, Nasdaq, and small caps; rapid V-shaped recovery after ~10% drop• Earnings as primary catalyst (04:00) – Q1 earnings significantly beat expectations, driving market strength• Shift back to fundamentals (06:30) – Focus moving to long-term earnings outlook over geopolitical concerns• Seasonality & historical patterns (08:00) – Strong April performance historically signals positive full-year returns• Rising interest rate environment (11:00) – Potential long-term shift away from decades of falling rates• Inflation & bond market signals (12:30–13:00) – Persistent inflation expectations reflected in bond yields and TIPS performance• Bond risk & portfolio implications (14:00–15:00) – Bonds not inherently “safe”; challenges to traditional allocation strategies• Federal Reserve policy outlook (19:00–21:30) – Shift toward more hawkish stance; fewer/slower rate cuts expected• U.S. debt & fiscal concerns (22:00–23:00) – Debt surpassing 100% of GDP; potential inflationary risks• Tech sector valuations & comparisons (25:00–29:30) – Strong fundamentals vs. dot-com era; emphasis on disciplined, long-term investingShow Notes:Post on X from Ryan Detrick on 4.30.26 - https://x.com/ryandetrick/status/2049866359559872599?s=12&t=Godkt5FzuqWcmpmvo2G5Jg Post on X from Thierry Borgeat on 4.27.26 - https://x.com/ThierryBorgeat/status/2048836500557554097?s=20 Post on X from Steve Deppe on 4.28.26 - https://x.com/sjd10304/status/2049169078934204831?s=12&t=Godkt5FzuqWcmpmvo2G5Jg Hosts: Mark McEvily - Chief Investment Officer and Managing Partner Matthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing Partner Address: 35 Park Ave. Dayton, OH 45419 Phone: 937-938-9105 https://www.jessupwealthmanagement.com/ Social Media: Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagement Twitter: @jessupwealth Instagram: @jessupwealth https://www.jessupwealthmanagement.com/disclosures-page

We get it – you're the CEO, the Chief Financial Officer, the Chief Compliance Officer – you're busy!And now, you have to think about new AI systems in your compliance process? That's no small thing on the to-do list!Our expert host, Marit Rødevand is joined by Hanjo Seibert, Managing Director & Partner at Boston Consulting Group (BCG), to tackle the question: Who owns AI in compliance? The pair discuss: Why AI in compliance is both underrated and overrated, the use case traps companies fall into, and what each role needs to own.Producer: Matthew Dunne-MilesEditor: Dominic DelargyVideo: Loïs Dunford____________________________________The Laundry explores the complex world of financial crime, anti-money laundering (AML), compliance, sanctions, and global financial regulation.Hosted by Marit Rødevand, Fredrik Riiser, and Robin Lycka, each episode features in-depth conversations with leading experts from banking, fintech, regulatory bodies, and investigative journalism — dissecting headline news, unpacking regulatory trends, and examining the real-world consequences of non-compliance.The Laundry is proudly produced by Strise.Get in touch: laundry@strise.aiSubscribe to our newsletter, Fresh Laundry, here. Hosted on Acast. See acast.com/privacy for more information.

Welcome to Risky Women Radio, the podcast that spotlights the bold, brilliant women leading change across risk, compliance, and governance. In an era where "uncertainty" has been upgraded from a buzzword to a permanent state of being, we sit down with the leaders who navigate the chaos so the rest of us can sleep at night. In this episode, Zhiyun Nai, Managing Director at Protiviti, is joined by Jean Chung, Chief Compliance Officer for Hong Kong, Greater China, and North Asia at Standard Chartered Bank. Jean is a veteran of the compliance world who has spent over two decades bridging the gap between policy and purpose. From setting international standards in Singapore to advising the Korea FIU on crypto assets, Jean has seen it all. She joins us to discuss the "80/20 rule" of global regulation, why AI might actually make her team's lives better (rather than just replacing them), and how the definition of leadership has evolved from "don't be too soft" to "empathy is your superpower". SHOWNOTES 2:19 – The Global Commonality Myth 5:48 – AI as the Ultimate Intern 13:08 – Innovation vs. The Deepfake Arms Race 23:31 – The Evolution of "Soft" Leadership 26:15 – Taking the Leap of Faith

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs.Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you!There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently.If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today!Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $)Market performance, yields & geopolitics (02:39–03:38)US dollar trends & equity headwinds (05:48–07:39)Bear market signals & short interest (09:22, 24:58)Private credit liquidity risks (11:41–16:15)Economic sentiment & Fed outlook (19:09–23:41)Positioning & market timing cautions (03:38, 25:20)Hosts:Mark McEvily - Chief Investment Officer and Managing Partner Matthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing PartnerAddress: 35 Park Ave. Dayton, OH 45419 Phone: 937-938-9105 https://www.jessupwealthmanagement.com/Social Media:Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagementTwitter: @jessupwealth Instagram: @jessupwealthhttps://www.jessupwealthmanagement.com/disclosures-page

One wrong portfolio choice can turn a tax-saving strategy into a taxable mistake. Here's how to prevent it. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews experienced entrepreneur and investor Jason Marcus, who discusses the realities of building, funding, and scaling companies in today's capital environment. This conversation explains the difference between fast money and smart money, emphasizing why alignment between founders and investors is essential and why disciplined decision-making is more important than market timing. For RIAs advising entrepreneurial clients or investing alongside them, it offers practical insights on navigating volatility and minimizing downside risk. Key Takeaways: → Not all funding is created equal. Strategic investors who bring experience, relationships, and discipline can be far more valuable than simply the highest valuation offer. → Clear expectations between founders and investors, especially around time horizons and exit strategy, can prevent costly misalignment later. → Entrepreneurs often underestimate how long it takes to achieve liquidity. Building financial buffers and exit optionality protects both business and family stability. → Markets fluctuate, industries trend, but disciplined underwriting and thoughtful scaling remain constant drivers of long-term success. → RIAs can add significant value by helping founders think holistically about personal wealth planning, tax strategy, and diversification beyond their primary business asset. Jason Marcus serves as Chief Operating Officer and Chief Compliance Officer at Scharf Investments, where he recently helped lead one of the largest active mutual fund-to-ETF conversions of the year. Blending executive leadership with deep operational expertise, he oversees firm operations, compliance, and strategic execution during pivotal moments of growth and change. Prior to joining Scharf in 2010, Jason spent eight years at Fairholme Capital Management in multiple operational roles during a period of rapid asset expansion, gaining firsthand insight into how structure, scale, and disciplined execution create the foundation for long-term investment success. Connect With Jason: Website: https://scharfinvestments.com/ LinkedIn: https://www.linkedin.com/company/scharfinvestments/ Learn more about your ad choices. Visit megaphone.fm/adchoices

The GENIUS Act of 2025 was a watershed moment in the legal framework for stablecoins, but now implementing regulations are due in July, and many key questions are far from settled. How will the regulation will be carried out, how will systemic risks be addressed, how big a role will banks play in stablecoins, what role will stablecoins assume in the broader payment system, how will yield-bearing arrangements using stablecoins be treated, who will bear the regulatory costs? On March 31, 2026, the Federalist Society's Financial Services Practice Group will convene a panel of leading practitioners, regulators, and policy thinkers to examine these questions and the implementation landscape ahead. Featuring:Hon. Michael S. Barr, Member, Board of Governors of the Federal Reserve SystemHon. Summer Mersinger, Chief Executive Officer, Blockchain AssociationAlex Pollock, Senior Fellow, Mises InstituteGreg Xethalis, General Counsel and Chief Compliance Officer, Multicoin Capital (Moderator) Gary Kalbaugh, Partner, Cahill Gordon & Reindel

In this bonus third episode from Pay360, recorded live at ExCeL London, we bring together four more leading voices from across the payments ecosystem to unpack the technologies, risks and innovations shaping the industry's next chapter. Graham Barrett spoke with: 1/ Simeon Miles, Senior Partnership & Global Schemes Manager, Netcetera 2/ Subramaniam Sundaram, Senior Director, Head of Solutions Management, Pismo 3/ Willem Wellinghoff, UK Chair and Chief Compliance Officer, Ecommpay 4/ Luc Gueriane, CEO, Moorwand Across the conversations, they explore how organisations are responding to the rapid rise of AI‑driven fraud, the shift toward instant payments, and the pressure to modernise legacy infrastructure. Our guests share practical perspectives on authentication, tokenisation, regulatory change, and the emerging world of agent‑driven commerce. Recorded on the show floor, this episode captures the energy and urgency of Pay360, offering a concise snapshot of the trends, risks and opportunities that will define the future of payments.

The City Bar's Presidential Task Force on AI and Digital Technologies dives deep into the six pillars of President Trump's March 2026 Cyber Strategy for America: Shape Adversary Behavior; Promote Common Sense Regulation; Modernize and Secure Federal Government Networks; Secure Critical Infrastructure; Sustain Superiority in Critical and Emerging Technologies; and Build Talent and Capacity. Task Force co-chair Jerome Walker joins Sabeena Ahmed Liconte (Head of Legal & Chief Compliance Officer, Americas at ICBC Standard Bank Group) and Alex Southwell (Partner, McDermott Will & Schulte) to discuss the “aspirational” strategy in its totality, including its offensive, defensive, and future-minded qualities, as well as its challenges and the surrounding requirements for the strategy to be successful and ensure global compliance. If you are interested in learning more about emerging AI developments and policy, join us for the 2026 Artificial Intelligence Conference on June 18 to hear from industry experts and connect with leading legal professionals across the field. 00:00 Welcome and Cyber Strategy Overview 02:07 Meet the Panelists 04:44 Big Picture Reactions 12:30 Pillar One - Shape Adversary Behavior 28:28 Pillar Two - Promote Common Sense Regulation 42:19 Pillar Three - Modernize and Secure Federal Government Networks 52:22 Pillars Four & Five - Secure Critical Infrastructure & Sustain Superiority in Critical and Emerging Technologies 01:01:23 Pillar Six - Build Talent and Capacity 01:06:11 Closing Thoughts

In this transformative episode, Joe Patneaude, Owner of JP Coaching, shares how to break through the silent ceiling and scale without chaos in stage 2. If you struggle with growth stalling despite effort and feeling trapped doing everything yourself, you won't want to miss it.You will discover:- Why founder heroics create invisible ceilings that block sustainable scaling.- How to shift from operator to leader by building repeatable systems early.- What mindset and structure changes turn daily firefighting into strategic freedom.This episode is ideal for for Founders, Owners, and CEOs in stage 4 of The Founder's Evolution. Not sure which stage you're in? Find out for free in less than 10 minutes at https://www.scalearchitects.com/founders/quizJoe Patneaude is an executive coach and business scalability strategist who helps founders break through the “silent ceiling” that stalls growth after early success. With more than 25 years in financial services, Joe built his career from the mailroom to the C-suite, serving as Director of Technology, COO, and Chief Compliance Officer before building and selling multiple businesses of his own. He is the creator of the STAR Scalability℠ Method. This framework aligns Strategy, Team, Assets, and Rewards to eliminate operational drag and help leaders reclaim time, restore clarity, and scale with confidence. Want to learn more about Joe Patneaude's work at JP Coaching? Check out his website at https://jpcoachingnow.com/Connect with Joe through his LinkedIn at https://www.linkedin.com/in/joepatneaude/ Follow him on his Facebook at https://www.facebook.com/jpcoachingnow Follow him on his Facebook at https://www.instagram.com/star_scalability_expert/ Check out his YouTube Channel at https://www.youtube.com/@JPCoachingNowMentioned in this episode:Take the Founder's Evolution Quiz TodayIf you're a Founder, business owner, or CEO who feels overworked by the business you lead and underwhelmed by the results, you're doing it wrong. Succeeding as a founder all comes down to doing the right one or two things right now. Take the quiz today at foundersquiz.com, and in just ten questions, you can figure out what stage you are in, so you can focus on what is going to work and say goodbye to everything else.Founder's Quiz

What does it take to transform from a technical legal expert into a strategic conductor of organisational change? Keiko Uchida, Head of Legal and Compliance at Roche Diagnostics Japan, shares her journey to leadership from playing the figurative “violin in an orchestra” to becoming “the conductor.”Discover what it means to move from solving one case with 100 pieces of evidence to solving 100 questions with almost none, and why doubling productivity in Japanese companies has become Keiko Uchida's driving purpose.If you enjoyed this episode and it inspired you in some way, we'd love to hear about it and know your biggest takeaway. Head over to Apple Podcasts to leave a review and we'd love it if you would leave us a message here!In this episode you'll hear:The powerful conversation that shifted her entire career trajectoryWhy being a housewife became her greatest strength rather than a setbackHow Keiko is building a regional legal network across APAC Her favourite book and other fun facts About KeikoKeiko Uchida is the Head of Legal & Compliance at Roche Diagnostics K.K., where she sits on the leadership team as a direct report to the CEO and oversees legal affairs, compliance, data privacy, corporate governance, and risk management across the organisation.Since joining Roche in 2022, Keiko has played a pivotal regional leadership role, earning the “Change Maker of the Year 2024” award for APAC in recognition of her impact in building a high-performing, collaborative legal network across the region, as well as driving market-focused partnerships between legal, security, and commercial operations teams. One of her team members was also recognised as VIP of the Year 2024 within Roche Diagnostics Japan — a reflection of her strength as a people leader.Before Roche, Keiko served as Corporate Officer, General Counsel, Chief Compliance Officer, and Data Privacy Officer at AXA General Insurance Co., Ltd., where she led legal and compliance transformation initiatives during a period of organisational change. She previously held senior legal and corporate secretary roles within AXA, and earlier in her career practiced as a lawyer in private practice after completing her legal training in Japan.Keiko's career is uniquely cross-sector, with earlier professional experience in financial institutions including J.P. Morgan and Shinsei Trust Bank, as well as academic work as an Assistant Professor at a research center of The University of Tokyo. She later returned to the University of Tokyo to complete her J.D., following a Master's degree in law from Kyoto University.Recognised on the Legal 500 GC Powerlist Japan 2023, a panelist at GC Summit 2024, and co-author of a practical legal handbook on contract law published in 2023, Keiko is known for blending deep legal expertise with organisational leadership and strategic thinking.Her professional passion lies in balancing opportunity and risk while building high-performing organizations, and outside of work she enjoys traveling and exploring new cultures.Connect with KeikoLinkedIn: https://www.linkedin.com/in/keiko-uchida-3bab7a30/ LinksHow to Win Friends and Influence People: https://amzn.asia/d/09azrBtm Connect with Catherine LinkedIn https://www.linkedin.com/in/oconnellcatherine/Instagram: https://www.instagram.com/lawyeronair

In this episode of Great Women in Compliance, Lisa Fine speaks with Becky Rohr, Chief Compliance Officer and Head of Investigations at Ericsson. Becky talks about how her career journey led her to join Ericsson during a monitorship to strengthen their investigations function. To do that, she focused on conducting fair, thorough, and efficient investigations, enhancing investigator training, and improving processes for collecting and reviewing digital evidence within a global organization. This led to her being named Chief Compliance Officer at Ericsson and to the benefits of integrating investigations and compliance.  Not only did this lead to the continued evolution of their compliance function, but it also connected hotline reports, investigations, and remediation by using creative approaches to reinforcing ethics at Ericcson. Lisa and Becky also discuss how the Ericcson team has addressed workplace misconduct globally, sustaining compliance improvements after a monitorship ends, and the importance of leadership communication in maintaining a strong ethical culture. The conversation also touches on culture change, addressing workplace misconduct globally, and how organizations can sustain strong compliance programs even after regulatory oversight ends. Finally, Becky reflects on her decision to leave Ericsson and take a “power of the pause” moment before deciding on her next chapter—an approach that highlights the value of reflection and intentional career choices.

On this episode of Astonishing Healthcare, Lloyd Fiorini, General Counsel & Chief Compliance Officer at Judi Health, returns to the studio for a discussion about the barrage of regulatory changes shaping the pharmacy benefit manager (PBM) landscape in early 2026. Within just two weeks, the Department of Labor announced new proposed rules, the Consolidated Appropriations Act of 2026 became law, and the FTC's announced a settlement with Express Scripts. Then, to top it all off, TrumpRx went live.Lloyd offers clear, helpful explanations of the key takeaways from each of these concurrent reforms aimed at improving transparency and how PBMs operate and interact with the other stakeholders in the supply chain, from independent pharmacies to patients and plan sponsors (employers). Whether you're responsible for a self-funded plan or overseeing a Medicare Part D plan, this episode provides the detail and insights about where the puck is going that you need. As Lloyd said, "I think we've made a great step forward, but the work isn't done."It's also worth giving a shoutout to previous guest Jim Winkler, as "Change is Imminent" is in the title of AH090!Episode HighlightsThe Department of Labor's historic proposed rules on PBM disclosures fills a gap left by the CAA of 2021The Consolidated Appropriations Act of 2026 redefines the financial alignment of pharmacy benefits beyond just Medicare Part Patient/plan member protection seems to be what the FTC's recent settlement was all aboutTrumpRx signals a broader shift toward transparent, cost-plus pricing models, but it's just for cash-paying customers, at least for nowDelinking and efforts to block vertical integration are hotly contestedRelated ContentAH095 - What's in Store for the New Year? A Special Round-Robin Episode of Astonishing HealthcareHow to obtain Rx data and what to do with itAH096 - A Quick Government Programs Update: The IRA & MPPP, Managing D-SNPs, and More, with Jason BarrettoSigns it is time to change your PBM vendor, and how to overcome common hesitationsReference LinksUS Department of Labor proposes historic pharmacy benefit manager fee disclosure rule (January 29)PBM Reforms Signed Into Law, Reshaping Medicare Part D Drug Pricing Transparency (February 3)FTC Secures Landmark Settlement with Express Scripts to Lower Drug Costs for American Patients (February 4)TrumpRx Launches (February 6)For more information about Judi Health and this episode, please visit Judi Health - Insights.

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs.Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you!There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently.If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today!Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $)Show Notes:Blog Post from Matt Cerminaro on February 24th titled “The Craziest Stat of 2026” - https://chartkidmatt.com/p/the-craziest-stat-of-2026 IRS Tax Withholding EstimatorUS-Israel strike on Iran & market reaction – VIX peaked mildly, institutional buying, investor confidence (03:24) Midterm year volatility expectations – Weak early months, Q4 rebound, historical resilience (06:41) Middle East conflicts & supply chain containment – Limited market disruption, quick recovery (09:23) US dollar trends & international equity outlook – Unexpected 3.5–4% rebound, impact on global stocks, diversification advice (12:12, 14:30) Mortgage rates & housing affordability – 30-year rates below 6%, improved buying conditions, sticky home prices (15:22, 16:30) Tech sector (MAG7) valuation shifts – Low valuations vs. defensive sectors, potential buying opportunities (18:13, 21:20, 28:37) Market technicals & behavioral insights – S&P 500 moving average contraction, disciplined investing, long-term perspective (22:33, 25:25) Tax planning & IRS tools – Withholding estimator, biannual review, avoiding penalties (31:46, 33:15)  Hosts:Mark McEvily - Chief Investment Officer and Managing Partner Matthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing PartnerAddress: 35 Park Ave. Dayton, OH 45419 Phone: 937-938-9105 https://www.jessupwealthmanagement.com/ Social Media:Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagementTwitter: @jessupwealth Instagram: @jessupwealthhttps://www.jessupwealthmanagement.com/disclosures-page

In this episode of Pearls On, Gloves Off, Mary sits down with Bill Ryan, Senior Vice President and Chief Compliance Officer at AT&T, and Ava Guo, Assistant Vice President and Senior Legal Counsel, to talk about leading through the AI inflection point inside a global legal department. As tools evolve monthly and expectations rise, the real differentiator isn't access to technology, it's execution. Bill and Ava share how they're thinking about urgency, culture, ROI, and outside counsel alignment in a world where everyone has AI. If you're trying to separate hype from operational reality, this conversation delivers. In this episode: Execution is the differentiator: "Vision without execution is hallucination" - why moving from experimentation to delivery is what actually matters. ROI has to be measurable: Beyond "time saved," how they track precision, reduced document review, hours, dollars - and build trust over time. AI increases volume, not just efficiency: As courts, consumers, and counterparties use AI too, filings and complexity are rising. Mindset beats mastery: Why they're hiring for curiosity and adaptability over deep tenure or tool-specific expertise. Not everything is a GenAI problem: The continued importance of structured systems, legacy tools, and disciplined workflows. Law firm relationships are evolving: What urgency, partnership, and value look like from the client side in an AI-accelerated market. Join Mary's Substack Community Follow Mary on LinkedIn Rate and review on Apple Podcasts  

This week I had the pleasure of siting down with James Billig, retired LEO and threat mitigation expert. James is also the founder of Blueline SCG with a focus on keeping our communities safe from the active shooter threat. The conversation James and I had revolved around real, sustainable solutions to the problems faced not only;y in our schools but our houses of worship. Sit back and give this episode a listen and when you're done put the folks that are responsible for the safety of your kids and places of worship in touch with James. Im sure he can add value to the programs you already have in place. jamesbilligsjc@gmail.com(Cell) 772-631-3653More Information about James:Very pleased to share that I have taken on the role as Chief Compliance Officer and Law Enforcement Liaison for United Against Child Trafficking (U-ACT.org). Although my efforts will continue to mitigate active shooter tragedies as CEO of BLUELINE Life Safety, my heart is committed to applying my expertise to prevent the rapidly growing child sex trafficking, abuse and exploitation threat to our innocent youth, and bring the deviants who seek to destroy their lives to Justice. Thank you for taking the time to give this podcast a listen. If you would like more information on other Law enforcement Life Coach initiatives, our "Sometimes Heroes Need Help" wellness seminar or our One-On-One life coaching please visit :www.lawenforcementlifecoach.comJohn@lawenforcementlifecoach.comAnd if you would like to watch the interview you can view it in it's entirety on the Law Enforcement Life Coach YouTube Channel : https://studio.youtube.com/channel/UCib6HRqAFO08gAkZQ-B9Ajw/videos/upload?filter=%5B%5D&sort=%7B%22columnType%22%3A%22date%22%2C%22sortOrder%22%3A%22DESCENDING%22%7D

If you've been enjoying The Independent Advisors podcast for a while now and want to take the next step in your financial journey, I'd encourage you to head to our website, jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) . Matt offers a 15-minute initial call where you can discuss your financial goals and see if JWM is a good fit for your needs.Scheduling is easy—once you land at jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) just click “Schedule Initial Call” and select a time that works best for you!There's a quick survey to fill out that will help guide the conversation and ensure your time is used efficiently.If you're ready to learn more, visit jessupwealthmanagement.com (https://www.jessupwealthmanagement.com/) and book your call today!Take advantage of our partnership with LifeLock and get discounts using our link: https://lifelock.norton.com/offers?expid=LLONEYEAR&promocode= JSPW24&VENDORID= _JESSUPWM&om_ext_cid=ext_partner_ JSPW24_Productpage $)· Post-pandemic travel spending surge - travelers prioritizing experiences over luxury goods (22:12)· Younger travelers spending more on travel despite financial pressures (17:49)· Rising luxury travel costs, including €2,000/night hotels in Italy (23:42)· Increase in multi-generational travel across life stages· Long-term travel planning (5–10 years) integrated with financial planning (05:28)· Early planning saves money vs. last-minute bookings, especially around holidays (10:52)· Travel advisor value & compensation model (design fees + commissions) (25:21)· Relationship-based personalization improves trip quality and reduces stress (14:53)· Importance of travel insurance for high-cost trips and risk mitigation (18:54)· Managing geopolitical risk & booking flexibility in unstable regions (29:27)· Emerging and alternative destinations to avoid crowds and improve value (27:43) https://www.huffmantravel.com/team/andre-lauren-tony Hosts:Mark McEvily - Chief Investment Officer and Managing Partner Matthew Jessup – Chief Executive Officer, Chief Compliance Officer, and Managing PartnerAddress: 35 Park Ave. Dayton, OH 45419 Phone: 937-938-9105 https://www.jessupwealthmanagement.com/ Social Media:Facebook: @JessupWealthManagement LinkedIn: @JessupWealthManagementTwitter: @jessupwealth Instagram: @jessupwealthhttps://www.jessupwealthmanagement.com/disclosures-page

In this episode, Dawn Rock-Tremble, Senior Vice President and Chief Compliance Officer at Encompass Health, shares leadership advice, key compliance trends, and how healthcare organizations are preparing for the growing impact of AI and evolving regulations across states.

In this Money Talks: Joe Salama, Chief Compliance Officer at Coinbase and anti-money laundering expert, joins Felix Salmon to give us a rundown on the current state of money laundering around the world. They'll get into the ongoing battle between criminals and AML to stay one step ahead of the other, why money laundry is thriving in China right now, and how the rise of cryptocurrency factors into the whole thing. Join Slate Plus to unlock weekly bonus episodes. Plus, you'll access ad-free listening across all your favorite Slate podcasts. You can subscribe directly from the Slate Money show page on Apple Podcasts and Spotify. Or, visit slate.com/moneyplus to get access wherever you listen. Podcast production by Jessamine Molli and Cheyna Roth. Hosted on Acast. See acast.com/privacy for more information.

In this Money Talks: Joe Salama, Chief Compliance Officer at Coinbase and anti-money laundering expert, joins Felix Salmon to give us a rundown on the current state of money laundering around the world. They'll get into the ongoing battle between criminals and AML to stay one step ahead of the other, why money laundry is thriving in China right now, and how the rise of cryptocurrency factors into the whole thing. Join Slate Plus to unlock weekly bonus episodes. Plus, you'll access ad-free listening across all your favorite Slate podcasts. You can subscribe directly from the Slate Money show page on Apple Podcasts and Spotify. Or, visit slate.com/moneyplus to get access wherever you listen. Podcast production by Jessamine Molli and Cheyna Roth. Hosted on Acast. See acast.com/privacy for more information.

In this Money Talks: Joe Salama, Chief Compliance Officer at Coinbase and anti-money laundering expert, joins Felix Salmon to give us a rundown on the current state of money laundering around the world. They'll get into the ongoing battle between criminals and AML to stay one step ahead of the other, why money laundry is thriving in China right now, and how the rise of cryptocurrency factors into the whole thing. Join Slate Plus to unlock weekly bonus episodes. Plus, you'll access ad-free listening across all your favorite Slate podcasts. You can subscribe directly from the Slate Money show page on Apple Podcasts and Spotify. Or, visit slate.com/moneyplus to get access wherever you listen. Podcast production by Jessamine Molli and Cheyna Roth. Hosted on Acast. See acast.com/privacy for more information.

In this episode, Susan Barrett, General Counsel and Chief Compliance Officer at Monte Nido, discusses the organization's mission to expand access to comprehensive eating disorder treatment across the U.S. She shares insights on leadership, compliance in a rapidly changing healthcare landscape, and key trends shaping behavioral health, including regulation, technology, and AI.

In this episode, Susan Barrett, General Counsel and Chief Compliance Officer at Monte Nido, discusses the organization's mission to expand access to comprehensive eating disorder treatment across the U.S. She shares insights on leadership, compliance in a rapidly changing healthcare landscape, and key trends shaping behavioral health, including regulation, technology, and AI.

In this episode, Susan Barrett, General Counsel and Chief Compliance Officer at Monte Nido, discusses the organization's mission to expand access to comprehensive eating disorder treatment across the U.S. She shares insights on leadership, compliance in a rapidly changing healthcare landscape, and key trends shaping behavioral health, including regulation, technology, and AI.

This is the twenty-eighth episode in the Crypto Hipster's Curtain Calls Series, which includes 3–4-minute clips from Seasons 6-8. This compilation draws upon my conversations with:Max Galash, CEO @ Coinchange (7/28/2024, Season 7)Hedi Navazan, Chief Compliance Officer @ 1inch Group (2/9/2025, Season 8)Nick Motz, CIO @ Soil (5/29/2025, Season 8)Cecilia Hsueh, co-founder and CEO @ Morph (2/14/2025, Season 8)

Episode 95 of Astonishing Healthcare features six previous guests on the show who share astonishing observations from 2025 and some bold predictions for the New Year! Industry veteran Jeffrey Hogan, our General Counsel and Chief Compliance Officer, Lloyd Fiorini, ERISA law expert Nick Welle, two of our clinical leaders – Sarra Izadi, PharmD, Chief Clinical Officer, and Bonnie Hui-Callahan, PharmD, CDCES, Sr. Director, Clinical Programs, and our Chief Technology Officer and Co-Founder, Ryan Kelly, joined us for this round-robin discussion that's packed with insightful reflections and optimism about the future. We won't ruin it in the show notes, but based on what we saw in 2025: Everyone has finally had enough of the costs and opacity of the U.S. healthcare system – a $70k family premium is truly astonishing It's surprising that, despite the lawsuits, warnings, and reform efforts, the proverbial hammer didn't drop on anyone for not being a good health plan fiduciary The speed and impact of AI have broadly been more positive than expected The rise of cardio-diabesity How GLP-1s helped shift the balance of power in the pharmaceutical supply chain And in 2026, we may see: Employers fight back – they take agency over their plans, and for first movers that started with transitioning to aligned PBMs, it's “game on” for the rest of their health plans The cash price – or acquisition cost – of drugs in the U.S. becomes the baseline – i.e., we finally see a real change in how drugs are priced ICHRAs and other alternative models become more popular Employers look to new clinical programs and models that demonstrate a return on their spending AI become more important for clinical workflows (not decision-making, at least not yet) Pharmaceutical manufacturers find themselves with increasing bargaining power vs. traditional PBMs A new Stanley Cup champion, and a Super Bowl ring for… Related Content Judi Health Policy Pulse: 2025 Regulatory Roundup, the Push for PBM Reform Replay - Unifying Medical and Pharmacy Benefits: The Blueprint for Better Employee Health and Wellness AH094 - How Unified Claims Processing Evolved from Pharmacy: Improving Member Care & Operating Efficiency Health Benefits 101: The Importance of Clinical Programs How to obtain Rx data and what to do with it For more information about Capital Rx and this episode, please visit Judi Health - Insights.

DeFi has always promised trust without intermediaries, but as the ecosystem matures, that promise is being stress-tested by hacks, institutional risk limits, and regulatory pressure.To unpack whether DeFi can scale without sacrificing neutrality or permissionlessness, Katherine Kirkpatrick Bos, General Counsel of StarkWare, and Jessi Brooks, General Counsel & Chief Compliance Officer at Ribbit Capital, joined the podcast to discuss their paper “Trust Without Intermediaries: A Programmable Risk Management Framework for the Future.”The paper sparked controversy across the DeFi community, with critics arguing it could open the door to protocol-level compliance or re-intermediation. In this episode, Katherine and Jessi explain that the paper proposes something different.Timestamps: ➡️ 01:31 — Why write this paper?➡️ 07:55 — Institutional DeFi and why one-size-fits-all doesn't work➡️ 09:43 — Compliance as a commercial choice, not a mandate➡️ 11:38 — Risk scoring in DeFi➡️ 15:37 — Technical de-risking➡️ 18:23 — Optional evolution➡️ 20:59 — Not protocol-level compliance➡️ 25:49 — Opt-in DeFi➡️ 30:44 — Lessons from the backlash and public debate& much more. Sponsor: : ⁠⁠ This episode is brought to you by ⁠⁠⁠Day One Law⁠, a boutique law firm helping crypto startups navigate complex legal challenges. Subscribe to ⁠⁠⁠Day One's free monthly newsletter⁠⁠⁠ for legal and regulatory updates.Resources:

Interview with Noah Perlman, Chief Compliance Officer of Binance. In this episode of the Future of Crypto Compliance series, we explore how AI could transform compliance, whether zero-knowledge KYC can go mainstream, the risks of deepfake scams, and the future of privacy coins and sanctions enforcement. This is a special episode of The Future of Crypto Compliance podcast series exploring the trends, disruptions, and regulatory forces shaping the crypto space. In this episode, we touch upon the following topics:- Can AI reduce false positives, and will regulators accept it? - The rise of zero-knowledge KYC and global passporting - Deepfakes, social engineering, and the new frontier of fraud - Are privacy coins here to stay? - Will regulators ever harmonise globally on crypto? - How to build a career in crypto compliance - TradFi vs crypto: who will lead on compliance innovation? Powered by ACX Compliance – the world's largest crypto compliance specialised managed services provider. By crypto compliance professionals. For crypto compliance professionals. The full interview is also available on my YouTube channel: YouTube: https://bit.ly/3YkYoV2  

By Adam Turteltaub What do a secret wedding and Richard Nixon have in common with HIPAA? A lot more than you might think, shares Bailey Mack, Chief Compliance Officer at Together for Youth. In this podcast she tells us the interesting history of privacy and the law.  We begin in 1890 when a photographer trespassed to photograph a wedding he wasn't supposed to be photographing.  Thirty eight years later in the Olmstead case, wiretapping wasn't deemed intrusive because no one entered the room.  It was as if a privacy violation could occur only if there was trespassing involved. That began to change in the 1960s in which thinking evolved and the idea gained currency that privacy was about violations of the person's right to privacy, rather than to property. Watergate led to further changes in which citizens were given access to government records about them.  And, since then, more legislation has come and likely will. Listen in to learn more, and if you're an SCCE or HCCA member, don't miss her article in Compliance & Ethics Professional® magazine.

How you prepare your organization to use AI determines whether it becomes a productivity tool or another piece of abandoned software. Join host Kirsten Schlumbohm, Vice President and Head of Annuity Sales at C2P, as she sits down with Luke Ripienski, CFP®, Chief Compliance Officer, and Dustin Anaas, Compliance Analyst, to explore how advisory firms can adopt AI without creating unnecessary risk. Learn how to identify high-value use cases in your practice, establish governance frameworks that work, and train AI to become a productive team member. From review processes to data exposure pitfalls, this episode provides the practical roadmap advisors need to implement AI with confidence.Resources:AI Platforms Referenced: ChatGPT, Gemini, Perplexity, Microsoft CopilotSoftware referenced: Zoom AI Companion, Zocks

By Adam Turteltaub Executive presence isn't simply walking in the room and having everyone instantly feel that that you are in charge.  It is something different explains Jay Greenberg, the recently retired Chief Compliance Officer at the FBI.  Instead, it is being powered by your core values and then making a maximum positive contribution to any situation by fully investing yourself to achieving that assigned mission. Executive presence, he shares, is a skill acquired through the application of experience, coupled with a great deal of self-reflection that focuses on self-confidence, core values and the help of mentors. Also of great value: preparation and confidence that is informed by past experiences, including failures.  Even star leaders didn't magically emerge, he reminds us.  They learned from their failures, missteps and other learning experiences. It doesn't matter, he explains, if you are working with leadership or rank and file employees.  Know your core values, who you are, your positive character traits and focus ahead of time.  It will help you feel self-contained and confident.  He also advises keeping a bit of mental distance, being both a participant and an observer at the same time.  It will help you tailor your approach to the outcome you want.  Also, be sure you understand the perspective of your audience. Listen in to learn more about how you can master the skills of executive presence.

It has returned … and so have we! More than just a legal event, the General Counsel Conference East empowers today's legal leaders for growth, innovation, and excellence. Designed specifically for general counsel, legal executives, and industry professionals, the GCC East is the premier gathering that offers unique opportunities for learning, networking, and professional development.  With a description like that, combined with the fact that we've been there since year one of our launch, how could Legal Speak not be there doing live episodes.  This year, the conference moved to the beautiful Midtown Hilton in New York, a place we're quite familiar with, as it's been home to Legal Week for decades. In this episode, host Patrick Smith sat down with Erin Wiggins, General Counsel and the Chief Compliance Officer at Williams Lea, RR Donnelley   Host: Patrick Smith Guest: Erin Wiggins Producer: Charles Garnar

By Adam Turteltaub Uh oh.  The Feds are in the front lobby with a search warrant.  Things are bad, and you don't want anyone on site to make it worse. The secret is preparation, shares Veronica Xu, SCCE & HCCA Board Member and Chief Compliance Officer, HIPAA Privacy Officer, ADA Administrator at Saber Healthcare Group.  That begins with establishing a cross-functional team that likely includes compliance, the general counsel, CEO, CTO and, depending on your industry, the chief medical officer and others. Each should play a part in shaping the plan and be ready to play their part if a raid occurs. In addition, onsite staff, right down to the receptionist, needs to understand their responsibilities, including whom to call for help.  Not only will that avoid very costly mistakes, it will help reduce errors, fear and stress at what will likely be an extremely difficult time. What an individual gets trained on will vary by role.  Yet, there is one commonality to the training.  Everyone needs to know the importance of staying calm, being polite and respectful. Be sure to also outline the do's and don'ts. There's one other thing she strongly advises: remember to communicate with your workforce.  Be as transparent as possible and avoid conflicting messages.  That will keep the lines of communication open and help avoid the speculation that can make the disruption even worse. Listen in to learn more, and then take a fresh look at your current plans for responding to a government raid.

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/  

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 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.

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/

✨ 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.