• Compliance into the Weeds

  • De: Tom Fox
  • Podcast

Compliance into the Weeds Por arte de portada

Compliance into the Weeds

De: Tom Fox
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  • Resumen

  • What happens when two compliance aficionados get together to talk all things compliance, risk management and ERM? You get Tom Fox, the Voice of Compliance and Matt Kelly, the Coolest Guy in Compliance, going into the weeds of a topic each week. Each week, you can take a deep dive with two of the top writers, thinkers and prognosticators in compliance.
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Episodios
  • AI Accountability and Explainability

    AI Accountability and Explainability
    Jun 12 2024
    The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode Tom Fox and Matt Kelly delve into the recent speech by Michael Hsu, the head of the Office of the Comptroller of the Currency, on the accountability challenges posed by artificial intelligence in the banking sector. The discussion highlights Hsu's emphasis on the lack of a robust accountability framework for AI, illustrating the issue with the Air Canada chatbot incident. The conversation also touches on potential systemic risks AI could pose to the financial sector, the need for explainable AI, and the shared responsibility model used in cloud computing as a potential template for addressing these challenges. The episode underscores the necessity for compliance officers to ensure contracts and IT controls are in place and stresses the importance of developing trust and accountability mechanisms before widespread AI adoption. Key Highlights · AI Accountability: A Regulator's Perspective · Case Study: Air Canada's AI Mishap · Legal and Technological Challenges · Exploring Solutions and Shared Responsibility Resources Matt on Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices
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    26 m
  • Analyzing The Trump Conviction: Compliance Lessons from an Unprecedented Case

    Analyzing The Trump Conviction: Compliance Lessons from an Unprecedented Case
    Jun 5 2024
    The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of ‘Compliance Into the Weeds’, Tom and Matt take a deep dive into last week’s trial verdict against Donald Trump in NYC and lessons for the compliance professional. We explore the importance of internal controls, consistent consequence management, and effective leadership. They also delve into how compliance officers can learn from the storytelling strategies used in the trial and emphasize the application of the rule of law. Key Highlights: Overview of Trump’s Criminal Conviction Internal Controls and Compliance Lessons Consequences Management and Consistent Enforcement Ethical Leadership and Communication Who is your audience? Storytelling in Compliance Final Thoughts and Rule of Law Resources: Matt on Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices
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    25 m
  • Of Fat Fingers, Internal Controls and Compliance

    Of Fat Fingers, Internal Controls and Compliance
    May 29 2024
    The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode, Tom and Matt delve deep into Citigroup’s $126 million trading error, resulting from poor internal controls. They discuss how a simple ‘fat finger’ error by a trader led to a major flash crash on European stock exchanges in 2022, and how the failure of Citigroup’s internal controls allowed it to happen. The discussion covers multiple compliance lessons, including the importance of understanding the human element in control design, the need for adequate staffing and monitoring, and the necessity of consistent global risk management. Fox and Kelly also highlight the importance of addressing findings from internal audits and maintaining urgency in improving internal controls. They emphasize that companies should think creatively about risk management, taking into account various global factors, including holidays and local regulations. Key Highlights: The Citigroup Internal Control Fiasco Compliance Lessons from Citigroup's Mistake The Human Element in Compliance and Control Failures Global Consistency in Risk Management Resources: Matt on Radical Compliance Tom Instagram Facebook YouTube Twitter LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices
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    29 m
Gestión Economía Política y Gobierno
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