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Word of the Week

Word of the Week with Kenneth O’Neal – The Importance and Decline of Common Sense

Each week, Kenneth O’Neal discusses a word that describes a principle or value of the Qualities of Success. We suggest you use the Word of the Week in your thoughts, deeds, and actions. You might possess the quality and desire to develop it to a higher level. You could replace a bad habit with a good habit. Write an action step and use it daily to develop the quality of your life. In this episode, Kenneth discusses the word – Common Sense.

Kenneth O’Neal and Rick discuss the significance of common sense, its historical roots, and its decline in contemporary society. They highlight the upcoming Nurses Week event at the Kerr County Courthouse and reflect on a recent poll showing nurses as the most trusted group. The conversation explores how information overload and technology dependence have overshadowed common sense, rooted in practical wisdom and initiative. They cite historical figures like Thomas Paine and Benjamin Franklin, illustrating common sense’s role in history and modern times. The episode closes with reflections on reclaiming grit, resilience, and long-term commitments in today’s complex world.

 

Key highlights:

  • Word of the Week: Common Sense
  • Historical Context of Common Sense
  • Modern Challenges to Common Sense

Resources:

KRONEAL Consulting

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Upping Your Game

Upping Your Game: Episode 1 – Meeting Hui Chen’s Challenge

In February, the Trump Administration suspended investigations under and enforcement of the FCPA. Many compliance professionals have since wondered what this will mean for corporate compliance programs going forward. Hui Chen challenged compliance professionals with “It’s time to up your game.”

This podcast series, sponsored by Ethico and co-hosted with Ethico co-CEO Nick Gallo, hopes to meet Hui Chen’s challenge for compliance professionals. We will discuss how compliance professionals can ‘Up Their Game’ using currently existing Generative AI (GenAI) tools to improve compliance programs dramatically. As compliance professionals, it is critical to recognize that this moment is not merely about incremental improvements but about elevating our profession to an entirely new level of effectiveness, efficiency, and organizational value.

In the inaugural episode of ‘Upping Your Game,’ co-hosts Tom Fox and Nick Gallo, co-CEO at Ethical, discuss the future of compliance and risk management. They explore the need for compliance professionals to evolve by integrating AI and focusing on creating business value. The conversation covers the importance of the user experience (UX), the employee and third-party experience (CX), and the shift towards a proactive and predictive compliance program. Real-world examples, such as Citibank’s use of AI for compliance, illustrate how technology can enhance compliance programs. The episode emphasizes the crucial role of compliance in risk management and the potential for professionals to elevate their impact within organizations.

Key highlights:

  • The Spark Behind ‘Upping Your Game’
  • The Role of AI in Compliance
  • Evolving Compliance to Business Value
  • The Human Experience in Compliance
  • Risk Management and Future Outlook

Resources:

Upping Your Game: How Compliance and Risk Management Move to 2030 on Amazon.com

Nick Gallo on LinkedIn

Ethico

Check out the Ethico White Paper on the Introduction to Upping Your Game, click here.

Tom Fox

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Innovation in Compliance

Innovation in Compliance: Exploring the Fractional COO Model with La Tonya Roberts

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

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Innovation in Compliance was recently honored as the number 4 podcast in Risk Management by 1,000,000 Podcasts.

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SBR - Authors' Podcast

SBR – Author’s Podcast – Understanding Complexity with Dr. Jean Boulton, Part 1: Ethics, Compliance, and Organizational Dynamics

Welcome to the SBR – Authors Podcast! Host Tom Fox visits with authors in the compliance arena and beyond in this podcast series. Today, Tom is joined by his friend and colleague Earnie Broughton as they co-host Dr. Jean Boulton, author of ‘The Dao of Complexity.’ This is Part 1 of a special two-part episode on the SBR – Author’s Podcast.

They dive into Dr. Boulton’s background in physics, her transition to business management, and her exploration of complexity theory. The conversation highlights the persistent compliance and ethics violations issues, the need for more dynamic and adaptive organizational policies, and how complexity theory provides a new framework for understanding and influencing organizational behavior. Dr. Boulton explains the nuances of complexity, differentiating it from chaos and game theory while providing practical approaches for sensing and navigating complexity within organizations. The episode underscores the importance of adaptive strategies, ethical conduct, and the intricate relationship between past actions and future outcomes. Dr. Boulton also shares insights on how organizations can cultivate resilience and foster a culture that values ethical decision-making.

Key highlights:

  • Dr. Boulton’s Journey into Complexity
  • Understanding Complexity Theory
  • The Dao of Complexity
  • Complexity vs. Chaos and Game Theory

Resources:

Dr. Jean Boulton ⁠Website⁠

Dr. Jean Boulton  on ⁠LinkedIn⁠

The Dao of Complexity on ⁠Amazon.com⁠

Earnie Broughton on ⁠LinkedIn⁠

Tom Fox

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Daily Compliance News

Daily Compliance News: April 29, 2025, The GenZ/RTO Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy morning coffee, and listen to the Daily Compliance News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world: compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Top stories include:

  • Wells Fargo nears full regulatory relief. (Reuters)
  • Gen Z wants RTO. (FT)
  • The man who posed as CCO was found guilty of fraud. (Bloomberg)
  • Can the Feds win a bribery trial? (Chicago Sun-Times)
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Blog

AI and the Future of Compliance Education: Why the Future is Now

For too long, compliance training has been seen as little more than a necessary evil, a one-size-fits-all exercise in checking a regulatory box. Employees shuffled through mandatory seminars, PowerPoint decks, and click-through e-learning modules, treating them as hurdles to clear, not learning opportunities. That world is dead. Buried. In 2025, compliance education is radically transforming, and AI is leading the way.

The future of compliance education is personal, immediate, engaging, and embedded. It’s about delivering the right knowledge to the right employee at the right time, i.e.,. Before a violation occurs. Compliance is no longer a periodic event; it’s a continuous experience. How can AI, microlearning, gamification, and VR completely change the game, and what lessons must compliance professionals learn today to build a better tomorrow?

Lesson 1: Traditional Training is Outdated—AI is Leading the Way

First, yesterday’s training models cannot keep up with the proper pace of modern regulatory risk. Static, annual training modules don’t resonate with today’s workforce or dangers. Enter AI. Smart compliance platforms now personalize training based on individual employee roles, learning styles, risk exposure, and past behavior. Employees are no longer passive listeners but active participants in scenario-based simulations that mirror real-world dilemmas. Imagine practicing an FCPA dilemma in a gamified environment rather than skimming through a bullet-point list.

Even better, AI does not simply deliver content; it measures how employees engage with it. Advanced analytics track progress, flag disengagement, and allow compliance teams to adjust real-time training strategies. The result? A proactive, continuously evolving compliance culture.

If you’re still relying on static training in a dynamic risk environment, you are not only behind; you are exposed.

Lesson 2: Customization is Key—One Size Fits Nobody

Let’s be blunt: Generic compliance training wastes everyone’s time. Different employees face different risks. Your sales team in Latin America needs training that is different from your engineering team in Berlin. A one-size-fits-all approach is not simply ineffective; it can indeed be counterproductive.

AI-driven compliance platforms address this head-on by customizing content at the individual level. They analyze roles, responsibilities, risk profiles, and even upcoming activities. Imagine this: An employee traveling to a high-risk country automatically receives reminders about anti-bribery policies, gift-giving guidelines, and applicable trade sanctions before they step on the plane.

This proactive, role-specific approach exceeds DOJ expectations around tailored training (first articulated in the 2017 Evaluation of Corporate Compliance Programs and reinforced in the 2024 ECCP). It embeds compliance into employees’ day-to-day decision-making.

Customization drives engagement. Engagement drives behavior change. Behavior change protects the organization. It is that simple.

Lesson 3: Real-Time Compliance Training is Proactive, Not Reactive

Historically, compliance teams operated in a reactive mode. Violations occurred, investigations followed, and training was assigned as a remedial slap on the wrist—no more. With AI, compliance training can now be real-time and predictive. Imagine an AI system that monitors workflow data and employee behavior, delivering just-in-time reminders before a decision is made, not after a violation occurs.

Picture this: An employee processing an unusual third-party payment receives an instant alert reminding them of anti-corruption controls. Another employee about to click a suspicious email gets a real-time warning about phishing attacks. AI can even draw insights from external events. If a major competitor is penalized in China for export control violations, your employees operating in that region can immediately receive a warning and updated guidance.

Real-time training transforms compliance from a “policing” function into a “partnering” function, guiding employees to make better decisions in the moment. That’s the future we should be building toward.

Lesson 4: Gamification and Microlearning Supercharge Retention

We’ve known for years that traditional long-form compliance training doesn’t stick. Most employees forget 70% of what they learned within a week. Why? Because brains aren’t wired to retain dense information delivered in passive, hour-long blocks. Gamification and microlearning flip the script.

Microlearning delivers bite-sized, focused modules that employees can absorb quickly, perfectly tailored to today’s fast-paced work environments. Gamification adds points, badges, competitions, and rewards to incentivize engagement. Together, they create training experiences that are not only more effective but also fun. And the results aren’t theoretical. Studies show that microlearning can improve knowledge retention by up to 75%. Walmart’s use of VR compliance training led to a reported 30% decrease in policy violations.

When employees are immersed in gamified simulations where decisions have consequences and feel the real-world weight of ethical challenges, they build the muscle memory to act correctly under pressure. Compliance becomes instinct, not obligation.

If you are serious about building a culture of compliance, gamification and microlearning must be part of your toolkit.

Lesson 5: AI is the Ultimate Training Effectiveness Engine

Finally, AI does not just deliver better training; it measures and improves it.

Modern AI-powered compliance platforms track every interaction. They identify which employees are struggling, which departments face higher risks, and which topics aren’t sticking. They can predict which employees are most likely to face ethical dilemmas—and target interventions accordingly. This feedback loop is transformative. Instead of guessing whether training “worked,” compliance professionals can know and take swift action when needed. AI-driven insights allow for dynamic course corrections, ensuring compliance education stays aligned with emerging risks, regulatory updates, and organizational changes.

By embedding continuous improvement into training, AI moves compliance education from a static obligation to a living, breathing strategy for risk management and corporate resilience.

Conclusion: The Future Is Now—Are You Ready?

The transformation of compliance education isn’t a “someday” concept. It is happening right now. Leading companies are already embedding AI, gamification, microlearning, real-time alerts, and VR simulations into their compliance ecosystems—and they’re seeing measurable results. Compliance training is no longer a boring box to check. It’s a dynamic, personal, data-driven force multiplier for ethics, integrity, and business performance.

The real question for compliance professionals today isn’t whether AI will reshape compliance education. It’s whether your organization will be a leader or a laggard in embracing change. The future of compliance education is here. It is immersive, predictive, personal, and powered by AI.

Are you ready to lead the way?

In short, the future of whistleblower programs is here—and it’s intelligent.

The above is from my latest book, Upping Your Game: How Compliance and Risk Management Move to 2030 and Beyond, available from Amazon.com.

Categories
Corruption, Crime and Compliance

DOJ Issues Data Security Program Requirements

Could your routine data transfers now violate federal law? The DOJ’s new Data Security Program (DSP) targets the flow of U.S. sensitive personal and government data to foreign adversaries — and the clock is ticking. In this episode of Corruption, Crime and Compliance, Michael Volkov breaks down the Justice Department’s sweeping new Data Security Program, enacted under Executive Order 14117 and finalized in January 2025.

You’ll hear him discuss:

  • The origins of the DSP, created through Executive Order 14117 under the Trump Administration, and the key national security concerns it addresses.
  • What constitutes a “covered data transaction” and the thresholds for U.S. personal and government data that trigger compliance obligations.
  • The list of “countries of concern” and what it means for companies doing business with entities tied to these regions.
  • The types of U.S. data covered by the DSP, including biometric, genomic, financial, and geolocation data, and the specific quantity thresholds that trigger restrictions.
  • Why data brokerage and bulk human genomic data transactions are prohibited outright, raising new compliance challenges for affected industries.
  • How “restricted transactions” like cloud computing services and vendor agreements are subject to conditional exceptions under the DSP.
  • The critical actions U.S. companies must take during the 90-day enforcement hiatus, including vendor assessments, renegotiations, and compliance system updates before the July 8th deadline.

Resources

Michael Volkov on LinkedIn | Twitter

The Volkov Law Group

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Adventures in Compliance

Adventures in Compliance: The Novels – A Study in Scarlet, Introduction to Compliance Lessons

In this new season of Adventures in Compliance, host Tom Fox will explore the Sherlock Holmes novels in depth. Over the course of this season, Tom will do so in a four-part series. The four novels we will consider from the ethics and compliance perspective are A Study in Scarlet, The Sign of Four, The Hound of the Baskervilles, and The Valley of Fear.

For our first offering this season, we begin with A Study in Scarlet. In part 1 of our four-part exploration of this novel, which introduced Sherlock Holmes and Dr. Watson to the world. We begin by summarizing the novel’s plot, which dsummarizeiscusses key events and Holmes’ brilliant deductive methods. We then take a deep dive into five critical compliance lessons from the story, including the dangers of institutional abuse of power, the imperative for structured justice, the necessity of root cause analysis, due diligence, and transparent communication within organizations. Join us for an engaging episode that underscores the relevance of Sherlock Holmes’ investigative strategies to modern compliance practices.

Highlights include:

  • Welcome to a New Season of Adventures in Compliance
  • The Summary of and a Deep Dive into ‘A Study in Scarlet’
  • Ethical Lessons for Compliance Professionals

Resources:

The New Annotated Sherlock Holmes

Sherlock Holmes FAQ by Dave Thompson

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FCPA Compliance Report

FCPA Compliance Report – From Compliance to Commercial Value: Removing Friction with AI

Welcome to the award-winning FCPA Compliance Report, the longest-running compliance podcast. In this episode, Tom welcomes back Jag Lamba, CEO at Certa, to discuss the use of GenAI in compliance tools.

Lamba advocates for the transformative power of artificial intelligence in revolutionizing third-party risk management. Lamba believes businesses can streamline processes, reduce friction, and enhance decision-making throughout various phases of third-party interactions by leveraging AI, particularly generative AI and natural language processing tools. He emphasizes that AI can simplify complex tasks like analyzing extensive reports and identifying specific risks, thus improving compliance reporting and operational efficiency. Lamba envisions a future where AI seamlessly integrates into core business operations, making compliance management an inherent and valuable aspect of organizational workflows, particularly benefiting smaller and mid-sized companies.

Key highlights:

  • Automating Third-Party Risk Management with AI
  • AI-powered Tools Enhancing Third Party Risk Management
  • AI-driven Automation for Enhanced Compliance Reporting
  • Automating Compliance Tasks to Boost Operational Efficiency

Resources:

Jag Lamba on Linkedin

Certa AI

Tom Fox

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For more information on the use of AI in Compliance programs, see my new book, Upping Your Game. You can purchase a copy of the book on Amazon.com

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Compliance Tip of the Day

Compliance Tip Of the Day – Using AI to Transform Whistleblower Response

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, we aim to provide bite-sized, actionable tips to help you stay on top of your compliance game. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep your organization on the right side of the law. Tune in daily for your dose of compliance wisdom, and let’s make compliance a little less daunting, one tip at a time.

Today, we consider how you can use AI to improve your whistleblower response and your culture of speaking up.

For more on embedded compliance, check out my new book, Upping Your Game: How Compliance and Risk Management Move to 2030 and Beyond, available from Amazon.com.