Episodes

  • Navigating Regulatory Challenges in 2025 with Allison Lagosh

    Navigating Regulatory Challenges in 2025 with Allison Lagosh
    May 9 2025
    What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These questions are but three of the many questions we will explore in this cutting edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. In this episode, Tom is joined Allison Lagosh, Head of Compliance at Saifr.ai about the current and future landscape of regulatory compliance. Lagosh discusses key regulatory focus areas for 2025, including AI and its intersection with compliance, the expansion of AML rules to investment advisors, and the importance of accurate AI representation. She also touches on the challenges of an ever-changing regulatory environment, providing strategies for future-proofing compliance programs and managing uncertainty. Alison offers practical advice for compliance officers, emphasizing the need for continuous education, reliance on sound vendor management, and the integration of AI governance within firms. Key Highlights Key regulatory focus areas for 2025, especially from the SEC and FINRA? How are firms adjusting their compliance strategies to align with these expectations? What are the new AML rules for Investment Advisors? How are compliance functions currently leveraging AI technologies? What are the practical challenges and benefits of integrating AI into a firm’s compliance infrastructure? What can compliance officers do now to future-proof their programs for upcoming regulatory changes? Resources Allison Lagosh on Linkedin Saifr.ai Tom Fox Instagram Facebook YouTube Twitter LinkedIn Check out my latest book Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.
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    24 mins
  • Transforming Compliance Through AI with Marcelo Erthal

    Transforming Compliance Through AI with Marcelo Erthal
    Apr 25 2025
    What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These questions are but three of the many questions we will explore in this cutting edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. In this episode, Tom is joined Marcelo Erthal, CEO of Click Compliance, to discuss the transformative role of AI in driving compliance. Marcelo shares his professional background in computer science and the journey that led to the founding of Click Compliance. He highlights the unique challenges faced by the compliance industry in Brazil and how AI can be leveraged to address these issues effectively. Marcelo delves into the innovative applications of AI by Click Compliance, including their AI-powered whistleblower channel, and emphasizes the importance of integrating technology with human decision-making to enhance ethical practices and compliance culture within organizations. Tune in to gain insights into the future of compliance and how AI is shaping the industry. Key Highlights · AI's Impact on Compliance in Brazil · The AI-Powered Whistleblower Channel · The Future of AI in Compliance · User Experience and Ethical Considerations Resources Marcelo Erthal on Linkedin ClickCompliance Email Marcelo-marcelo@clickcompliance.com Tom Fox Instagram Facebook YouTube Twitter LinkedIn Check out my latest book Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.
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    31 mins
  • Harnessing AI and Innovation: A Deep Dive into Compliance and Disruption with Jag Lamba

    Harnessing AI and Innovation: A Deep Dive into Compliance and Disruption with Jag Lamba
    Apr 4 2025
    What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These are but three questions we will explore in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. In this episode, Tom is joined by Jag Lamba for a discussion on the intersection of innovation and disruption. Jag frames his thoughts on disruption through theories from Clayton Christensen and practical examples from ventures like Tesla. They explore how these concepts translate to the compliance world, particularly through the lens of artificial intelligence. Jag elaborates on the role of generative AI in streamlining third-party risk management, from data gathering to ongoing monitoring. He shares insights on embedding compliance into core business processes, reducing friction, and creating commercial value, highlighting success stories and future potential. They look into the use of RegTech for policy management and regulatory updates, emphasizing the importance of automation for modern compliance frameworks. The podcast showcases how AI can transform compliance from a costly necessity to a strategic asset that drives business efficiency and growth. Key highlights: Understanding Disruption and Innovation Elon Musk’s Approach to Innovation AI in Third Party Risk Management The Value of AI in Compliance RegTech for Automated Compliance Embedding Compliance into Business Processes Resources: Jag Lamba on LinkedIn Certa AI Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    37 mins
  • Harnessing Generative AI for Compliance: An Interview with Eric Sydell

    Harnessing Generative AI for Compliance: An Interview with Eric Sydell
    Mar 28 2025
    What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These are but three questions we will explore in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. In this episode, Tom is joined by Eric Sydell, co-founder and CEO of Vero AI, to discuss the intersection of AI and compliance. Eric shares his unique journey from industrial psychology to HR technology and ultimately to the realm of compliance through AI. They explore how Vero AI utilizes generative AI to analyze and interpret vast amounts of unstructured data at scale, such as text, video, and imagery. Eric emphasizes that AI provides a scalable solution for compliance processes, reducing manual labor and increasing efficiency. Eric discusses the importance of AI governance in compliance, particularly in light of emerging standards like ISO 42001 and the EU AI Act. He introduces the Vero AI’s Violet Impact Model, which provides a comprehensive framework for evaluating the impact of algorithms and complex systems. The conversation covers practical applications of Vero AI in corporate procurement and risk management, highlighting how the tool can assist compliance officers in continuously monitoring and improving their compliance programs. Eric concludes by explaining how businesses can reach out to learn more about implementing these advanced AI-driven solutions. Key highlights: Generative AI and Unstructured Data AI in Compliance and Predictive Models AI Governance and Monitoring The Violet Impact Model Vero AI in Risk Management and Procurement Resources: Eric Sydell on Linkedin Vero AI Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    31 mins
  • Ali Khan on Implementing AI Risk Management Systems

    Ali Khan on Implementing AI Risk Management Systems
    Mar 20 2025
    What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? We will explore these three questions in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. In this episode, Tom is joined by Ali Khan, Head of Governance Risk & Compliance at Kandji and an Advisory Board Member (CAB) at Drata. This episode discusses the essential steps to effectively implement an artificial intelligence management system, as defined by ISO 42001. They start by understanding the standard requirements and expectations, performing a scoping exercise and gap assessment, and securing management’s commitment to the project. Key steps include revamping the risk assessment process to align with ISO 23894, which guides managing AI-related risks and using the NIST AI risk management framework. The design and implementation phase involves creating various AI policies, integrating AI deployment plans, and performing impact and risk assessments. They also discuss Kandji’s internal audit plan, third-party vendor assessment processes, and security awareness training to include AI-specific considerations. The beauty of ISO 42001 is its applicability to organizations of any size and industry that develop, produce, or use AI products or services. Key highlights: Understanding the Standard Requirements NIST AI Risk Management Framework Design and Implementation Creating AI Policies and Procedures Performing AI Impact and Risk Assessments Steps Taken for ISO 42001 Implementation Resources Ali Khan on Linkedin Kandji Website Kandji on LinkedIn and X Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    30 mins
  • Demystifying AI Integration in Compliance: Insights from the DOJ

    Demystifying AI Integration in Compliance: Insights from the DOJ
    Nov 22 2024
    What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These questions are but three of the many questions we will explore in this cutting edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. In this episode, Tom reflects on recent DOJ speeches on AI and the 2024 ECCP revisions concerning AI and compliance. We discuss the September speech by Deputy Assistant Attorney General Nicole Argentieri and the 2024 Evaluation of Corporate Compliance Programs (ECCP), Tom unpacks how compliance professionals are expected to rigorously manage AI-related risks. He offers actionable steps, such as conducting comprehensive risk assessments, implementing robust compliance controls, and ensuring ongoing monitoring and employee training. This episode is essential listening for compliance professionals aiming to stay ahead of AI-related challenges and align with the DOJ’s latest expectations. Key Highlights · DOJ's New Approach to AI in Compliance · Steps to Align Compliance Programs with DOJ Expectations · 2024 ECCP: Key Questions for Compliance Professionals · Proactive Strategies for Managing AI Risks Resources For additional information check out the FCPA Compliance and Ethics Blog. Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    17 mins
  • John Sun on Enhancing Compliance Processes with AI Technology

    John Sun on Enhancing Compliance Processes with AI Technology
    Nov 8 2024
    What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These are but three questions we will explore in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. In this episode, Tom visits with John Sun, the founder and CEO of Spring Labs. Spring Labs is a pioneering advocate for viewing compliance processes as crucial drivers of business efficiency rather than mere regulatory obligations. With his extensive experience in financial institutions, John understands the profound impact of well-managed compliance on decision-making and resource allocation. He argues that leveraging AI and data analytics in compliance enhances precision and effectiveness and transforms customer feedback into actionable insights that can lead to product innovation and operational improvements. At Spring Labs, John leads the charge by developing cutting-edge AI tools that empower compliance teams, demonstrating that a proactive approach to compliance can significantly boost an organization’s ROI and drive long-term growth. Key highlights: Insights from Complaints: Enhancing Business Operations Compliance Processes as Business Efficiency Enhancers Enhancing Compliance Processes with AI Technology Enhancing Business Efficiency through AI Analysis Enhancing Compliance Operations with AI Technology Resources: John Sun on LinkedIn Spring Labs Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    27 mins
  • Navigating AI Compliance: The EC Gang Reviews the 2024 ECCP

    Navigating AI Compliance: The EC Gang Reviews the 2024 ECCP
    Oct 18 2024
    What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These questions are but three of the many questions we will explore in this cutting-edge podcast series, Compliance and AI, hosted by Tom Fox, the award-winning Voice of Compliance. In this episode, Matt Kelly leads the Everything Compliance quartet of Susan Divers, Jonathan Marks, Karen Moore and Tom Fox through a look at Compliance and AI from the prism of the 2024 Evaluation of Corporate Compliance Programs (ECCP). Kelly examines the complexities of integrating artificial intelligence into corporate compliance frameworks, highlighting the DOJ's recent guidance on managing AI risks as laid out in the 2024 ECCP. In Deputy Attorney General Nicola Argentieri’s SCCE speech, she noted the overlooked AI risks and compliance requirements, emphasizes the need for businesses to assess both internal AI applications and external threats from malicious uses by scammers or fraudsters. The gang then delved into the dual aspect of AI risk - its creation and reception - and underlining the importance of comprehensive risk assessment and control measures in AI deployment, such as developing bug bounty programs and ensuring anti-fraud mechanisms are robust. We explored the role of compliance officers in AI oversight, focusing on the challenges in governing AI-generated decisions compared to human actions. With various insights on the legal and operational aspects of AI compliance, the discussion urges companies to evaluate the implications of AI use, both in risk management and ethical execution. Kelly examines the complexities of integrating artificial intelligence into corporate compliance frameworks, highlighting the DOJ’s recent guidance on managing AI risks as laid out in the 2024 ECCP. In Deputy Attorney General Nicole Argentieri’s SCCE speech, she noted the overlooked AI risks and compliance requirements and emphasized the need for businesses to assess both internal AI applications and external threats from malicious uses by scammers or fraudsters. The gang then delved into the dual aspect of AI risk—its creation and reception—and underlining the importance of comprehensive risk assessment and control measures in AI deployment, such as developing bug bounty programs and ensuring anti-fraud mechanisms are robust. We explored the role of compliance officers in AI oversight, focusing on the challenges in governing AI-generated decisions compared to human actions. With various insights on the legal and operational aspects of AI compliance, the discussion urges companies to evaluate the implications of AI use, both in risk management and ethical execution. Key Highlights: Understanding AI Risks Compliance Guidelines for AI AI in Fraud Prevention Challenges in AI Oversight Compliance Officers and AI Model Validation and AI Resources: Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    24 mins