Compliance Time

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In this episode we are asking are we ready to experiment with compliance in order to make it better and more efficient? Can we implement different ways and use tools from other areas of business which would inspire compliance within the firm? 

In this episode we are going to explore the connection between compliance and behavior science. Guest on the podcast is Christian Hunt - the founder of Human Risk, a Behavioural Science led Consulting and Training Firm, specialising in the fields of Ethics & Compliance. He was formerly Managing Director at UBS where he was Head of Behavioural Science. Christian joined the Firm in Compliance & Operational Risk Control, leading the function globally for UBS Asset Management. Prior to joining UBS, he was COO of the UK Prudential Regulation Authority, a subsidiary of the Bank of England responsible for regulating financial services.

Christian speaks and writes regularly about Behavioural Science and human risk. He also hosts and produces the Human Risk podcast - you must check that out! Links will be in the show notes. 

Website is www.human-risk.com

Twitter account is @humanriskltd

LinkedIn is www.linkedin.com/in/humanrisk

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In this episode we will talk about insider trading - how it happens, how do people rationalize it and how compliance can help. Our guest sharing his experience with us is Tom Hardin. 

Tom Hardin previously spent much of his career as a financial analyst in the U.S. In 2008, as part of a cooperation agreement with the U.S. Department of Justice, Tom assisted the U.S. government in understanding how insider trading occurred in the financial services industry.

Known as “Tipper X,” Tom became one of the most prolific informants in securities fraud history, helping to build over 20 of the 80+ individual criminal cases in “Operation Perfect Hedge,” a Wall Street house cleaning campaign that morphed into the largest insider trading investigation of a generation. As the youngest professional implicated in the sting, Tom was tasked with wearing a covert body wire on over 40 occasions to help the FBI bring down some of its biggest targets in the industry.

Later Tom was invited by the FBI's New York office to speak to their rookie agents in 2016 and is now a global keynote speaker, corporate trainer and board advisor on behavioral ethics, compliance and organizational conduct and culture risk. Through rigorous self-examination, Tom took responsibility for his actions as a young professional, used the experience to transform his life and is now on an on-going journey into human behavior and why we sometimes make the wrong decision.

https://tipperx.com/
https://www.linkedin.com/in/tom-hardin-0952324/

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Guest in this episode is Robert Nordlander - the host of Fraud Fighter podcast, a former special agent 20 years of experience in fraud investigations, forensic accounting and criminal financial investigation.  As part of his career he has seized millions of dollars in assets, real estate, bank accounts, mutual funds, and vehicles by tracing the origins of criminal proceed. He also teaches forensic accounting and investigative techniques in the US and abroad.
So what to expect from the first episode from season 2? 
This episode is full of great real-life examples from Robert's career. He shares some of the tips on how to file an attention grabbing SAR and what do IRS investigators look at first in a SAR. 

Find out more about Robert here:
Website: https://www.fraudfighterpodcast.com/
LinkedIn: https://www.linkedin.com/in/robert-nordlander-cpa-cfe-367203169/

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While working on Compliance Time season 2, we prepared for you this episode featuring all the great advices and recommendations of our last year guests on how to be better financial crime professional. 

You will hear once more how to prepare for a career or promotion in compliance, the importance of learning and technology, how to understand risks and regulations.
This 50 minutes episode combines the knowledge of 12 episodes which we recorded in 2020. 
Hope you will like all the tips and advises and that they will be useful in 2021. 

Let’s keep learning together!
Stay tuned for season 2 of Compliance Time. 

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Guest of the podcast in episode 23 is Aaron Kahler - the founder of the Anti-Human Trafficking Intelligence Initiative (ATII). Aaron has more than 15 years experience in the Financial Crimes & Regulatory Compliance Advisory space. The Anti-Human Trafficking Intelligence Initiative (ATII) is a nonprofit that encourages financial institutions and companies globally to practice corporate social responsibility and implement anti-human trafficking programs within their organizations (such as policies & procedures, training-live/eLearning, red flags & indicators, high risk trafficking data, and more). The organization addresses gaps in the detection, prevention and reporting of corporations & financial institutions around human trafficking in comparison to how other financial crime prevention is prioritized.  They also have partnerships with Federal, State & local law enforcement in the US, as well as agencies and NGO's to support investigations around trafficking, child exploitation, and missing persons. 

We are very happy to share with you news about an upcoming event! This January, ATII will organize its first virtual summit.  In this webinar conference, you can hear more from BSA Officers, Financial Crime Investigators, Regulators & more to promote corporate social responsibility through increasing awareness, facilitating intelligence integration and using strategic data collaboration.

Reserve your FREE ticket now, and follow ATII on LinkedIn - you can find links in the show notes.

Register for the Summit here: https://followmoneyfightslavery.org/SUMMIT/ ; 

ATII's LinkedIn page: https://www.linkedin.com/groups/1841687/ ;

Aaron's LinkedIn page: https://www.linkedin.com/in/aaronmkahler/ 

ATII's Blog: https://followmoneyfightslavery.org/blog/

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Guest of the podcast is Elliott Turner - a compliance professional, based in South Africa, with a passion for wildlife and the natural world. He spent the last 13 years guiding, advising and supporting top tier firms in the Banking, Investment Management and FinTech industries. 
His passion for wildlife and the natural world, has given him the opportunity to help raise awareness of the Illegal Wildlife Trade, which included putting together a webinar series entitled “Wildlife Crime is Financial Crime” with Navigate Compliance and the International Compliance Association (ICA).  In this episode we discuss the webinar series, and IWT as an issue, including red flags, statistics, prominent themes and how financial compliance professionals can help to deter and disrupt IWT. 

Connect with Elliott on LinkedIn: https://www.linkedin.com/in/elliott-turner/
Resources
1. Wildlife Crime is Financial Crime webinar series
Day 1: https://attendee.gotowebinar.com/recording/2623482433003964939
Day 2: https://attendee.gotowebinar.com/recording/5351984309048759819
Day 3: https://attendee.gotowebinar.com/recording/1357372803542174210
Day 4: https://attendee.gotowebinar.com/recording/2445831040968379907
2. Financial Action Task Force (FAFT) Paper on Money Laundering and the IWT:  http://www.fatf-gafi.org/media/fatf/documents/Money-laundering-and-illegal-wildlife-trade.pdf
3. Targeting Natural Resource Corruption: https://www.worldwildlife.org/pages/tnrc-topic-brief-targeting-corruption-and-its-proceeds
4.  WWF Living Planet Report: https://livingplanet.panda.org/en-za/
5. TRAFFIC: The people beyond the poaching: Interviews with convicted wildlife offenders in South Africa:  https://www.traffic.org/publications/reports/the-people-beyond-the-poaching/
6. United for Wildlife:  https://unitedforwildlife.org 
7. ESAAMLG special typologies report:https://esaamlg.org/reports/TYPOLOGIES-REPORT-ON-THE-WILDLIFE-CRIMES-AND-RELATED-ML..pdf
8. ACAMS Certificate - Ending IWT: https://www.acams.org/en/training/certificates/ending-illegal-wildlife-trade
9. Manchester CF Certificate - Wildlife Trafficking:  https://manchestercf.myshopify.com/collections/frontpage/products/fiu-connect-wildlife-trafficking
10. IWT related documentaries: The Ivory Game - ttps://www.netflix.com/za/title/80117533
Sea of Shadows (about the Vaquita) - https://films.nationalgeographic.com/sea-of-shadows
Stroop - https://www.stroop-film.com

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In this episode guest is Stephen Brent Sargent from Canada. 
You may have already seen the amazing content he creates on LinkedIn and not only; or maybe you have met him on events, including his own "Ask Me Anything". He is also the creator of We Are On a Break podcast. 
On top of being a cryptocurrency compliance expert, Stephen is also sharing his tips on networking and personal branding. He is a world-class connector, and helps finding top talent in the Cryptocurrency and Traditional AML industry. 
This is an episode on personal branding and how to stand out from the crowd. As you will heard from Stephen - applying for jobs is easy, but actually doing the work to show your unique skills and brand is something that can really make difference. Additionally, this episode will have you thinking if you defined your dream job and how does that look like for you? 
Connect with Stephen on his LinkedIn: https://www.linkedin.com/in/stephen-brent-sargeant-cams 

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Guest in the Episode is Alexander Dill - a Chicago-based scholar, university and in-house instructor, and advisor specializing in financial regulation, model risk management, and general risk management and compliance. He teaches at top US universities: at UCLA, in the School of Law and Anderson School of Management, and in the University of Chicago’s Financial Mathematics Program. His courses span a broad range of areas involving the financial markets – banking and capital markets regulation, corporate governance and risk management, model risk management, and compliance in financial institutions. He provides in-house instruction to and advises financial firms on trends in financial regulation and issues specific to their business.

As a compliance officer at Moody's Investors Service, Alexander designed their ratings compliance function in 2003 following the Enron and other accounting scandals that had resulted in multi-notch downgrades. With professional experience in Moody's and the SEC, the Securities and Exchange Commission in the US, Alexadnder's research and writing focus is on the intersection of the capital markets and the banking system and their regulatory and supervisory frameworks from an economic perspective.

Resources which were discussed in the episode:

Link to Bank Regulation, Risk Management, and Compliance: Theory, Practice, and Key Problem Areas (Practical Finance and Banking Guides) - https://amzn.to/3fn6kOe

Alexander's website: http://financialmarketreg.com/ 

Alexander's LinkedIn page: https://www.linkedin.com/in/alexanderdill/ 

A free chapter from Alexander's book: https://tandfbis.s3-us-west-2.amazonaws.com/rt-files/docs/Open+Access+Chapters/9780367367497_oachapter6.pdf

Financial Times Op Ed article: https://www.ft.com/content/cf30bc50-1c2c-11ea-81f0-0c253907d3e0

The Goldman's 1MDB scandal reflects highly skewed priorities and norms in tone at the top article: https://www.linkedin.com/pulse/goldmans-1mdb-scandal-reflects-highly-skewed-priorities-dill/?trackingId=97RG3A3lTL63ou%2Biz3XPuQ%3D%3D

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Compliance Time has now 19 episodes! Guest of the podcast in Episode 19 is Greg Pinn from Merlon.ai and our conversation will be all about adverse media screening. Greg has spent the last 12 years building AML and KYC products and services for financial institutions around the globe. During his time in compliance, he has run product and strategy operations for a variety of compliance vendors, including the World-Check product line at Thomson Reuters (now Refinitiv) and a number of RegTech startups.  While he has spent over a decade working across AML, including sanctions, PEPs, screening, and transaction monitoring, he now runs product and strategy for Merlon.ai, focusing his efforts on adverse media screening.

What about Merlon? Merlon is revolutionizing adverse media investigations for AML, KYC, and due diligence by automating the tedious, repetitive process of finding, organizing, and reading articles.  Through its advanced AI and Natural Language Processing engines, Merlon separates relevant and irrelevant articles, understands article context, and determines the subject’s involvement, allowing analysts to review consolidated findings instead of long lists of articles.  Merlon's global team of experts is dedicated to making the world a safer place by leveraging the power of AI to fight financial crime.

Check out Merlon here: https://merlon.ai/ 
Connect with Greg on LinkedIn: https://www.linkedin.com/in/gregpinn/
And remember to subscribe for Compliance Time updates on our website www.cmpltime.com also, we count on your 5-star review so more people can find the podcast.

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Our guest today is Sujata Dasgupta - the Global Head for Financial Crimes Compliance Advisory in Tata Consultancy Services Ltd. I had the pleasure to be a co-panelist with Sujata on an ACFCS webinar "Making the case for Ongoing KYC". We connected after the webinar and decided to create an amazing new Compliance Time episode together - check out the webinar recording at www.cmpltime.com

Sujata is an accomplished thought leader,  author, columnist and speaker, and is regularly interviewed by reputed international journals for her analysis and opinions on contemporary topics in this area. She has over 20 years of experience, having worked extensively in the areas of KYC, Sanctions, AML and Fraud across banking operations, IT services and consulting. She has had a rich global exposure through her work with premier banks in several major financial hubs, viz. New York, London, Singapore, Hong Kong, Frankfurt and Nordics.

Sujata's LinkedIn: https://www.linkedin.com/in/sujata-dasgupta-69473a20/ 

Column in Corporate Compliance Insights: https://www.corporatecomplianceinsights.com/ 

Fintech Futures - https://www.fintechfutures.com/ 

Financier Worldwide - https://www.financierworldwide.com/ 

Risk & Compliance Magazine - https://riskandcompliancemagazine.com/ 

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