Innovation In Compliance With Tom Fox

This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. In this fifth and final podcast, we look down the road of financial institution communications compliance. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He has a rich background in supporting a global trading floor, giving him a unique perspective on data loss and compliance challenges. His perspective

This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. In this fourth podcast, we ask if you must accentuate the negative. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He specializes in the voice regulatory compliance capture world, particularly emphasizing the financial industry. He firmly believes in the importance of data quality in financial industry c

This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. In this third podcast, we take a deep dive into data analysis and insights. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He specializes in enhancing surveillance systems through data analysis and risk management. His perspective on this topic is shaped by his commitment to bridging the gap between what

This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. In this second podcast, we consider how to be compliant. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. He believes the shift towards these models has increased the need for digital compliance solutions, as communication and collaboration have become predominantly digital. Fry emphasizes the importance o

This week, I have a special five-part podcast series sponsored by Verint on the Future of Communication in Financial Compliance. My guest in this series is Phil Fry, VP and GTM of Financial Compliance Strategy at Verint. Over this series, we will take a deep dive into the current status of communications in financial institutions, how to be or not be compliant, analysis and insight into the area, and how to avoid accentuating the negative and the human element in compliance. This first podcast considers the current communications status in financial institutions. Phil Fry, the VP and General Manager of Financial Compliance Strategies at Verint, brings over forty years of experience in the financial compliance industry and a deep understanding of the challenges financial firms face in adhering to regulations amidst evolving communication modes. Fry’s perspective on “adapting financial compliance solutions to evolving communication modes” is shaped by the significant transformations in the financial compliance

Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. One of those areas is financial services communications compliance. My guest in this episode is Jamie Hoyle, VP of Product at MirrorWeb Jamie Hoyle is a seasoned software engineer and technology executive with a strong background in compliance and communication surveillance. He currently serves as the VP of Product at MirrorWeb, where he leverages his expertise in capturing and utilizing metadata from native APIs and platforms to provide valuable business intelligence in communication surveillance. Jamie’s perspective on the topic of “MirrorWeb: a surveillance platform for digital communication compliance” is that communications compliance is a crucial aspect of regulatory enforcement actions, which are only increasing. He emphasizes the importance of capturing insights from emerging platforms and technologies and scaling these surveillance platforms to meet the requirements of both regulated and

Innovation comes in many areas, and compliance professionals need to not only be ready for it but embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is David CM Carter, founder of the Entelechy Academy. David Carter is a seasoned entrepreneur and business expert with a diverse background in corporate finance and investment banking. He has worked in seven different countries over ten years, owned and operated golf and country clubs, and authored a book published in 138 countries. Carter's perspective on Entelechy Academy's approach to personalized professional development is that it democratizes the mentoring and coaching services previously only available to a select few. He sees the academy as his legacy project, combining all his career experiences into one final endeavor focusing on character development to help individuals achieve their full potential. Carter emphasizes the importance of return on investment and offers a transformative phase that includes ongoing data

Innovation comes in many areas, and compliance professionals must be ready for and embrace it. One of those areas is telehealth and telemedicine. My guest in this episode is Tyler Barron, Chief Revenue Officer at Encapture, who visits with me about innovation in banking compliance. Encapture is a machine learning platform streamlining back-office processes for banks and lenders, particularly compliance and data reporting. Using document automation and machine learning, Encapture improves efficiency and reduces risk in the document lifecycle. The platform ensures accurate data submission to regulatory authorities and provides audit trails for regulatory purposes. Internal referrals are a powerful marketing tool that allows for an easier transition into becoming an approved supplier. The future of banking compliance lies in bringing intentional insight and value to financial institutions. Encapture aims to deliver year-over-year value and be seen as mission-critical to its client’s businesses. With increasing r

The Global Business Ethics Survey (GBES) conducted by the Ethics & Compliance Initiative (ECI) provides valuable insights into workplace ethics and compliance from the perspective of employees. Tom Fox recently had the opportunity to visit with ECI CEO Pat Harned on the 2023 GBES. This survey has become a reliable benchmark for organizations to compare their workplace culture with third-party research, allowing them to identify areas for improvement and address potential risks. Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 5 of a five-part podcast, we why companies need a strong ethical culture and high-quality compliance program. Pat Harned, CEO of ECI (Ethics & Compliance Initiative) and a leading expert in

The Global Business Ethics Survey (GBES) conducted by the Ethics & Compliance Initiative (ECI) provides valuable insights into workplace ethics and compliance from the perspective of employees. Tom Fox recently had the opportunity to visit with ECI CEO Pat Harned on the 2023 GBES. This survey has become a reliable benchmark for organizations to compare their workplace culture with third-party research, allowing them to identify areas for improvement and address potential risks. Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 4 of a five-part podcast, we explain why companies need a strong ethical culture and high-quality compliance program. The 2023 GBES strongly advocates for the establishment of a robust ethi

The Global Business Ethics Survey (GBES) conducted by the Ethics & Compliance Initiative (ECI) provides valuable insights into workplace ethics and compliance from the perspective of employees. Tom Fox recently had the opportunity to visit with ECI CEO Pat Harned on the 2023 GBES. This survey has become a reliable benchmark for organizations to compare their workplace culture with third-party research, allowing them to identify areas for improvement and address potential risks. Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 3 of a five-part podcast, we consider addressing workplace misconduct. The 2023 GBES showed that within workplace ethics, retaliation, and whistleblower protection issues, retaliation is a

The Global Business Ethics Survey (GBES) conducted by the Ethics & Compliance Initiative (ECI) provides valuable insights into workplace ethics and compliance from the perspective of employees. Tom Fox recently had the opportunity to visit with ECI CEO Pat Harned on the 2023 GBES. This survey has become a reliable benchmark for organizations to compare their workplace culture with third-party research, allowing them to identify areas for improvement and address potential risks. Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 2 of a five-part podcast, we consider addressing workplace misconduct. Pat’s views on workplace misconduct have been shaped by her belief in the importance of a strong relationship between

The Global Business Ethics Survey (GBES) conducted by the Ethics & Compliance Initiative (ECI) provides valuable insights into workplace ethics and compliance from the perspective of employees. Tom Fox recently had the opportunity to visit with ECI CEO Pat Harned on the 2023 GBES. This survey has become a reliable benchmark for organizations to compare their workplace culture with third-party research, allowing them to identify areas for improvement and address potential risks. Over the past 30 years of GBES research, ECI has identified and proven that certain “outcome” metrics are indicative of the well-being of workplaces from an ethics & compliance perspective. In this, the largest and latest update to the GBES body of research, employees in 42 countries around the world told us that there is reason for concern. In Part 1 of a five-part blog post series on the 2023 GBES, Tom Fox and Pat Harned provide an overview of the GBES. Pat Harned is a seasoned compliance professional committed to fostering ethical c

Innovation comes in many areas, and compliance professionals need to not only be ready for it but embrace it. One of those areas is podcasting. Tom Fox’s guest in this episode is Megan Dougherty, co-founder of One Stone Creative. They discussed the upcoming Podcasting for Business Conference. In this virtual conference, scheduled for November 13-15, there will be a deep dive into strategies and best practices for effective business podcasting. Additionally, the Conference will cover a wide range of important factors that impact the success of a business podcast, including interviewing techniques, collaboration with remote teams, podcast reach, guest selection, and real-life examples of podcasts connecting brands with audiences. To conclude the conference, Megan will present her annual State of Business Podcasting Report, which provides valuable insights and data on best practices for podcasting businesses. Key Highlights: Translating Complex Information for Podcast Audiences Maximizing Podcast Reach with St

Welcome to a special five-part podcast series on enhancing corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In this concluding Part 5, Tom Fox discusses the ROI of a true culture of speaking up. Strong reporting systems and a robust corporate culture must be balanced in business efficiency. One great academic paper dem

Welcome to a special five-part podcast series on enhancing corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In Part 4, Tom Fox visits Meric Bloch on how a robust speak-up culture will improve your compliance program. Meric Bloch is an expert in workplace investigations with a rich background in helping corporate client

Welcome to a special five-part podcast series on enhancing corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In Part 3, Tom Fox visits with Jakub Ficner on the importance of your triage protocol and investigative process to foster a culture of speaking up. Jakub Ficner has over 15 years of experience in the internal inv

Welcome to a special five-part podcast series on enhancing corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In Part 2, Tom Fox visits with Kenneth McCarthy on the importance of non-retaliation and protections for those who speak up. Kenneth McCarthy is a seasoned professional with a diverse background in government and

Welcome to a special five-part podcast series on enhancing your corporate culture through a great speak-up regime. This podcast series is sponsored by Case IQ. Over this series, Tom Fox will visit with Sharlyn Lauby, Jakub Ficner, Kenneth McCarthy, and Meric Bloch on the different facets of a great speak-up regime and how each of those facets will improve your corporate culture. They will tackle such topics as the indicia of a great corporate culture, the importance of triage and internal investigations in improving corporate culture, non-retaliation and protections for those who speak up, tying your entire system of speaking up to improving culture, and conclude with some thoughts on how an entire system of speaking up drives corporate culture to be better run and, at the end of the day, more profitably. In Part 1, Tom Fox visits Sharlyn Lauby to consider what a speak-up culture is. Sharlyn Lauby is a seasoned human resources professional with over 15 years of experience in various industries, including them

Welcome to a special series on building a stronger culture of compliance through targeted and effective training sponsored by Diligent. I will visit with Yvette Hollingsworth-Clark, Viktor Culjak, Jessica Czeczuga, Michael Parker, and Alexander Cotoia in this series. Over this series, we will consider what culture is, how to assess culture, putting together a strategy to manage culture based upon this assessment, monitoring that strategy in the future, and using information from your monitoring to improve your culture continuously. In this concluding Part 5, we visit with Alexander Cotoia to discuss a strategy to enhance your compliance program in the future constantly. Alexander Cotoia, a regulatory compliance manager and consultant at the Volkov Law Group, has a rich background in commercial litigation and has spent a significant part of his career in an in-house role at Virgin Galactic. Alexander strongly emphasizes the importance of compliance culture in organizations, believing that a culture promoting c