Welcome to the latest addition to the Compliance Podcast Network, Leading the Way, a StoneTurn podcast. StoneTurn’s Leading the Way podcast series highlights the top compliance, legal and anti-fraud practitioners who are breaking down siloes and setting new standards for excellence worldwide.
In this episode, StoneTurn Partner Valerie Charles is joined by well-known compliance professional Ellen Hunt. Ellen is known for her generosity in promoting fellow compliance professional and her generous spirit in giving back to the compliance community. It is a fascinating discussion of Ellen’s journey through compliance, some of the changes she has seen, key lessons learned and where compliance is headed down the road.
Resources
StoneTurn
Ellen Hunt LinkedIn Profile
Day: March 8, 2021
In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss what the future of RegTech looks like in five years, from innovation in machine-learning and AI from both RegTech firms and the regulators, to the digitization and datafication of financial services.
A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance. The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The CSS weekly podcast features regulatory experts, former Chief Compliance Officers, cybersecurity specialists, industry partners and RegTech collaborators to help prepare investment management firms for changes on the regulatory horizon. For more information on CSS, visit: www.cssregtech.com
About Our Guest Speakers:
Natalie Silverman serves as CSS’s Chief Marketing Officer. A leading FinTech specialist, Natalie has over 18 years of go-to-market and strategic expertise in financial services, SaaS, media, and news. Most recently she has helped to build innovation labs across startups and enterprises.
John Lee is the President and Founder of global RegTech platform Compliance Solutions Strategies (CSS). Prior to CSS, John acted as senior adviser to Strategic Insights, having previously served as MD, Europe for the company between 2011 and 2015. In this role, he was responsible for six business lines, responsible for organic growth and playing a pivotal role in the acquisitions of leading TCA provider Liquidmetrix and Munich-based funds analytics firm FWW. In 2012, leading law firm Michcon de Reya, awarded John the title ‘Business Shaper’ in recognition of his serial entrepreneurship, given to business leaders deemed to have ‘changed the way business is conducted’. Between 1993 and 2009, John founded and sold three businesses serving the institutional financial services market. John has contributed articles to The FT, Sunday Times and Economist, and has acted as contributing editor on A Guide to the UK Financial Services Market and authored Global Custody: A Guide for the Nineties, which is referenced by the SEC in its regulations governing the conduct and control of sub-custodian banks.
In this episode, Valerie Charles and Tom Fox visit with Philip Winterburn, Chief Strategy Officer at Convercent. They take a dive into the use of data and data analytics in a compliance program. Philip has a mathematics academic background and we discuss how that has helped him see the use of data in a different way in his professional career. Highlights include:
- Professional and academic background of Winterburn.
- How does his academic background help inform how you look at compliance solutions?
- Why he has been one of the most consistent advocates of bring data and more importantly data analytics into the compliance process?
- How do the 2 concepts of behavioral psy and data tie together?
- What led you to co-found Convercent?
- What makes the Convercent approach different?
- How have you worked with clients to take their inputs to continually improve your products?
- How data can be used in a variety of ways by the compliance professional.
- How, if any has the Coronavirus health crisis over this year changed your approach?
- What do companies need to be thinking about into 2025 and beyond using data in compliance programs?
Resources
Philip Winterburn LinkedIn Profile
Convercent
Converge Community
In the Episode, Loren Steffy returns to take a deep dive into the Texas power failure during our recent snow-pocolypse. Steffy, a long-time business journalist who has been covering the Texas business scene for 30 years and the energy industry for 20 years. He talks about the background to the failures, what happened to cause power generation to fail, how the Texas government made the situation worse, the Texas government response and what fixes need to occur. If you are interested in risk management, this is the podcast for you.
Recourses-article on the crisis by Loren Steffy
In the Houston Chronicle, Opinion: 7 smart ways Texas can stop power blackouts – once and for all
In Texas Monthly, Texas’s Independence Didn’t Cause the Power Crisis
