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  • Anik Singal on His Journey from Digital Marketer to Compliance Advocate

    Anik Singal on His Journey from Digital Marketer to Compliance Advocate
    2024/11/05
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance as he visits with top innovative minds, thinkers and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom Fox sits down with Anik Singal, an expert in digital marketing and compliance. We discuss the often-overlooked aspects of compliance in direct marketing business. Singal shares his remarkable journey from being an online marketer for over two decades, to facing a civil investigative demand from the FTC just as he was about to sell his company. This life-altering experience led him to focus on marketing compliance, resulting in the creation of an AI-powered software, a podcast, a book, and an academy aimed at helping businesses market compliantly while still achieving high conversion rates. The episode delves into the complexities of FTC, SEC, and FINRA regulations, and provides actionable insights into maintaining compliance to avoid legal pitfalls. Key Highlights · The Turning Point: FTC Investigation · Lessons Learned and New Mission · Understanding FTC Marketing Compliance · The Pentagon of Compliance · The Importance of Substantiation in Marketing · The 'Don't Say That' Podcast Resources Anik Singal on LinkedIn Complily Don’t Say That podcast Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    35 分
  • Revolutionizing Compliance: AI’s Role in Shaping The Future of Compliance Financial Institutions

    Revolutionizing Compliance: AI’s Role in Shaping The Future of Compliance Financial Institutions
    2024/10/29
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom Fox has an enlightening discussion with John Sun, CEO of Spring Labs, sponsor of this podcast, as they delve into the transformative impact of AI on compliance in the financial sector. John shares his journey from a Chief Risk Officer at Avant to leading Spring Labs, an AI company focused on creating innovative compliance tools for financial institutions. The episode explores the significant gap in existing compliance tools and the company’s contributions to making compliance processes more efficient and adoptable. They cover the challenges faced by compliance professionals in communicating the value of these tools to quantitative-oriented stakeholders and highlight how AI-powered solutions like Zanko ComplianceAssist, Agent Assist, and Customer Assist are enhancing efficiency and accuracy. Additionally, the conversation touches on how AI is being used to convert unstructured conversational data into actionable insights, leading to better business decisions and process improvements. This episode offers valuable insights for financial institutions aiming to use customer feedback as a strategic resource and emphasizes the growing importance of AI in compliance and data management. Key Highlights: The Genesis of Spring Labs Strategic Value of Compliance Management Leveraging AI in Compliance Streamlining Customer Service with AI Leveraging Data for Business Efficiency AI’s Role in Structuring Data Future of AI in Compliance Resources: John Sun on LinkedIn Spring Labs Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    28 分
  • Monica Goyal on Tech-Driven Solutions for Law Firms

    Monica Goyal on Tech-Driven Solutions for Law Firms
    2024/10/22
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian. In this episode, Tom welcomes Monica Goyal, the Vice President for Legal Innovation and Lawyer at Caravel LLC and Briefly LLC, to explore the transformative potential of technology in the legal industry. Monica has a non-traditional journey to the legal profession, beginning with her educational background in electrical engineering and firsthand experience in Silicon Valley. From this perspective and after law school and work in the legal field, she observed multiple process inefficiencies. She discusses how advanced technologies like generative AI and data analytics can address these inefficiencies, improving corporate governance, contract management, and the overall delivery of legal services. Monica highlights the importance of legal innovation officers in law firms and the role of Caravel Law’s unique model in providing backend support to legal professionals, allowing them to escape administrative tasks and focus on core legal work. She also touches on the innovative concept of fractional in-house counsel, which serves businesses needing more support than external counsel without the full expense of a general counsel. Listeners will gain insights into the growing necessity for legal tech skills and the benefits of tools such as Athennian for document automation. Monica underscores the value of emerging technologies and encourages further exploration of resources like Caravel and Briefly for legal professionals. Key Highlights: Monica Goyal’s Unique Journey into Law Innovations in Corporate Legal Departments Communicating Tech Solutions to Legal Professionals Caravel’s Unique Business Model Management with Athennian Future of Legal Tech and Data Analytics Resources: Monica Goyal on LinkedIn Caravel LLC Athennian Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    24 分
  • Tech Evolution in Real Estate Law: A Conversation with Christy-Ann Jordaan

    Tech Evolution in Real Estate Law: A Conversation with Christy-Ann Jordaan
    2024/10/15
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian. In this episode, Tom welcomes Christy-Ann Jordaan, a Paralegal with extensive experience in the commercial real estate sector. Christy discusses her career journey, starting from her early days in law firms to her current role at BOSA Properties in Vancouver. She elaborates on the evolution of technological solutions in the legal field, emphasizing the benefits of automating manual tasks and enabling self-service information access. Christy highlights how these innovations have improved efficiency, reduced workload, and enhanced service quality. She shares insights into the implementation of Athenian, a digital solution for managing corporate records, which has transformed their operations by centralizing data and enabling secure access. Looking ahead, Christy is excited about future tech advancements, including AI-powered corporate record management. Listeners are encouraged to connect with her on LinkedIn or explore BOSA Properties’ website for more information about the company’s endeavors. Key Highlights: Christy’s Professional Journey Technological Evolution in Legal Work Athenian Solution: A Game Changer Future Tech Solutions and AI Resources: Christy-Ann Jordaan on LinkedIn Bosa Properties Athennian Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    18 分
  • Tina Grubisa on Creating a Culture of Governance with Athennian

    Tina Grubisa on Creating a Culture of Governance with Athennian
    2024/10/08
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. This month’s sponsor of Innovation in Compliance is Athennian. In this episode, Tom welcomes Tina Grubisa, Industry Consultant, Fund Operations at Athennian, to discuss how Athennian can help to drive a culture of governance at your organization. In this episode, Tina Grubisa discusses her career transition from finance to a tech startup, ultimately landing at Athennian as a Fund Operations consultant. Athennian, a cloud-based entity management platform, is known for aiding private equity, law firms, and corporations in automating compliance tasks and enhancing corporate governance. The conversation covers Athennian’s value proposition in the market, focusing on its innovative use of AI to evolve from a system of record to one of engagement and intelligence. Tina highlights Athennian’s role in helping clients stay ahead of regulatory demands, such as the SEC’s private fund rule, and building a culture of governance within an ESG framework. Additionally, the platform’s user experience and customer feedback are integral to its ongoing innovation process. Tina also explores future trends in governance and compliance, emphasizing the increasing importance of transparency and the potential impact of AI by 2030. Key Highlights: Building a Culture of Governance Corporate Trends and AI in Governance Future of Workflow Platforms Advice for GRC Professionals Going Forward Resources: Tina Grubisa on LinkedIn Athennian Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    25 分
  • Evie Wentink on Rethinking Compliance

    Evie Wentink on Rethinking Compliance
    2024/10/01
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom welcomes back Evie Wentink to discuss the importance of rethinking ethics and compliance practices. Evie shares insights from her recent LinkedIn articles on best practices for ethics hotlines and the importance of finding creative ways to engage employees in compliance topics. She reads a whimsical Dr. Seuss-inspired piece on reaching ethics hotlines and emphasizes the need for compliance messaging to be approachable and engaging. Additionally, Evie discusses the challenges compliance professionals face with limited budgets and offers practical solutions such as leveraging LinkedIn for networking and creating low-cost, effective compliance awareness tools. The conversation also touches on the significance of changing the narrative around ethics and compliance for younger generations. Evie shares her experiences discussing compliance with her children and highlights the need for better education in schools to prepare future employees. She concludes by mentioning her new website, Ethical Edge Experts, and various platforms she’s using to spread compliance awareness. Tom and Evie agree on the necessity of continuous dialogue and innovation in the compliance field. Key Highlights: Rethinking Compliance Practices Creative Messaging for Ethics Hotlines Leveraging Low-Cost Resources Engaging Managers in Compliance Resources: Evie Wentink on LinkedIn Evie’s Top 10 Compliance Back to Basics Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    27 分
  • Greg Shultz on Key Traits for Compliance Professionals: Connecting and Listening

    Greg Shultz on Key Traits for Compliance Professionals: Connecting and Listening
    2024/09/17
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance as he visits with top innovative minds, thinkers and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom welcomes Greg Shultz, the founder of Conformitise, to take a deep dive into his journey in operationalizing compliance in some of the world’s largest companies. Shultz also advises into the essential skills required for a thriving career in compliance. Emphasizing the importance of active listening, Shultz shares the significance of listening again before advising, to foster a collaborative partnership with business teams. Forming personal connections is highlighted, particularly through face-to-face interactions with investment teams, which helps in understanding different personas and building strong relationships over time. Our discussion also touches on the evolving role of data analytics in the compliance field, stressing its criticality in managing global data and mitigating risk in today's super funds landscape. This episode is a must-listen for anyone aiming to step into or advance within the compliance profession. Key Highlights · Introduction to Compliance Professional Skills · The Importance of Listening and Advising · Building Strong Relationships · The Role of Data Analytics in Compliance Resources Greg Shultz on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    31 分
  • Travis Howerton on Revolutionizing Compliance: Integrating Automation for Digital Transformation

    Travis Howerton on Revolutionizing Compliance: Integrating Automation for Digital Transformation
    2024/09/10
    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, Tom welcomes back, Travis Howerton, a co-founder of RegScale, the sponsor for this episode, to take a deep dive into automating compliance solutions for the digital transformation of compliance. Howerton advocates for the integration of automation in compliance to keep pace with rapid technological advancements, thereby maintaining competitiveness and efficiency. Through digitizing regulations by using the latest standards and forming strategic partnerships, Howerton and RegScale are transforming traditional compliance from a manual, burdensome task into an automated, streamlined process, thereby redefining the role of compliance professionals as key contributors to secure and innovative operations. We discuss the three pillars of cybersecurity: confidentiality, integrity, and availability. While much focus is placed on safeguarding confidentiality to protect sensitive information, the speaker highlights that integrity issues pose a significant threat, particularly in sensitive industries like healthcare and critical infrastructure. Compromised integrity can lead to dire physical consequences, making it the most concerning aspect of cybersecurity. Key Highlights: Introduction to Cybersecurity’s Three-Legged Stool Focus on Confidentiality in Cybersecurity The Critical Importance of Data Integrity Real-World Implications of Integrity Issues The Sleepless Nights of a Cybersecurity Analyst Resources: Travis Howerton on LinkedIn RegScale Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    28 分