Show cover of Compliance Time

Compliance Time

In these podcast series you can hear from compliance experts and enthusiasts who are creators in this space and are contributing to the fast-moving and dynamic field of financial compliance. Hear their views on new trends in AML, sanctions and fraud. Subscribe on our site www.cmpltime.com for latest updates on new episodes and content.

Titres

Know Your Coach
In this episode, the guest on the podcast is Girish Mallya with whom we spoke about compliance and the importance of coaching. Girish has over 25 years of experience in banking and finance in various roles. He deeply understands the dynamics and various processes related to Anti-Money Laundering (AML) and Compliance in Banking and Money Service Businesses. He has led successful programs, earning three ATD Awards, and holds certifications including CAMS and CAME. With a Law degree and extensive training experience, he has delivered programs for over 4000 professionals. With his vast knowledge and interpersonal skills, he is a great coach. LinkedIn: https://www.linkedin.com/in/mallyagirish/Financial Crime Digest LinkedIn: https://www.linkedin.com/newsletters/financial-crimes-digest-7054799627702681600/Support the Show.
38:02 03/06/2024
AI Governance Amid Regulatory Complexity
In this episode, we dive into the world of compliance and the future of governance risk and compliance (GRC) with Dorian Cougias, co-founder of the Unified Compliance Framework.As a pioneer researcher, award-winning author, and charismatic speaker, Dorian brings a blend of deep knowledge, innovative thinking, and a dash of humor to the often complex world of compliance.With a career decorated with groundbreaking achievements – from designing the world's largest compliance database to authoring over twenty patents – Dorian is a luminary in the field.This episode delves into the impact of AI on compliance, noting that while AI facilitates faster processes, there's a crucial need for governance around AI-driven decisions.Website: unifiedcompliance.comDorian Cougias on LinkedIn: https://www.linkedin.com/in/dcougias/Support the Show.
43:29 11/03/2024
Leveraging Technology for Smoother Compliance Processes
Guest on the podcast is a passionate compliance specialist who has experience in the first and second line of defense: Ekta Singh. She brings a wealth of knowledge and awareness of ethics, compliance, business management, current industry trends, and technological advancement in the Fintech, regulatory compliance, and RegTech areas. Ekta has a forward-looking approach to managing compliance and operational challenges. She has been in the Financial Industry for more than a decade and in her professional career she adored the role of Financial advisor, supervisor, Sales management, business head, and Risk & Compliance head. Her positive can-do attitude and problem-solving nature bring more to the table and she advocates that there is a thin line between business and good business.She holds 3 Master's Degrees, ACAMS and ICA certificates. She is also a Subcommittee member of Regtech at the Singapore Fintech Association, Active working group member of ACCESS, AML working group member at Global Digital Finance (GDF), Trainer at RHT academy and Fintelekt focussing on ethics & compliance, fraud management, risk assessment, and AML/CFT.  She also volunteers as a mentor at the iLead program and Stories of Asia (SOA).LinkedIn: https://www.linkedin.com/in/ekta-singh-cams-mba-ica-01bba13/Support the Show.
46:41 16/10/2023
Silent Eight Continuing the Discussion about AI in Compliance
For the second time on the podcast, we have guests from the Silent Eight. With us now are Lyndon Reid and Pak Teng Chow. Lyndon is a seasoned professional with a real passion for sales, business development, and helping companies navigate the complex world of legal and compliance. Prior to joining Silent Eight, he made waves as the VP of Sales & Marketing at Uncharted, where he dove headfirst into the world of digital distribution technology for the insurance sector. He's also made his mark at big players like Manulife and Allianz Partners, leading alternative and affinity distribution efforts across the Asia Pacific. But let's not forget his earlier years, where he served as a Barrister at the Sydney Bar and held various legal roles in both private practice and in-house for global financial institutions.We are also joined by Pak, Silent Eight's dynamic sales director who's leading the quest for expansion into the SEA market. Beyond his role at Silent Eight, Pak actively contributes to the Singapore FinTech Association as a member of the RegTech subcommittee. Pak is truly passionate about AI and automation, always striving to achieve more with less effort. As you'll hear today, he's brimming with enthusiasm when discussing the future of work, technology, AI, compliance, and the endless possibilities they offer. With his diverse entrepreneurial background in F&B, Mobile Games, Blockchain Education, IoT Vending Machines, and Marketing Agency, Pak brings a fresh perspective and a treasure trove of insights to the table.LinkedIn Lyndon: https://www.linkedin.com/in/lyndonr/LinkedIn Pak: https://www.linkedin.com/in/pakteng/Support the Show.
36:03 07/08/2023
The Compliance Co-Pilot
In this episode Denitsa and Francisco Mainez spoke about AI, technology and the new compliance co-pilot developed by Luncity, Luci. Our guest, Francisco, is a Financial Crime and Regulatory Transformation SME at Lucinity, where he is using his experience in Financial Crime and Intelligence to integrate different capabilities into solutions that can improve prevention, detection and investigation of Financial Crimes, as well as ensuring alignment between relevant regulations and the Lucinity product. Francisco is the former Head of Data and Analytics for Wealth and Personal Banking Financial Crime Risk at HSBC. Throughout his career, Francisco has specialised in activities related to data extraction, analysis and Money Laundering, Financial Crime Typologies, Operations, Customer Due Diligence and Tax Evasion, among other areas.  His team was also deeply involved in rolling out initiatives related to Advanced Analytics solutions for Financial Crime. While in HSBC, Francisco worked in other Financial Crime Teams, such as the Financial Intelligence Unit and Global Compliance Reporting. Prior to HSBC, Francisco fulfilled roles in Standard Chartered Bank in London and Singapore after completing several tours of operations in Military Intelligence for NATO and the European Union in different geographical locations.  Francisco holds a MSc in Information and Knowledge Management and a BSc in Politics and International Relations from the University of London-LSE, along with several professional certifications: CAMS, CISI Investment Operations, CFCI (Certified Financial Crimes Investigator) and SAFe (Scalable Agile Framework). In his spare time, Francisco likes to spend time with his family, read history books and ride his motorcycle.Learn More about Luci: https://lucinity.com/luciConnect with Francisco on LinkedIn: https://www.linkedin.com/in/francisco-mainez-8b76679/Support the Show.
29:55 21/06/2023
AML and Fraud Insights: SARs, Investigation Strategies, and the Evolving Investigator Role with Paul Stratton, the Fraud Nerd
Guest on the episode is the brilliant Paul Stratton, known on LinkedIn as the fraud nerd. he creates insightful content, if you are not following him, do so now!. Paul is a former Police Detective with Merseyside Police in the United Kingdom, an area which covers the city of Liverpool. He spent 22 years working in various roles including covert policing and intelligence, counterterrorism and counter-extremism, undercover policing, and criminal investigations into serious and complex crimes such as domestic violence, stalking, violence and abuse against vulnerable people, and sexual offences. Paul’s last role in the police was as part of the Economic Crime Team, investigating cases of fraud, money laundering, and broader economic crime on a national and international level. He led and managed investigations into the most harmful, complex, and sensitive crimes, such as high-value theft and fraud by an employee, cyber-crime including illegitimate use of cryptocurrency, abuses of position within law firms and allegations of corruption in local government. Paul now works in Local Government in Liverpool as a Fraud Specialist. He leads at a senior level and is responsible for driving the organisation’s focus on fighting financial crime, specifically internal risks. He is the authority’s subject matter expert on internal fraud and fraud risk assessment and oversees their whistleblowing arrangements and internal investigations. He has recently transformed the organisation’s approach to fighting fraud and corruption with a framework and strategy described by central government as “an example of best practice”. Paul also chairs a regional fraud group and is part of national counter-fraud groups. He has a post-graduate degree in Fraud & Financial Crime and a master’s degree in Intelligence & Security Studies. Also, he works part-time as a counter-fraud coach and trainer for financial crime professionals and apprentice investigators. Paul will soon be changing careers and working in the FinCrime training sector full time. He lives with his wife and dog, Dexter, who is his favourite counter-fraud apprentice of all.LinkedIn: https://www.linkedin.com/in/pauldstratton/Support the Show.
34:20 12/06/2023
The FinCrime Agent
Guest on the show today is Marco Beranzoni, the creator of the FinCrime Agent YouTube channel. FinCrime Agent shares tutorials, job talks, conference reviews, and interviews related to Financial Crime prevention. If you plan a career in FinCrime, these videos will help you with the first steps. For those who are already in the industry, they can be a great source of knowledge and experience sharing as well. Marco has experience in Financial Crime prevention roles across Banking and FinTech for over 15 years. In this episode, Marco will share with us his experience with creating FinCrime YouTube content, he will share with us what is successful and what are some of the challenges in the space. Additionally, we will talk more about technology trends in the AML and compliance space. Link to the YouTube channel: https://www.youtube.com/c/FinCrimeAgentSupport the Show.
28:12 09/05/2023
Communications Compliance with Shield
In this episode guest on the podcast is Ofir Shabtai. He is the CTO and Co-Founder of Shield, a technology software company specializing in employee electronic communication compliance. Shield helps organizations uncover hidden insights such as inside dealing, unlawful behavior, market abuse, and privacy matters. With laser-focused AI models designed to detect financial misconduct, Ofir leverages machine learning and NLP to pinpoint suspicious behavior and eliminate over 95% of the noise legacy tools create. Shield helps banks monitor new channels up to 4x times quicker, saving them from multi-million-dollar fines, while cutting supporting IT infrastructure costs in half.Ofir has over 15 years of experience building large-scale systems. Prior to Shield, he was Co-Founder and CTO at several start-up companies where he built global engineering teams and was responsible for the strategy and execution of real-time systems and big data. Ofir holds an MBA in Business Management from the Hebrew University of Jerusalem and a BA in Computer Science from IDC Herzliya.Link to Shield: https://www.shieldfc.com/Support the Show.
29:31 17/04/2023
Compliance, Investment Advisory and How to Prepare for the Chief Compliance Officer Role
Michael Rasmussen’s success story starts where most entrepreneurs with a legal background begin: with big ideas to serve clients and an industry passion. He is most passionate about assisting US and UK financial services professionals seeking investment adviser registration or acquisition due diligence services in the US or UK. In 2013, he started his career in the securities industry as a regulator with the Financial Industry Regulatory Authority (FINRA). After FINRA, Michael served in Senior SEC/FINRA Consultant positions for several established legal and consulting firms. More recently, he has acted as General Counsel and Chief Compliance Officer for several established investment advisers and private fund managers with each institution managing over $1 Billion in assets under management.In 2020, Michael leveraged his extensive legal and compliance background to found United Atlantic Legal Services, a law firm exclusively dedicated to assisting US & UK financial services professionals seeking investment adviser registration or acquisition due diligence services. As a licensed lawyer in both the US and UK, he is able to uniquely service clients on both sides of the Atlantic Ocean.In addition to that, Michael has routinely served investment advisory firms and private fund managers as a Subject Matter Expert and has provided extensive training regarding developing and existing FINRA & SEC matters, including but not limited to Fiduciary Standards, Investment Adviser Registration, Investment Advisor Compliance, and Investment Advisor Legal and Compliance Acquisition Due Diligence. In response to the demand for legal and compliance training, he founded FinProLaw (www.finprolaw.com), a legal and compliance learning platform that provides in-depth coaching services to new and aspiring investment adviser Chief Compliance Officers.Mr. Rasmussen received his JD from Nova Southeastern University, Shepard Broad College of Law, and his BS in Legal Studies from Nova Southeastern University, Farquhar College of Arts and Sciences. He serves on the Education Committee for the National Society of Compliance Professionals and has passed the FINRA 7, 24, 63, and 65 examinations.FinProLaw: www.finprolaw.comUnited Atlantic Legal Services: www.unitedatlanticls.comLinkedIn: https://www.linkedin.com/in/mrasmussenlaw/Support the Show.
26:42 11/04/2023
Research in Foreign Languages
 In this episode guest on the podcast is Skip Schiphorst - an Open Source Intelligence (OSINT) language course developer and instructor who served 17 years in the Dutch Ministry of Defence. He deployed to several regions, during which his language and cultural skills were used. Skip, who holds a university degree in China Studies has a keen interest in how to incorporate languages within the OSINT spectrum. He works at I-Intelligence and their OSINT language courses include Chinese, Arabic as well as Russian; these courses show researchers that do not speak these languages how to find information online for CDD, AML, KYC and many more research purposes.Use promo code IINT102023 for 10% off on language courses or any other i-intelligence courses.Chinese Open Source Intelligence course:https://i-intelligence.eu/courses/osint-chinese-internetArabic Open Source Intelligence course:https://i-intelligence.eu/courses/osint-searching-the-arabic-webRussian Open Source Intelligence course:https://i-intelligence.eu/courses/osint-searching-the-russian-internet-virtual-courseSupport Compliance Time: www.podinbox.com/compliancetimeSupport the Show.
28:48 29/01/2023
Whistleblowing and the new AML Act
Just before the end of last year, we spoke with Stephen Kohn. He is a leading whistleblower attorney and subject matter expert. He won the largest ever individual tax whistleblower reward of  $104 million for UBS whistleblower Bradley Birkenfeld, and the largest ever reward ever paid to an individual under the related action provisions of the IRS, SEC and DOJ programs ($177 million). He represents Danske Bank whistleblower Howard Wilkinson in the largest money laundering scandal in world history, and successfully represented Greek whistleblowers whose information triggered a $320 million sanction against Novartis drug company under the Foreign Corrupt Practices Act.We met just a few days before a new AML law was passed in the US Congress. In this episode, you will hear about whistleblowing, the Danske Bank case, and more. https://kkc.com/our-whistleblower-law-firm/our-whistleblower-lawyers/stephen-m-kohn/Support the Show.
34:07 20/01/2023
2023. Crypto News and Future outlook
2023 has just begun and it began with so much news on the crypto front. To discuss the most recent Coinbase settlement and future trends in the crypto space, joining me today is David Carlisle, the Vice President of Policy and Regulatory Affairs at Elliptic. Before joining Elliptic, David worked for the US Department of the Treasury, including in the Office of Foreign Assets Control (OFAC), where he was involved in the design and implementation of US financial and economic sanctions programmes involving countries such as Myanmar and Iran. In subsequent roles, David worked in the Treasury’s Office of Terrorist Financing and Financial Crimes (TFFC) and advised senior Treasury officials on a wide range of topics related to sanctions, money laundering and terrorist financing. Let's now begin this exciting episode:Check out Elliptic's 2023 Regulatory Outlook Report here:https://www.elliptic.co/resources/regulatory-outlook-report-2023Support the Show.
26:54 16/01/2023
Think Like a Criminal - the Tech Side of Money Laundering
https://podinbox.com/compliancetime The guest on the podcast is Debanjan Chatterjee. Debanjan has more than 17 years of experience in Fraud Risk Management. He has been using Data Science to design counter-fraud solutions for traditional, global banks as well for modern Fintech firms. He is a certified expert in NFT and DeFi and contributes to the literature of managing Financial Crime Risk for Crypto-assets. His articles have been published on Nasdaq, Bitcoin Magazine, Association of Certified Fraud Examiners, InfoSecurity Magazine and The A.I. Journal.In this episode, we spoke about cryptocurrency, the Metaverse, AI, money laundering and technology, and how to think as a criminal. Connect with Debanjan on LinkedIn: https://www.linkedin.com/in/debanjan-chatterjee-03942454/Support the Show.
50:28 10/01/2023
Tornado Cash Special #2
https://podinbox.com/compliancetimeIn the second Tornado Cash special episode we spoke with Ari Redbord from TRM Labs. We spoke about the OFAC designation, why Tornado was considered a threat to national security and will OFAC continue designations on mixers. We disected the FAQs published by OFAC in early September and spoke more about AML and sanctions in the crypto space.Support the Show.
24:09 19/09/2022
Tornado Cash Special #1
podinbox.com/compliancetime This is the first Compliance Time Special we recorded with Hedi Navazan and Alex Cote. In this episode, we are chasing tornados and we talk about Tornado Cash's designation. You can hear so many interesting and practical examples about dusting, mixers, the future of sanctions, and what regulated exchanges can do. This episode is packed with value. Support the Show.
29:46 11/09/2022
Old and New Money Laundering Techniques
https://www.podinbox.com/compliancetimeThis episode outlines how determination and persistence can lead to great success in our field of work. We met with my guest through the interesting and educational content he is publishing on LinkedIn. Baptiste Forestier shares with us his experience, outlook and AML trends from France, and what should we learn to get into a higher AML  or compliance officer role. Baptiste's LinkedIn: https://www.linkedin.com/in/baptisteforestierlinkcy/Link to the Newsletter: https://www.linkedin.com/newsletters/6947129492909772800/Support the Show.
61:38 05/09/2022
Crypto Regulations & Crystal Blockchain
https://www.podinbox.com/compliancetime Guests on the podcast are Marina Khaustova, Nick Smart, and Hedi Navazan from Crystal Blockchain. Crystal is a blockchain analytics company providing investigation solutions. In addition to that, they closely observe changes in regulation, rank risks, and notify you of potentially irregular activities.To introduce my guests: Marina is the CEO of Crystal Blockchain and she has influenced the industry for 12 years by developing international online services and digital marketing strategies. Hedie is the Head of Compliance - an expert on crypto-assets and financial crimes. At Crystal, she engages with regulatory bodies and other internal and external stakeholders. Nick is the Director of Blockchain Intelligence and Data at Crystal. He has 15 years of experience as a Professional Intelligence and Security Analyst working for Government Agencies and Private Companies. In the episode we will try to debunk some of the still-existing myths in the crypto space, we will talk about regulatory updates and sanctions evasion. Without further ado let's welcome Marina, Hedie, and Nick. https://crystalblockchain.com/Support the Show.
54:32 15/08/2022
Whistleblowing with Visslan
www.podinbox.com/compliancetimeGuest on the podcast is Daniel Vaknine, the CEO of Visslan. Visslan is offering solutions on how to make it easy for companies to encourage whistleblowing and unlock its hidden benefits. In this episode, we spoke about whistleblowing, the new EU directive, and some of the most common mistakes organizations make when implementing whistleblowing programs. https://www.linkedin.com/in/danielvaknine/https://www.visslan.com/en/homeSupport the Show.
30:19 08/08/2022
Women in Ethics and Compliance
https://www.podinbox.com/compliancetime In this episode, I am joined by two amazing women working tirelessly on creating a trusted circle of inspiring women celebrating the essence of all that is best for professional women. You will hear from Lucianne Mallman and Gina Green the chair and vice-chair of Women in Ethics and Compliance. Luciane is a qualified lawyer admitted to practice in Brazil, Portugal, England, and Wales with over 18 years of professional experience specializing in Corruption and Governance, currently based in the UK. She has worked in top-tier litigation and international dispute resolution departments of Magic Circle and White-Shoe law firms before spending some time working in the consulting space. She currently holds the position of Senior Legal Counsel & Compliance Officer at a large Civil Engineering company.Gina is based in the Northeast region of the US and is a graduate of Widener Delaware Law School in the US, with a degree in corporate and business law. She is a subject matter expert in creating and improving corporate compliance and ethics programs; in tandem with incorporating Diversity and Inclusion policy within operational processes. She is also a contributing writer and speaker for many compliance articles, events, and workshops. Gina is the Founder and Compliance Officer for Tuck9 Inc., a Compliance & Ethics Consulting Group, and is the Vice-Chair of Women in Ethics and Compliance Global, an international Organization and a partner with Forensic Compliance Consulting in Mexico City, Mexico. Listen to this episode to the very end because Women in Ethics and Compliance have prepared a gift for you and you will hear how to get that🙂 Remember only the first 50 listeners will be rewarded, so hurry up and claim your prize. https://wec-global.org/As a thank you for listening to the complete WEC Podcast, For the first 50 listeners, WEC Global would like to give a special free gift. Just send the word "Gift" to info@wec-global.org. If you liked this episode, remember to leave us a 5-star review on your platform or send us your feedback on PodInboxSupport the Show.
34:55 01/08/2022
The Financial Crime Academy
Check out https://podinbox.com/compliancetime - record a voice message or become a Super Compliance Fan and get a mug. In this hot summer, let's remember how important is to learn and acquire new skills. A guest on the show is Florian Haufe. He is a compliance and anti-financial crime expert. Florian has co-initiated the Financial Crime Academy as a consortium of anti-financial crime specialists and has improved the skills of thousands of professionals ever since. Additionally, he works internationally as a management consultant and advises clients cross-industry in highly critical situations. He was an in-house compliance officer in the past. Florian holds two master's degrees - one in business (M.Sc) and one in business law (LL.M). He's also a CFE, CAMS, CGSS, and PMP. Academically, he is also an adjunct professor for compliance and anti-financial crime at the Swiss School of Business and Management Geneva.And a few words about Financial Crime Academy - it offers professional online education for the global anti-financial crime and corporate risk management community. It has high quality, easy-to-access, and affordable online training programs. Most courses are awarded a business school-level certificate issued by the Financial Crime Academy together with the Swiss School of Business and Management Geneva. For more information check out financialcrimeacadamy.orgSupport the Show.
42:39 26/07/2022
The Bellatorum Fraud and Lessons for Compliance
In this episode, we spoke with Chris Bentley, the former CEO of Bellatorum Resources, a Texas-based energy fund. This is an episode about fraud and some of the priceless lessons for Business Owners, Investors and Entrepreneurs. In 2021 Chris let all his clients, employees, and partners know that he had committed fraud and squandered nearly $40 million dollars. He had used the money entrusted to him to prop up his business, an investment management firm that specialized in Texas oil and gas royalties and mineral rights. He wrote a book about his experience, which you can find in the show notes. In this episode you can hear about the lessons that Chris learned, and can compliance function and audit truly help fraud prevention. Link to Amazon: https://amzn.to/3nKtiUzSupport the Show.
47:58 18/07/2022
AML Hunt
In this episode, we will be on a hunt to learn how to pick the best AML software. My guest on the show is Oleg Zajac, the co-founder of AML Hunt. Oleg is an experienced AML and compliance professional, currently located in the Czech republic. He is not only the co-founder of AML hunt but also acts as a Head of AML of a financial institution. Before we begin let me say a few words about AML Hunt:  this is a global database of AML and KYC software that can be used as a comparison tool. https://amlhunt.com/https://www.linkedin.com/in/olehzaiats/Support the Show.
27:36 11/07/2022
Valimail & Email Security
There is something we all use every day - for business and in our personal life. We use this to register for stuff, to communicate, to exchange documents, and more. You probably guessed we will be talking about email and more precisely about its security. Did you know that Business email compromise is one of the most financially damaging online crimes? Phishing, spear phishing, spoofing, whaling, email compromise, malware - all have email nexus.  Guest on the show is Seth Blank- the chief product officer of Valimail. Seth is a serial entrepreneur and startup executive with multiple acquisitions under his belt. He shared with us so many interesting examples about email security and fraudulent tactics. To mention briefly about Valimail - it is the global leader in zero-trust email solutions, inventing hosted DMARC in 2015 and introducing DMARC as a Service in 2021. You may ask what DMARC is, well, listen to our conversation with Seth and you will surely find out. Check out the show notes for more information.https://www.valimail.com/ Support the Show.
42:29 18/05/2022
Working at a FinTech
In this episode, we spoke with Angelina Jeyarajah. Angie is a compliance manager in a fintech company in Australia. She has an extensive background in the financial services and payment sectors such as at Australia Wealth & Capital Markets and eNett International, and she brings a unique perspective that looks to find creative solutions to risk and compliance concerns for longstanding and new start-up and fintech businesses. Additionally, she found a way to extend her knowledge and experience to the not-for-profit sector where she has brought her risk, compliance and governance skills to boards and executive management roles in community organizations. We met thanks to one of the compliance time posts and as you will soon learn, together we will work on bringing more interesting content. In this episode you will hear what is like to work in a fintech organization. Angie will share her tips and what you need to know to survive in a startup environment. You will also hear Angie's view on compliance in Australia and future trends. So without further ado let's hear from Angie.Angie's LinkedIn profile: https://www.linkedin.com/in/angelina-j-37b629105/Support the Show.
23:53 02/05/2022
[Reading Friday] Part 2 FATF ML/TF Risks Arising from Migrant Smuggling
This episode reads from FATF's  Money Laundering and Terrorist Financing Risks Arising from Migrant Smuggling from March 2022. The episode covers  Part Two:  ML/TF risks, investigations and international cooperation.  You can read the full report here: https://www.fatf-gafi.org/media/fatf/documents/ML-TF-Risks-Arising-from-Migrant-Smuggling.pdf Support the Show.
37:17 22/04/2022
Regulatory Change Management
Guest on the podcast is the co-founder and CEO of Compliance.ai, Kayvan Alikhani. Kayvan has more than 25 years of experience in enterprise technology and now works in the RegTech industry. We are going to talk about regulations, technology and how to deal with the avalanche of regulatory changes without getting overwhelmed. Briefly about Complaince.ai - it's a regulatory change management solution that empowers banks, financial services and insurance companies to proactively manage the growing volume and velocity of regulatory changes as they occur, and makes it simple to implement the correct steps to remain in compliance. Modern RCM by Compliance.ai delivers relevant content with personalized insights, obligation analysis and risk monitoring.https://www.compliance.ai/Support the Show.
30:34 18/04/2022
[Reading Friday] Part 1 FATF ML/TF Risks Arising from Migrant Smuggling
This episode reads from FATF's  Money Laundering and Terrorist Financing Risks Arising from Migrant Smuggling from March 2022. The episode covers  Part One: Migrant Smuggling routes, flows and networks.  You can read the full report here: https://www.fatf-gafi.org/media/fatf/documents/ML-TF-Risks-Arising-from-Migrant-Smuggling.pdfSupport the Show.
19:55 15/04/2022
Governance, Risk, and Compliance Platform
Matt Kunkel, the CEO and co-founder of LogicGate, spoke on Compliance Time about Governance, Risk, and Compliance programs and the connections with ESG or Environmental, Social, and Governance. Hear out about the trends in GRC, can blockchain technology help, what are the emerging risks, and more.About our guest: Matt Kunkel is the CEO and Co-Founder at LogicGate, a SaaS platform that operationalizes Regulatory, Risk & Compliance programs for organizations. Prior to LogicGate, he spent over a decade in the management consulting space building technology solutions to operationalize regulatory, risk, and compliance programs for Fortune 250 companies. It was during this time he learned the skills to realize his true calling: building world-class companies that meaningfully affect the lives of others through user-friendly technology.Connect with Matt: https://www.linkedin.com/in/matt-kunkel-91056143/Visit LogicGate's site: https://www.logicgate.com/Support the Show.
37:29 11/04/2022
Export Controls
This episode is on export controls and our guest is Donald Pearce. The recording was made prior to the Russian invasion of Ukraine when new sanctions and export controls were introduced, and surely we will try to have a separate discussion with Donald on that. Donald Pearce is a retired Special Agent from the US Commerce Department's Bureau of Industry and Security and a subject matter expert in strategic trade control policy, transactional criminal investigations, and national security issues. He provides real-world solutions and guidance to companies and governments on security and compliance strategies, due diligence research, and successfully implementing and navigating multilateral trade controls.Before his retirement in 2020, Don served as the acting Unit Chief for Liaison and Interdiction, providing subject matter expertise to international organizations, other government agencies, and industry worldwide. His career included prosecuting precedent-setting cases, establishing the Regional Export Control Officer position at the US Embassy in Singapore, coordinating successful interdictions of dangerous goods, and protecting the international supply chain through successful public/private cooperative efforts.Mr. Pearce received the Commerce Department Gold Medal for his role in a complex criminal investigation that dismantled an Iranian procurement network that provided components for use in improvised explosive devices. Mr. Pearce was awarded the Commerce Department Silver Medal for investigative excellence and the US Department of Justice Executive Assistant Attorney General’s Award as a case agent in the PPG Industries investigation, which uncovered a conspiracy to supply specialty coatings for an unauthorized nuclear end-use in Pakistan. The case resulted in record-setting fines and a guilty plea by a Chinese state-owned enterprise, a first in US jurisprudence. He has also been awarded the Commerce Department Gold Medal for his participation in protection operations for the Secretary of Commerce during his 2003 visits to Iraq and Afghanistan and a Bronze Medal recognizing his significant contributions to the Export Control Officer program.Additionally, Donald is not only a dynamic public speaker who has delivered keynote addresses, case studies, and panel presentations worldwide to various audiences. He has developed training scenarios based on actual events, acted as emcee and moderator in various government and private programs, and most recently delivered content via virtual conferences and small group appearances.Further, Don established Sentinel LLC to provide guidance that keeps companies safe, compliant, and prosperous. You can subscribe to Sentinel's newsletter here: paper.li/sentinel.llcTorres Trade Advisory: www.torrestradeadvisory.comSentinel LLC- www.sentinelllc.netSupport the Show.
57:02 04/04/2022
In a Nutshell
Our guest in this episode is Marijo Samneh - a Lebanese legal, compliance, and anti-money laundering officer with a focus on banking and financial matters. In her 10 years career, Marijo worked as the head of compliance in a Lebanese financial institution, and a leading Lebanese subsidiary of a Swiss private bank where she established the compliance department from the ground up. Marijo prepared all policies and procedures of the compliance department and oversaw the implementation of various strategic, operational, and regulatory processes. In her experience, Marijo also worked as the head of legal and compliance in the Association of Banks in Lebanon which is a professional association established by Lebanese banks. During her time at the Association, she contributed to the preparation of various banking legislation and coordinated their discussions with the various stakeholders such as the government, banks, and AML regulators. Today she is the primary contact with Lebanese regulators at Arab Bank Switzerland, she handles all the Bank's strategic development plans and all legal/regulatory interactions between the branch and parent company. She holds a Law degree, a Masters in Banking and FInancia from Sagesse University Beirut, a Masters in management from the Ecole Superieure des Affaire Beirut, and an Executive education "Program for Leadership Development" from Harvard Business School. She is also a Certified Anti-Money Laundering Specialist. She is the creator of an amazing project called "In a Nutshell by MJ" which aims to make complex AML and financial crime topics easy to understand by anyone. MJ's LinkedIn: https://www.linkedin.com/in/marijo-samneh/In A Nutshell YouTube Channel: https://www.youtube.com/channel/UCC1vE6xufjh5hFPS55tFeuw Support the Show.
36:50 28/03/2022

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