Episodes

  • Exploring the Intersection of Compliance, Technology, and AI with Ben Sperry

    Exploring the Intersection of Compliance, Technology, and AI with Ben Sperry
    May 8 2025
    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 series is introduced by Tom Fox and hosted by Roxeanne Petraeus. The sponsor of this special five-part series on Innovation in Compliance is Ethena. In this episode, Roxanne Petraeus explores intersection of compliance, technology, and AI with Ben Sperry, Deputy Chief Compliance Officer at Bestow. Sperry is a tech-driven life insurance provider that shares its journey from political science and legislative analysis to its current compliance role. The discussion delves into Bestow's innovative approach to making life insurance accessible through technology and the challenges and strategies of implementing effective compliance training programs. Sperry highlights the importance of employee engagement and specific training tailored to different roles and departments. He also discusses the increasing significance of AI in the compliance landscape, both in terms of governance and practical application, and shares insights on using AI to enhance training effectiveness. The episode discusses the value of close vendor support and technical integration to streamline compliance processes. Key Highlights Bestow's Unique Approach to Life Insurance Challenges and Strategies in Compliance Training Leveraging AI in Compliance Future Trends and Final Thoughts Resources: Roxanne Petraeus on LinkedIn Ethena Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    24 mins
  • Understanding Human Trafficking and Modern Slavery: A Business Imperative with Clint Palermo

    Understanding Human Trafficking and Modern Slavery: A Business Imperative with Clint Palermo
    May 6 2025
    Innovation comes in many areas, and compliance professionals must be ready for and 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. Today, we begin a 3-part podcast series sponsored by Diligent with Clint Palermo, Kristy Grant-Hart, and Stephanie Font. In part 1, we discuss understanding human trafficking and modern slavery: a business imperative with Clint Palermo, Senior Manager (Due Diligence) at Diligent. Tom and Clint take a dive into the pressing issues of human trafficking and modern slavery and their significance to the business community. Palermo highlights his professional journey in compliance, beginning in 2018 at Diligent, and discusses the regulatory landscape across various jurisdictions, including notable laws like Canada’s S-211, the EU’s CS3D Directive, and the US’s Uyghur Forced Labor Prevention Act. The conversation emphasizes the importance of knowing third parties (KY3P), managing reputational risks, and maintaining continuous due diligence to ensure ethical business practices and compliance. Key highlights: Significance of Human Trafficking and Modern Slavery Global Regulations on Forced Labor Impact of Forced Labor on Businesses Reputational Risks and Moral Imperatives Solutions and Compliance Programs Resources: Clint Palermo on LinkedIn Visit Diligent Website Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    20 mins
  • Training Synergy: Insights from Compliance and HR Integration with Lori Stahl

    Training Synergy: Insights from Compliance and HR Integration with Lori Stahl
    May 1 2025
    Innovation comes in many areas, and compliance professionals must be ready for and 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 series is introduced by Tom Fox and hosted by Roxanne Petraeus. The sponsor of this special five-part series on Innovation in Compliance is Ethena. In this episode, Roxanne Petraeus visits with Lori Stahl, Chief People Officer at Synaptics Incorporated. Stahl discusses the intersection of HR and compliance training and covers the importance of a seamless, non-siloed approach to training; the challenges of staying current with compliance laws; and the benefits of using an external platform like Ethena for consistency and ease. Stahl also highlights the value of tailored, role-specific training and real-time microlearning to enhance employee engagement and effectiveness. The conversation concludes with a discussion on future innovations, including the potential of AI and adaptive learning in compliance training. Key highlights: HR and Compliance Training Overlaps Challenges of Siloed Training Effective Compliance Strategy Choosing Athena for Compliance Training The Importance of Customer Success Future of Compliance Training Resources: Lori Stahl on LinkedIn Synaptics Incorporated on LinkedIn Synaptics Incorporated Website Ethena Website Roxanne Petraeus on LinkedIn Ethena on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    25 mins
  • Exploring the Fractional COO Model with La Tonya Roberts

    Exploring the Fractional COO Model with La Tonya Roberts
    Apr 29 2025
    Innovation comes in many forms, and compliance professionals need to be ready for it and 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, host Tom Fox visits with La Tonya Roberts to discuss the concept of the fractional COO and how it can benefit organizations of all sizes. Roberts shares her professional journey, including transitioning from working for a major consulting firm to becoming an entrepreneur and fractional COO. She emphasizes the importance of strategic planning, relationship building, and effective change management in achieving business success. She also highlights how fractional COOs can provide valuable expertise to visionary founders and smaller companies, ensuring operations run smoothly and effectively. They explore the critical role of a fractional COO in supporting business growth, optimizing processes, and leveraging AI to enhance efficiency. Roberts introduces her Operations Gold Mine Framework, an eight-part process that helps businesses develop sustainable and scalable operations. Listeners will gain insights into the unique challenges and opportunities presented by the fractional COO model and practical tips for fostering resilience and creativity in the entrepreneurial space. Key highlights: • Roberts’s Professional Journey• The Fractional COO Model• Leveraging AI in Business• CEO and COO Relationship Dynamics• Operations Gold Mine Framework Resources La Tonya Roberts on LinkedIn Harmony Consulting Tom Fox Instagram Facebook YouTube Twitter LinkedIn Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.
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    23 mins
  • Centric Compliance Training with Karen Otto

    Centric Compliance Training with Karen Otto
    Apr 24 2025
    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 series is introduced by Tom Fox and hosted by Roxeanne Petraeus. The sponsor of this special five-part series on Innovation in Compliance is Ethena. On this episode, Roxanne Petras welcome Karen Otto, Senior Managing Counsel for Legal Compliance at Unity Technologies. Karen shares insights on Unity's software platform, predominantly known for video game development, and its expansive global footprint. The discussion dives into best practices for compliance training, emphasizing the importance of user experience and personalized content to engage employees effectively. Karen highlights the significance of targeted risk-based training and the benefits of leveraging advanced analytics for improving compliance programs. With anecdotes from her experience and the value she finds in working with Athena's customizable and responsive platform, Karen offers practical advice for compliance leaders looking to enhance their training efforts. Key Highlights · Compliance Training Best Practices · The Importance of User Experience in Compliance Training · Customizing Compliance Training with Athena · Leveraging Analytics for Targeted Training · The Value of Strong Vendor Support Resources: Roxeanne Petraeus on LinkedIn Ethena Tom Fox Instagram Facebook YouTube Twitter LinkedIn
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    20 mins
  • Strategic Compliance in Regulated Industries with Kerri Reuter

    Strategic Compliance in Regulated Industries with Kerri Reuter
    Apr 22 2025
    Innovation comes in many areas, and compliance professionals must be ready for and 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 visits with Kerri Reuter, AVP, Legal Counsel at SageSure. Reuter shares her extensive law, compliance, and athletics background, including her journey from being a volleyball player to her professional career in the insurance industry. The discussion covers SageSure's business operations as a managing general agency (MGA) and the importance of collaboration and strategic thinking in her role. Reuter also highlights the significance of robust compliance programs in regulated industries, the implementation of the Athennian tool for corporate governance, and future growth plans, emphasizing the need for efficiency and forward-thinking in compliance and legal departments. Key highlights: Reuters’ Academic and Professional Journey The Business of SageSure Lessons from Volleyball: Skills in Professional Life Regulatory Compliance in the Insurance Industry Leveraging Athennian for Corporate Governance Future Vision and Industry Involvement Resources: SageSure on LinkedIn Kerri Reuter on LinkedIn SageSure Website Athennian Website
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    35 mins
  • Part 3: Mastering Stress Communication with the C.A.R.E.S. Framework

    Part 3: Mastering Stress Communication with the C.A.R.E.S. Framework
    Apr 17 2025
    Innovation comes in many areas, and compliance professionals must be ready for and 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 concluding episode of a three-part series, Tom Fox visits with Jen Hardy, Chief Operations Officer at the Academy Of MotivAction, to discuss how stress affects communication and delve into why communication often breaks down under stress. They highlight the role of psychological safety and emotional regulation. Jen shares a personal story illustrating the importance of self-awareness and self-regulation in maintaining effective communication during stressful times. She also introduced the C.A.R.E.S. framework, which provides practical tools for managing tough conversations and establishing trust. Irina Alexander, founder & CEO of the Academy of MotivAction, joins to give a call to action, emphasizing the significance of their approach to improving professional and personal relationships through enhanced communication strategies. Key highlights: Understanding Communication Breakdown Personal Story: Handling Stressful Conversations The Importance of Psychological Safety The C.A.R.E.S. Framework for Effective Communication Practical Tips for Better Conversations Corporate Communication: Speak Up and Listen Up Resources: Academy Of MotivAction Website Academy Of MotivAction on LinkedIn Jen Hardy on LinkedIn Irina Alexander on LinkedIn Tom Fox Instagram Facebook YouTube X LinkedIn
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    35 mins
  • Part 2: Tactical Resilience: Mastering Stress and Self-Awareness

    Part 2: Tactical Resilience: Mastering Stress and Self-Awareness
    Apr 16 2025
    Innovation comes in many areas, and compliance professionals must be ready for and 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 part 2 of the 3-part series, Tom Fox and Irina Alexander, founder & CEO of the Academy of MotivAction, explore tactical resilience and how awareness and self-mastery shape performance. They use the metaphor of stress 'driving the bus' to highlight the various ways unmanaged stress manifests, from irritability to substance abuse and eventual burnout. Irina also distinguishes between burnout and breakdown, noting that while burnout is cumulative stress, a breakdown is a singular event. The discussion extends to the corporate world's awareness of the costs of stress and the importance of self-awareness in improving performance and emotional well-being. Irina shares actionable steps to cultivate self-awareness and sheds light on the pitfalls of equating control with strength. She emphasizes that authentic leadership requires flexibility and adaptation. The episode concludes with a teaser for the next episode, covering emotional regulation and trust rebuilding in high-pressure situations. Join us tomorrow, where we conclude our 3-part series by visiting with Jen Hardy on Communication, Emotional Stability & the Power of Trust. Key highlights: Understanding Stress and Burnout Corporate Stress and Productivity Self-Awareness and Emotional Wellbeing High Performers and Burnout Indicators Personal Rituals for Grounding Resources: Academy Of MotivAction Website Academy Of MotivAction on LinkedIn Jen Hardy on LinkedIn Irina Alexander on LinkedIn Tom Fox Instagram Facebook YouTube X LinkedIn
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    35 mins