Podcasts about wildly effective compliance officer

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

In the Sunday Book Review, I consider books that would interest the compliance professional, the business executive or anyone who might be curious. It could be books about business, compliance, history, leadership, current events or anything else that might interest me. In today's edition of the Sunday Book Review, we look at some of the top books on compliance you should read in 2024.   ·      The Business Guide to Effective Compliance and Ethics Tony Osborn and Andrew Hayward ·      How to be a Wildly Effective Compliance Officer by Kristy Grant-Hart ·      Fully Compliant by Travis Waugh ·      Governance, Risk Management and Compliance  by Richard Steinburg Resources The best compliance books for 2024 For more information on Ethico and a free White Paper on ROI for your compliance program, click here. Learn more about your ad choices. Visit megaphone.fm/adchoices

By Adam Turteltaub Compliance professionals can face a lot of resistance in the course of their work: leaders who don't have the time, budget limits, managerial indifference, and even outright hostility. But, sometimes the impediments are inside us. In this podcast, Kristy Grant-Hart, CEO of Spark Compliance Consulting and author of the new book Your Year as a Wildly Effective Compliance Officer, points out that sometimes we get in our own way. It's just easier for us to see what the external blocks are than it is to see those we create for ourselves. Overcome them, she argues by trusting your own value. Ask for what you want, and don't trust that others will see the need. And, when you do ask, be sure to make clear what value the compliance program provides. She also cautions against falling into Imposter Syndrome and feeling as if you don't belong in the room. Sitting there quietly doesn't help, in fact it hurts by giving others the impression that you and the compliance team are not adding value. Instead, speak up at every meeting so that you can be perceived as a contributor. On the personal level, set goals for yourself. Pick an area to deepen your expertise and another to grow personally, such as in speaking publicly or improving your productivity. Also, look to growing your network. Plan on attending in-person meetings and then follow up with the people you meet there. Don't just make them another entry in your Outlook contact list. When it comes to those external barriers, she advises not taking push back personally because most often it isn't personal. People have other commitments. In fact, look at why they are pushing back and evaluate if the criticism is fair. If it is, then adjust your efforts. If it isn't, let it go. Not everyone is going to get along with you. Finally, she discusses how to ensure you don't let work take over your life. Reserve time for family, friends and your passions, and keep those commitments. When it comes to after-hours emails and texts, don't answer them if you don't have to, or if you do, send a delayed respond. That way people learn you won't be responding 24/7/365. Be considerate, too. If you think of something in the evening and want to get a note out that isn't urgent, be sure to let the recipient know they don't need to respond right away. Listen in to learn more about how to clear your internal path and become your own best ally in compliance.

Compliance and ethics expert Kristy Grant-Hart joins us as she discusses the importance of the compliance function, how it plays into each aspect of ESG, and how CCOs are the most well-suited to take the first step in corporate ESG efforts. Watch ▶️ Leading Compliance Efforts as CCOs with Kristy Grant-Hart: Key points discussed in the episode: ✔️ Kristy Grant-Hart talks about the current situation at Spark Consulting, a book she co-authored, The Compliance Entrepreneurs Handbook, and its impact. ✔️ Compliance is a driver for reputation enhancement. People not only vote with their dollars but also their employee time. ✔️ Kristy Grant-Hart says the ability to gather people and put programs into a framework is what CCOs must have to lead ESG efforts. The 7 Elements of Effective Compliance Program can guide CCOs in creating an ESG program and its monitoring and implementation. ✔️ California becomes the first state to pass a gender-diversity-centered initiative. The social element of diversity goes deeper into the working conditions in the supply chain, sustainably-sourced products, and low carbon emissions. ✔️ With ESG, companies can be part of the solution. Bigger names shouldn't receive the brunt of the blame as businesses of all sizes should be accountable. ✔️ With the UK Modern Slavery Act, ESG has been placed at the forefront, pressuring companies to disclose the truth in what transpires in their supply chains. ✔️ Having a strong law background, Kristy Grant-Hart and Thomas Fox exchange ideas on the significance of lawyers in ESG endeavors. Learning the new jargon and talking to experts can help ease the hesitation to delve into this playing field. ✔️ CCOs are encouraged to be the frontrunners in compliance as they hold the authority to create a significant impact on a corporate scale. The ability to be relevant is a great opportunity in compliance. Kristy Grant-Hart is a compliance and data privacy thought leader specializing in transforming compliance departments into in-demand business assets. She's been featured in the Wall Street Journal, Financial Times, Compliance Week, Compliance and Ethics Professional Magazine, and many others. She was named a Trust Across America 2019 Top Thought Leader in Trust. She is the CEO of Spark Compliance Consulting, a London, Los Angeles, New York, and Chicago-based consultancy providing pragmatic, pro-business, proportionate compliance ethics solutions. She is the creator of Compliance Competitor, an facilitated online training game built on business simulation software. She's the author of the best-selling book, "How to Be a Wildly Effective Compliance Officer." LinkedIn: https://www.linkedin.com/in/kristygranthart/ ---------------------------------------------------------------------------- Do you have a podcast (or do you want to)? Join the only network dedicated to compliance, risk management, and business ethics, the Compliance Podcast Network. For more information, contact Tom Fox at tfox@tfoxlaw.com.

Kristy Grant-Hart, CEO of Spark Compliance Consulting, a London, Los Angeles, and Atlanta-based consultancy providing pragmatic, pro-business, proportionate compliance ethics solutions. She is the creator of Compliance Competitor, an facilitated online training game built on business simulation software.She's the author of the best-selling book, "How to Be a Wildly Effective Compliance Officer." In addition, Ms. Grant-Hart was an Adjunct Professor at Delaware Law School, Widener University, teaching Global Compliance and Ethics. She can be found at www.ComplianceKristy.com. She's a board member of the Society of Corporate Compliance and Ethics and Health Care Compliance Association, as well as the AIDS Healthcare Foundation UK.Show Notes:https://www.linkedin.com/in/kristygranthart/https://www.sparkcompliance.com/   

On this episode of Compliance Hero, Kathlyn (Lyn) L. Farrell speaks with Kristy Grant Hart, Founder and CEO, Spark Compliance Consulting, about “Five Ways to be a Wildly Effective Compliance Officer.”

Gift from Gene Ludwig - Compliance isn't Mickey Mouse This is a very special show because we recorded it directly from the bustling floor of the American Bankers Association’s 2017 Regulatory Compliance Conference. The RCC has long been the preeminent gathering of compliance professionals in the United States and, not surprisingly, it’s growing -- with another attendance record this year at 1800 people. That makes it one of the largest events of the US banking industry. We gathered in Orlando this summer to grapple with the huge array of challenges facing compliance professionals, from bank compliance officers and attorneys, to industry vendors, to the regulators themselves. The episode departs from our usual format. Instead of having one in-depth discussion with one guest, I had eight short conversations with a diverse group of compliance leaders. Each discussion is about twenty minutes. My guests, in order, are: Part 1 Gene Ludwig - Watson Financial and Promontory Financial Group Alistair Rennie - Watson Financial Kristi Grant Hart - Spark Compliance Consulting Andy Sandler - BuckleySandler, Treliant Risk Advisors, and Asurity Technologies Richard Harvey - Colonial Savings Part 2 Elizabeth Snyder - Plante Moran Brian Levy - Katten & Temple Rajeswari Sathappan - The Mercadien Group Daniel Stipano - Buckley Sandler The episode kicks off with a lively discussion with Eugene Ludwig and Allstair Renee. As many listeners know, Gene was previously the Comptroller of the Currency and then founded Promontory Financial. Last year, he surprised the financial world by selling Promontory to IBM Watson, to form Watson Financial. At the conference, I also moderated a fireside chat with Gene and Allistair Rennie.  It was the RCC’s first-ever session on regtech. -- and I predict it won’t be the last. On stage for our fireside chat, Gene Ludwig presented Alistair and me with...wait for it...Mickey Mouse ears (again, we were in Orlando). For better or worse, everyone in the room got the joke. People in finance have long complained about “Mickey Mouse” regulations that impose massive, hyper-technical requirements but produce only limited benefits. Gene’s gift signaled that technology is attacking that problem. We’re shifting from an analog-era regulatory approach to a digital-era one that will use data and machine learning to make compliance effective and efficient, through regtech. Watson Financial is part of a fast-growing regtech industry that is completely rethinking how compliance is done. Compliance isn’t Mickey Mouse anymore. To the contrary, in fact, there was a theme at this year’s conference about compliance officers as heroes. I’ve talked in past podcasts about this idea of “heroic compliance” -- that compliance people will increasingly be leaders in shaping the future of the industry. That’s counterintuitive, since compliance has traditionally been seen as a side issue in banking. Today, however, as technology transforms both finance financial regulation, we will see compliance executives at the front, shaping how the industry moves forward. They will be gatekeepers on what innovation can and cannot take hold, blocking harmful change but also opening the doors of the banking industry fortress to allow in new, better, more affordable products, and delivery channels, that can serve more people, profitably and at scale, in ways that actively foster consumer financial health. I think we should all begin to use the hashtag, #HeroicCompliance.   In the fireside chat, Alistair took this idea further, arguing that compliance officers may actually be the people who keep the banking industry competitive in a high-tech world. Why? As they adopt regtech, they’ll be at the forefront of innovating in how banks use data and AI -- and therefore leading the charge to break banks’ data out of it legacy silos and putting it to use -- first to transform compliance, and later, who knows? ...maybe to transform banking, itself. The conversations in this episode vary widely. We talked about regtech; the regulatory burden on community banks (including how regtech can help); how banking is changing; how compliance is changing; how regulators should balance use of rulemaking, supervision and enforcement; the grounding of compliance in mission and ethics; and the psychology of compliance, including that people sometimes look the other way on ethical failures in order to get along. We also discussed some of the top issues of the day, like AML and TRID. My guests have a mix of experience as regulators, lawyers, compliance officers, auditors, and compliance leaders, working with a wide range of large and small institutions. They have a wealth of insight into where we’ve been, where we are today, and where we should be going. More links ABA Regulatory Compliance Conference (plan to come next year -- June 24-27, Nashville!) Compliance resources from American Bankers Association www.ABA.com The artificial intelligence movie Her Kristi Hart Grant’s books, How to Be a Wildly Effective Compliance Officer and Wildly Strategic Compliance Officer Conference Andy Sandler mentioned (I’ll be speaking there) Regtech Enable, November 27-29 in Washington DC More on IBM www.IBM.com My previous podcast on Heroic Compliance with Treliant’s Lyn Farrell Lyn Farrell’s new podcast show, Compliance Hero Richard Harvey  RichardH@ColonialSavings.com Elizabeth Snyder  ElizabethSnyder@plantemoran.com Brian Levy BLevy@KattenTemple.com Raji Sathappan RSathappan@mercadien.com Daniel Stipano DStipano@BuckleySandler.com More for our listeners Please remember to review Barefoot Innovation on ITunes, and please sign up to get emails that bring you the newest podcast, newsletter, and blog posts, at jsbarefoot.com. Be sure to follow me on twitter and facebook.  And please send in your “buck a show” to keep Barefoot Innovation going. Support our Podcast Meanwhile, I’ll hope to see you at the events where I’ll be speaking this fall: Finovate, September 13th, New York City SourceMedia’s RegTech -- Compliance Transformed, October 3-4th, Brooklyn, NY BAI Beacon/Fintech Stage, October 4-5, Atlanta, GA CFSI Network Summit, Fireside Chat with Thomas Curry, October 5, Chicago, IL FISCA, October 5-8th, Las Vegas, NV Money 20/20, October 25th, Las Vegas, NV Monetary Authority of Singapore Fintech Festival, November 13-17, Singapore RegTech Enable, November 27-29th, Washington, DC Fintech Connect Live, December 6th, London S&P’s Fintech Intel, December 13, New York Meanwhile, keep innovating! Subscribe Sign up with your email address to receive news and updates. Email Address Sign Up We respect your privacy. Thank you!

From the main stage This is a very special show because we recorded it directly from the bustling floor of the American Bankers Association’s 2017 Regulatory Compliance Conference. The RCC has long been the preeminent gathering of compliance professionals in the United States and, not surprisingly, it’s growing -- with another attendance record this year at 1800 people. That makes it one of the largest events of the US banking industry. We gathered in Orlando this summer to grapple with the huge array of challenges facing compliance professionals, from bank compliance officers and attorneys, to industry vendors, to the regulators themselves. The episode departs from our usual format. Instead of having one in-depth discussion with one guest, I had eight short conversations with a diverse group of compliance leaders. Each discussion is about twenty minutes. My guests, in order, are: Part 1 Gene Ludwig - Watson Financial and Promontory Financial Group Alistair Rennie - Watson Financial Kristi Grant Hart - Spark Compliance Consulting Andy Sandler - BuckleySandler, Treliant Risk Advisors, and Asurity Technologies Richard Harvey - Colonial Savings Part 2 Elizabeth Snyder - Plante Moran Brian Levy - Katten & Temple Rajeswari Sathappan - The Mercadien Group Daniel Stipano - Buckley Sandler The episode kicks off with a lively discussion with Eugene Ludwig and Allstair Renee. As many listeners know, Gene was previously the Comptroller of the Currency and then founded Promontory Financial. Last year, he surprised the financial world by selling Promontory to IBM Watson, to form Watson Financial. At the conference, I also moderated a fireside chat with Gene and Allistair Rennie.  It was the RCC’s first-ever session on regtech. -- and I predict it won’t be the last. On stage for our fireside chat, Gene Ludwig presented Alistair and me with...wait for it...Mickey Mouse ears (again, we were in Orlando). For better or worse, everyone in the room got the joke. People in finance have long complained about “Mickey Mouse” regulations that impose massive, hyper-technical requirements but produce only limited benefits. Gene’s gift signaled that technology is attacking that problem. We’re shifting from an analog-era regulatory approach to a digital-era one that will use data and machine learning to make compliance effective and efficient, through regtech. Watson Financial is part of a fast-growing regtech industry that is completely rethinking how compliance is done. Compliance isn’t Mickey Mouse anymore. To the contrary, in fact, there was a theme at this year’s conference about compliance officers as heroes. I’ve talked in past podcasts about this idea of “heroic compliance” -- that compliance people will increasingly be leaders in shaping the future of the industry. That’s counterintuitive, since compliance has traditionally been seen as a side issue in banking. Today, however, as technology transforms both finance financial regulation, we will see compliance executives at the front, shaping how the industry moves forward. They will be gatekeepers on what innovation can and cannot take hold, blocking harmful change but also opening the doors of the banking industry fortress to allow in new, better, more affordable products, and delivery channels, that can serve more people, profitably and at scale, in ways that actively foster consumer financial health. I think we should all begin to use the hashtag, #HeroicCompliance.   In the fireside chat, Alistair took this idea further, arguing that compliance officers may actually be the people who keep the banking industry competitive in a high-tech world. Why? As they adopt regtech, they’ll be at the forefront of innovating in how banks use data and AI -- and therefore leading the charge to break banks’ data out of it legacy silos and putting it to use -- first to transform compliance, and later, who knows? ...maybe to transform banking, itself. The conversations in this episode vary widely. We talked about regtech; the regulatory burden on community banks (including how regtech can help); how banking is changing; how compliance is changing; how regulators should balance use of rulemaking, supervision and enforcement; the grounding of compliance in mission and ethics; and the psychology of compliance, including that people sometimes look the other way on ethical failures in order to get along. We also discussed some of the top issues of the day, like AML and TRID. My guests have a mix of experience as regulators, lawyers, compliance officers, auditors, and compliance leaders, working with a wide range of large and small institutions. They have a wealth of insight into where we’ve been, where we are today, and where we should be going. More links ABA Regulatory Compliance Conference (plan to come next year -- June 24-27, Nashville!) Compliance resources from American Bankers Association www.ABA.com The artificial intelligence movie Her Kristi Hart Grant’s books, How to Be a Wildly Effective Compliance Officer and Wildly Strategic Compliance Officer Conference Andy Sandler mentioned (I’ll be speaking there) Regtech Enable, November 27-29 in Washington DC More on IBM www.IBM.com My previous podcast on Heroic Compliance with Treliant’s Lyn Farrell Lyn Farrell’s new podcast show, Compliance Hero Richard Harvey  RichardH@ColonialSavings.com Elizabeth Snyder  ElizabethSnyder@plantemoran.com Brian Levy BLevy@KattenTemple.com Raji Sathappan RSathappan@mercadien.com Daniel Stipano DStipano@BuckleySandler.com More for our listeners Please remember to review Barefoot Innovation on ITunes, and please sign up to get emails that bring you the newest podcast, newsletter, and blog posts, at jsbarefoot.com. Be sure to follow me on twitter and facebook.  And please send in your “buck a show” to keep Barefoot Innovation going. Support our Podcast Meanwhile, I’ll hope to see you at the events where I’ll be speaking this fall: Finovate, September 13th, New York City SourceMedia’s RegTech -- Compliance Transformed, October 3-4th, Brooklyn, NY BAI Beacon/Fintech Stage, October 4-5, Atlanta, GA CFSI Network Summit, Fireside Chat with Thomas Curry, October 5, Chicago, IL FISCA, October 5-8th, Las Vegas, NV Money 20/20, October 25th, Las Vegas, NV Monetary Authority of Singapore Fintech Festival, November 13-17, Singapore RegTech Enable, November 27-29th, Washington, DC Fintech Connect Live, December 6th, London S&P’s Fintech Intel, December 13, New York Meanwhile, keep innovating! Subscribe Sign up with your email address to receive news and updates. Email Address Sign Up We respect your privacy. Thank you!

In this episode I am joined by Ruth Steinholtz of AretéWork, Jonathan Armstrong of Cordery Compliance and Kristy Grant-Hart of Spark Compliance Consulting and author of How To Be a Wildly Effective Compliance Officer for a roundtable discussion of the recently concluded SCCE European Compliance and Ethics Institute. We discuss some of the highlights, the changes this group of compliance practitioners has seen and where compliance may be headed in 2017 and beyond. Learn more about your ad choices. Visit megaphone.fm/adchoices

This is a condensed version of an interview that Cailie Currin conducted with Kristy Grant-Hart, author of the book “How to be a Wildly Effective Compliance Officer.” For the full interview and other webinars offered by Currin Compliance Services, visit http://www.currincompliance.com/webinars.