Compliance Time

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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.org

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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/3nKtiUz

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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/

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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/ 

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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/

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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 

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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/

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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.pdf

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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/

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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.llc

Torres Trade Advisory: www.torrestradeadvisory.com
Sentinel LLC- www.sentinelllc.net

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