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Innovation in Compliance

Innovation in Compliance: Navigating AI: Governance, Risk with some Culture Thrown in with Matt Kunkel

Innovation spans many areas, and compliance professionals need not only to be ready for it but also to 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 interviews Matt Kunkel, CEO and Co-Founder at LogicGate, about the company’s governance, risk, and compliance (GRC) platform and current market trends.

Matt recounts his path into regulatory risk and compliance work that led to founding LogicGate and launching its Risk Cloud platform in 2015. A major focus is AI governance. Tom and Matt explore how and why senior management is asking compliance teams to provide governance frameworks despite the absence of a single standard (e.g., NIST/ISO/SOC). Matt explains organizations need scalable processes to triage and route large volumes of AI usage requests, apply guardrails based on data sensitivity and criticality, and avoid becoming a bottleneck to innovation. He emphasizes training and culture to address employee misuse, highlighting risks of exposing proprietary data and the need to define what information is acceptable to input into AI models.

The discussion turns to LogicGate’s culture and how it has been sustained during rapid, organic growth (no acquisitions). Matt outlines LogicGate’s six values: Be as One, Embrace Your Curiosity, Empower Customers, Raise the Bar, Own It, and Do the Right Thing. For evaluating AI and modernizing compliance programs, he frames value in three outcomes: making money, reducing costs, or reducing risk, and describes LogicGate’s value realization framework that translates efficiency and ROI into business terms. He also describes Risk Cloud as an orchestration layer for compliance programs and anticipates more “intentional AI” and selective use of agentic capabilities rather than fully autonomous end-to-end program execution.

 

Key highlights:

  • From Consulting to GRC: Coding, Madoff Investigation, and Founding LogicGate
  • Why AI Is Supercharging the “G” in GRC
  • LogicGate’s Culture Playbook: Values That Scale with Hypergrowth
  • How to Evaluate AI Tools in Compliance: Proving Value, ROI, and “Intentional AI”
  • Cybersecurity in 2026: AI-Powered Social Engineering, Deepfakes, and Risk Mapping
  • What’s Next for GRC by 2030: Agents, Responsible AI, and Tech as the Glue

Resources:

Matt Kunkel on LinkedIn

LogicGate

Innovation in Compliance was recently ranked Number 4 in Risk Management by 1,000,000 Podcasts.

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Sunday Book Review

Sunday Book Review: January 18, 2026, The Top Books on Innovation ’26 Edition

In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone curious. It could be books about business, compliance, history, leadership, current events, or anything else that might interest Tom. In this episode, we look at some of the top books on innovation, both those already published and those scheduled for 2026.

  1. Twin Transformation: A Gripping Tale of How AI and Sustainability Converge, and the Race to Get It Right by Michael Wade & Konstantinos Trantopoulos 
  2. The Innovation Approach: Overcoming the Limitations of Design Thinking and the Lean Startup by David C. Roach
  3. The Shortest History of AI: The Six Essential Ideas That Animate It by Toby Walsh
  4. The Coming Wave: AI, Power, and Our Future by Mustafa Suleyman & Michael Bhaskar
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AI Today in 5

AI Today in 5: December 4, 2025, The Microsoft Blips Edition

Welcome to AI Today in 5, the newest edition of the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. Does AI portend the end of the law/consulting firm pyramid? (FT)
  2. Strengthening AI strategies with proactive compliance. (WSJ)
  3. Microsoft stock dips on the news. (CNBC)
  4. Salesforce touts AI adoption. (Bloomberg)
  5. Strong AI governance can foster innovation. (Bloomberg)

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

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AI Today in 5

AI Today in 5: December 3, 2025, The Code Red Edition

Welcome to AI Today in 5, the newest edition of the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. OpenAI declares Code Red. (WSJ)
  2. How compliance can drive AI innovation. (AboveTheLaw)
  3. How Amazon is embracing the AI chaos. (Bloomberg)
  4. AI and the economic singularity. (FT)
  5. Major banks are incorporating AI into their operations. (FinTechMagazine)

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

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AI Today in 5

AI Today in 5: October 28, 2025, The AI and National Security AI Edition

Welcome to AI Today in 5, the newest edition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. AI Red Tape and National Security. (CCI)
  2. Meta to replace humans for FTC-privacy reviews. (CNBC)
  3. AI assurance innovation. (FinTechGlobal)
  4. Why is Big Oil missing out on the AI energy bonanza? (The Economist)
  5. AWS infrastructure in the era of AI. (Bloomberg)

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

Categories
Innovation in Compliance

Innovation in Compliance – Adam Goslin on Navigating Security and Compliance in the Digital World

Innovation occurs across many areas, and compliance professionals need not only to be ready for it but also to 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 welcomes Adam Goslin, a seasoned IT professional who transitioned from developer to VP of IT and Infrastructure, and co-founded Total Compliance Tracking.

Adam and Tom address the complexities and challenges of security and compliance. Adam discusses how his journey into the compliance sector began with his efforts to achieve PCI compliance in his previous role, which illuminated a significant market gap for comprehensive compliance education and support. Driven by a passion to make compliance processes less burdensome, his vision for a comprehensive compliance-tracking company centers on delivering effective solutions that enable organizations to meet regulatory requirements with greater ease and efficiency. Through educational resources such as blogs and podcasts, Total Compliance Tracking demystifies the compliance process, helping organizations and individuals alike manage compliance responsibilities more effectively.

Key takeaways:

  • Evolution from Developer to Compliance Industry Leader
  • Revolutionizing Compliance Management with Bold Messaging
  • Comprehensive Solution for Data Control Challenges
  • Compliance Education Resources for Security and Compliance

Resources:

Connect with Adam Goslin

Connect with Total Compliance Tracking

Tom Fox

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Categories
Blog

Nights in White Compliance: Lessons from John Lodge and the Moody Blues for Today’s Compliance Professional

1, 2, 3, 4. While that sequence is well known, it is also one of the greatest rock n’ roll count-ins. It opens the John Lodge-written song “Ride My See Saw” by The Moody Blues. We lost John Lodge last week. The Moody Blues are in my top 5 bands of all time and were one of the leading lights of progressive (prog) rock.

According to his New York Times (NYT) obituary, John Lodge and Justin Hayward joined the band in 1966, replacing two founding members, Denny Laine and Clint Warwick. The classic Moody Blues lineup was now in place with Lodge and Hayward, with Mike Pinder on keyboards, Graeme Edge on drums, and Ray Thomas on flute and vocals.

It was their groundbreaking release of the 1967 album, “Days of Future Passed,” that changed rock n’ roll forever. It fused rock and orchestral music, establishing The Moody Blues as pioneers of progressive rock. It was one of the first rock albums to be structured as a concept album, telling a story over a 24-hour cycle. It propelled the band to international success, particularly through the enduring hit single “Nights in White Satin“. It offered elaborate arrangements, lush contributions from the London Festival Orchestra, and the plaintive sound of Mr. Pinder’s Mellotron, an electromechanical keyboard that plays samples of different instruments.

While the Moody Blues had hits for the rest of the century, it was their development of prog rock for which they will always be known. Today, I want to pay tribute to Lodge and explore five timeless lessons compliance professionals can learn from him and from The Moody Blues.

1. Innovation Begins When You Refuse to Accept the Status Quo

When Days of Future Passed was released in 1967, it was unlike anything listeners had ever heard. The Moody Blues combined rock instrumentation with full orchestral arrangements, creating a symphonic concept album that broke every rule of the time. Instead of focusing on singles or radio hits, they presented a continuous musical experience that told a story, a day in the life of ordinary people, elevated to art.

For compliance professionals, the lesson is clear: the most meaningful innovation happens when you refuse to accept “the way it’s always been.” Lodge and his bandmates didn’t abandon structure; they reimagined it. Likewise, modern compliance programs shouldn’t merely follow old templates. Whether it is integrating AI-driven monitoring, developing behavioral analytics, or crafting narrative-based training, progress comes from seeing beyond the checklist and daring to compose something new. In other words, the future of compliance is not mechanical; it is symphonic.

2. Harmony Requires Every Voice

The Moody Blues were more than the sum of their parts. Lodge’s melodic bass anchored Justin Hayward’s soaring vocals, Ray Thomas’s flute added ethereal texture, and Graeme Edge’s drumming provided both rhythm and poetry. Each member contributed a distinct voice, yet they blended perfectly into harmony.

A world-class compliance program operates the same way. No single person or department can carry the tune alone. Compliance requires a cross-functional orchestra; legal, HR, finance, audit, operations all playing from the same score. When departments act in isolation, the result is noise; when they work in harmony, it is music. Lodge’s approach to collaboration reminds us that leadership in compliance is not about conducting with authority but coordinating with empathy. The best Chief Compliance Officers listen as much as they lead.

3. Build Systems That Evolve

Progressive rock, by its very name, implies evolution, the willingness to progress. The Moody Blues constantly evolved their sound: from the baroque experimentation of On the Threshold of a Dream to the electronic textures of Long Distance Voyager. They did not stagnate; they adapted.

Compliance programs, too, must evolve with changing times. Regulations, markets, and technologies shift. What worked in 2015 may be obsolete in 2025. The DOJ’s 2024 Evaluation of Corporate Compliance Programs underscores this need for adaptability, requiring that programs be “dynamic, data-informed, and risk-based.” Lodge’s musical journey embodies that principle. He never let nostalgia stop innovation. Compliance officers should adopt the same mindset, continuously evaluating controls, integrating feedback, and embracing technology to remain relevant. Evolution, not inertia, sustains credibility.

4. Tell a Story That Inspires, Not Just Informs

The Moody Blues were not just musicians; they were storytellers. Songs like Nights in White SatinQuestion, and Isn’t Life Strange resonated because they connected emotionally. They did not lecture; instead, they invited listeners to reflect. Each album was an emotional arc, designed to make people feel, not just think.

That is precisely the challenge and opportunity for compliance communication. Too often, we rely on policies and PowerPoints that inform but fail to inspire. John Lodge understood that engagement requires narrative. Compliance professionals can learn from that: training should tell stories, not recite statutes. Whistleblower programs should humanize courage, not just codify reporting channels. Codes of conduct should speak to values, not just violations. In short, emotion drives ethics. Lodge showed us that communication, when done with authenticity, can change behavior. Compliance leaders should compose their messaging the same way musicians write songs: with heart, structure, and meaning.

5. Legacy Matters More Than Fame

Though The Moody Blues achieved global recognition, they never chased popularity at the expense of integrity. Their albums demanded patience and reflection,  qualities at odds with commercial radio. Yet their influence endures precisely because they valued substance over spectacle. Lodge once said he wanted to “create music that would last.” And it has.

For compliance professionals, this is the ultimate lesson: sustainability over visibility. A compliance program’s success is not measured by awards or press releases but by resilience, the quiet trust employees place in doing the right thing even when no one’s watching. Lodge’s passing reminds us that legacies are built note by note, day by day. In compliance, every investigation handled with fairness, every training delivered with clarity, every policy written with purpose, these are our symphonies. The work may seem routine, but over time, it becomes timeless.

Closing Reflections: From Melodies to Ethics

As we reflect on John Lodge’s contribution to music, we can see the deeper resonance for our own profession. Progressive rock does not simply entertain; it continues to expand what music could be. Likewise, compliance today is no longer a back-office function; rather, it is a driver of culture, innovation, and trust.

Both disciplines, music and compliance, strive for harmony amid complexity. Both require structure balanced with creativity. Both depend on collaboration, communication, and conviction.

So as we say goodbye to John Lodge, perhaps we can also rededicate ourselves to what he and The Moody Blues represented: the belief that art and ethics can elevate humanity. Because in the end, every great compliance program, like every great song, seeks the same outcome: to move people toward something better.

===============================================================

A special thanks to Alison Taylor, who many years ago named me the Rock’ N’ Roll Compliance Blogger. It is my favorite moniker of all time and one I still take seriously. 

Tom’s Top 5 John Lodge Songs (all links from YouTube)

  1. Ride My See Saw – Lodge said of the song, “It started, really, like a lot of my rock ‘n’ roll songs, as a rhythm track building up. “I wanted it to be this chorale, where we’re all singing these harmonies through the song — it’s interesting that way,” he added.
  2. I’m Just a Singer (in a rock n roll band)- Lodge retook the lead for this Top 20 track, the last single of the Moody Blues’ first phase. Lodge’s message was world peace through music, singing that “I’m just a-wandering on the face of this earth/Meeting so many people who are trying to be free…Now we’ve found the key.” The song marked the last time the group used a Mellotron, which was one of its sonic hallmarks, while the saxophone sound came from a Chamberlin keyboard.
  3. (Evening) Time to Get Away – Lodge made his prog rock mark on the group’s thematic masterwork first with “Lunch Break: Peak Hour” but more memorable with the airy “(Evening) Time to Get Away),” part of “The Afternoon” suite that kicked off side two in tandem with Hayward’s “Forever Afternoon (Tuesday?).”
  4. Natural Avenue – Part of the album Lodge and Hayward made together during the Moodys’ hiatus, this kicked off the second side of the album with symphonic bombast. Its theme, established in the title, maintained Lodge’s heartfelt belief in the divine (spiritually more than religiously) power of music.
  5. Gemini Dream – This song emerged from a jam session built from a dance-floor targeted beat, with Lodge’s chugging bass pushing the groove. Lodge’s original title, by the way, was “Touring in the USA,” while Hayward came up with “Backstage Pass;” they settled on “Gemini Dream” as a representation of their dual personalities. It received an ASCAP songwriting award for the track, which reached its No. 12 peak as the Moody’s best for a new song in eight years.

Resources:

Top 10 John Lodge Songs

Categories
Innovation in Compliance

Innovation in Compliance – Brad Stevens: Part 2 – Building a Culture of Innovation

Innovation comes in many areas, and compliance professionals need to not only be ready for it but also 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 concludes a two-part series with Brad Stevens, focusing today on the innovations of Outsource Access. Brad shares his insights on how fostering a sense of belonging and recognition among employees can lead to remarkable business success. Discover how Outsource Access is redefining the outsourcing industry by prioritizing employee growth, community engagement, and cultural fit.

Key takeaways:

– 🌟 The significance of recognizing employees as individuals, not just numbers. 

– 📈 Growth initiatives like SOAR and Isof that empower employees. 

– 🎉 Celebrating achievements through consistent and meaningful recognition. 

– 🌍 Aligning company goals with the United Nations Sustainable Development Goals. 

– 🤝 Ensuring client and employee cultural alignment for mutual success.

Highlights:

  • The Importance of Culture in Outsourcing
  • Growth and Development Initiatives
  • Celebration and Community Engagement
  • Client Experience and Cultural Fit
  • Consistency in Culture Implementation

 Connect with Outsource Access:

🔸 Outsource Access on LinkedIn

🔸 Outsource Access website

🔸 Brad Stevens on LinkedIn

Resources:

Tom Fox

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LinkedIn

Check out my latest book, Upping Your Game-How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com

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

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Innovation in Compliance

Innovation in Compliance: Brad Stevens: Part 1 – Transforming Outsource Perceptions

Innovation comes in many areas, and compliance professionals need to not only be ready for it but also 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 begins a two-part series with Brad Stevens.

Brad is the Founder and CEO of Outsource Access, to discuss the transformative power of culture in outsourcing. Brad shares his journey from a product disaster to building a thriving business with over 500 employees in the Philippines. Discover how focusing on culture before scaling people has led to Outsource Access’s success and changed perceptions of offshoring.

Key takeaways:

– 🌍 Changing perceptions of outsourcing from sweatshops to growth opportunities.

– 🤝 The importance of treating employees well to foster loyalty and growth.

– 🌟 Building a people-centric business that prioritizes culture.

– 📈 The impact of culture on business growth and client satisfaction.

– 🏆 The ten pillars of culture that drive Outsource Access’s success.

Key highlights:

  • Changing Perceptions of Outsourcing
  • The Journey of Outsource Access
  • Building a People-Centric Business
  • The Ten Pillars of Culture
  • Commitment to Community and Employee Well-Being

Connect with us:

🔸 Outsource Access on LinkedIn

🔸 Outsource Access Website

🔸 Brad Stevens on LinkedIn

Resources:

Tom Fox

Instagram

Facebook

YouTube

Twitter

LinkedIn

Check out my latest book, Upping Your Game: How Compliance and Risk Management Move to 2023 and Beyond, available from Amazon.com.

Categories
Innovation in Compliance

Operationalizing Trust at Scale: A Conversation with Amanda Carty on Compliance and AI

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 Jessica Czeczuga, Amanda Carty, and Neta Meidav. In Part 2, Tom is joined by Amanda Carty, GM Compliance Solutions at Diligent.

Carty shares insights from her decade-long experience in the GRC field and offers detailed perspectives on how leaders can model ethical behavior within their organizations. The conversation dives into how Diligent helps companies assess and document leadership effectiveness and the role of AI in enhancing compliance initiatives. Carty emphasizes the necessity of leaders acting as ambassadors of culture and the impact of measurable outcomes in compliance programs. The episode also explores the integration of AI and chatbots to provide real-time compliance support to employees, ensuring efficiency and ease of access to crucial information.

Key highlights:

  • Importance of Tone at the Top
  • Leadership and Ethical Culture
  • AI in Compliance
  • Employee Engagement and Technology
  • Actionable Takeaways for Compliance Professionals 

Resources:

Amanda Carty on LinkedIn

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