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Innovation in Compliance

Innovation in Compliance: Scaling Compliance Programs: Insights from a Navy Veteran and Compliance Leader

Innovation comes in many areas, 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. This series is introduced by Tom Fox and hosted by Roxeanne Petraeus. Ethena sponsors this special five-part series on Innovation in Compliance.

In this engaging episode, Roxeanne Petraeus sits down with LaSalle Vaughn, a seasoned compliance leader and Navy veteran. They delve into Vaughn’s extensive experience in scaling compliance programs for both large and small companies, emphasizing the importance of top leadership buy-in, cross-functional collaboration, and creative compliance training solutions. Vaughn shares his journey to becoming a board member, the significance of network relationships, and how his military background informs his approach to building a strong compliance culture. The discussion also highlights the unique qualities of the Ethena compliance platform and the necessity of effective customer support. Listeners gain valuable insights on effective compliance strategies and career development in the compliance field.

Key highlights:

  • LaSalle Vaughn’s Background and Experience
  • Scaling Compliance Programs
  • Getting C-Suite Buy-In for Compliance
  • Cross-Functional Collaboration in Compliance
  • Path to Board Service
  • Military Influence on Compliance and Culture

Resources:

LaSalle Vaughn on LinkedIn

Ethena Website

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

Tom Fox

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Innovation in Compliance

Innovation in Compliance: Innovative Approaches to Compliance and Training with Catherine Choe

Innovation comes in many areas, 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. This series is introduced by Tom Fox and hosted by Roxeanne Petraeus. Ethena sponsors this special five-part series on Innovation in Compliance.

In this episode, Roxeanne Petraeus sits down with Catherine Choe, Chief of Staff to the Chief Legal Officer at Zendesk to discuss Choe’s unique career path leading to her current role at Zendesk. The conversation delves into compliance best practices, highlighting Choe’s insights on making training programs effective and engaging. They explore the implementation of innovative approaches like the ‘test out’ feature and the potential impact of AI on compliance. The discussion underscores the importance of a customer-centric approach and adaptability in compliance training.

Key highlights:

  • Catherine Choe’s Career Journey
  • Best Practices in Compliance
  • Operationalizing Compliance Training
  • Innovative Approaches: Test Out
  • AI’s Impact on Compliance
  • Feedback and Customization

Resources:

Catherine Choe on LinkedIn

Zendesk Website

Zendesk on LinkedIn

Ethena Website

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

Tom Fox

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Innovation in Compliance

Innovation in Compliance: Exploring the Intersection of Compliance, Technology, and AI with Ben Sperry

Innovation comes in many areas, 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. This series is introduced by Tom Fox and hosted by Roxeanne Petraeus. Ethena sponsors this special five-part series on Innovation in Compliance.

In this episode, Roxanne Petraeus explores the 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:

Ben Sperry on LinkedIn

Bestow on LinkedIn

Bestow Website

Ethena Website

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

 Tom Fox

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Innovation in Compliance

Innovation in Compliance: Training Synergy: Insights from Compliance and HR Integration with Lori Stahl

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

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Innovation in Compliance

Innovation in Compliance: Design-Centric Compliance Training with Karen Oddo

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. Ethena sponsors this special five-part series on Innovation in Compliance.

In this episode, Roxanne Petraeus welcomes Karen Oddo, Senior Managing Counsel and Legal Compliance at Unity Technologies. Karen shares insights on Unity’s software platform, which is 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 to improve compliance programs. With anecdotes from her experience and her value in working with Ethena’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 Ethena
  • Leveraging Analytics for Targeted Training
  • The Value of Strong Vendor Support

Resources:

Karen Oddo on LinkedIn

Unity Technologies on LinkedIn

Unity Technologies 

Ethena 

Roxanne Petraeus on LinkedIn

Ethena on LinkedIn

Tom Fox

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FCPA Compliance Report

FCPA Compliance Report: From Inputs to Outputs – Roxanne Petraeus and Susan Divers on Rethinking Compliance

Welcome to the award-winning FCPA Compliance Report, the longest running podcast in compliance. In this edition of the FCPA Compliance Report, host Tom Fox is joined by Roxanne Petraeus and Susan Divers from Ethena to discuss innovative perspectives on compliance training, specifically focusing on the 2024 update to the Evaluation of Corporate Compliance Programs.

Roxanne, drawing from her military background, emphasizes the importance of practical and effective compliance training that resonates with employees rather than traditional ‘check-the-box’ methods. Susan highlights the shift towards emphasizing outputs over inputs, urging for compliance programs that are not just on paper but practiced and understood by all employees.

The discussion delves into the new expectations from the DOJ regarding the use of AI and data analytics in compliance, positioning compliance officers as pivotal to maintaining organizational justice and fairness. They also explore strategies for persuading senior management to prioritize compliance through emphasizing organizational culture and reputation. The conversation concludes with the role of leadership in fostering a compliant culture and practical steps for reaching out to Ethena for further insights.

Highlights in this Episode:

  • Deep Dive into the 2024 Compliance Program Update
  • Roxanne’s Journey and Ethena’s Mission
  • Susan’s Transition to Ethena
  • Outputs Over Inputs: A New Compliance Focus
  • The Role of AI in Compliance
  • Leadership and Compliance Strategy

 Resources:

Roxanne Petraeus on LinkedIn

Susan Divers on LinkedIn

Ethena

Tom Fox

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Facebook

YouTube

Twitter

LinkedIn

For an audio/video version of the Compliance Kids book, Speaking Up is AWESOME, contact Tom Fox.