General
Turning Around Compliance Programs
Most compliance officers will at some point in their careers find themselves needing to turn around an under-performing corporate compliance program. So today we have another Radical Compliance podcast interview, this time with a compliance officer who styles himself as a “turn-around specialist.” He had plenty to say about how to get under-performing programs back…
Read MoreMore Tips on Third-Party Risk
FINRA, the regulator for broker-dealer firms, published its annual report on regulatory oversight issues this week — and to little surprise, the report included a section on third-party risk and the internal controls that your firm should consider to keep those risks in check. The advice is useful to anyone in any business sector, so…
Read MoreCorporate Culture Under Strain, Part I
Compliance officers, we need to talk about corporate culture. It’s been going through some stuff lately, that stuff could have big implications for the compliance programs you so desperately want people to take seriously. First is the push to bring employees back into the office once and for all — full time, five days a…
Read MoreTalking AI and ‘Model Risk’
Today we have a heads up for all you compliance officers in the financial services sector: Radical Compliance and Forensic Risk Alliance will be hosting a webinar on Jan. 29 exploring the risks of artificial intelligence, and the new governance and risk management methods you’ll need to develop to keep those AI risks in check.…
Read MoreOptimizing the Right Compliance Vector
A compliance officer should always be ready to take a good idea wherever you find it and figure out how it might improve your compliance program. In that spirit, today let’s talk about a nifty phrase I stumbled across in the technology world that could help compliance officers immeasurably in these tumultuous days: finding “the…
Read MoreRebutting Resistance to Compliance Investments
Earlier this week I visited one of the larger compliance vendors in the market to talk with their sales staff about the pressures compliance officers face. Our discussion quickly centered on two questions. First, why do some companies decide not to invest in compliance capabilities? And second, what are some possible arguments that might change…
Read MoreOh Good Lord, Vendors
Compliance vendors, we need to talk. I can appreciate that selling compliance software is a challenging job, and sales reps need to be creative when trying to reach their compliance officers targets — but do we really need to be clogging companies’ whistleblower programs with product pitches? That, apparently, is the complaint of the week…
Read MoreFive Compliance Issues to Watch in 2025
Welcome to the new year, fellow compliance enthusiasts! As you struggle to answer all those emails and calendar alerts you’ve ignored for the last two weeks, allow me to distract you with some of the bigger issues — like, say, the issues that made it onto the annual Radical Compliance list of compliance events worth…
Read MorePodcast: Preparing for Immigration Compliance
The incoming Trump Administration will bring lots of tumult in 2025, but we can make one safe bet: that immigration compliance will be a top enforcement priority. So today we have another Radical Compliance podcast to unpack what that enforcement wave might look like, and how compliance teams can prepare now for what’s to come. …
Read MoreMetrics for Assessing AML Compliance Program
Financial crimes compliance is not easy, and that’s especially true for fintech firms — young, fast growing, and subject to a complicated thicket of anti-money laundering rules. Building an effective compliance program in that environment is not easy, and compliance officers need to tread carefully to get it right. To that end, in this post…
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