Podcast Episodes
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Effective Compliance Audits: The Basics
This podcast episode outlines the steps involved in conducting effective compliance audits. It details eight key stages, from defining the audit's scope and objectives to implementing corrective acti…
Published on 1 year ago
Compliance Risk Assessment: A Structured Approach
This episode outlines a structured approach to conducting a compliance risk assessment. It details eleven steps, from defining the scope and objectives to regularly reviewing and updating the assessm…
Published on 1 year ago
FCPA Compliance: A Guide for Compliance Officers
This episode is a comprehensive guide to the Foreign Corrupt Practices Act (FCPA), a US law prohibiting bribery of foreign officials by US businesses. Key aspects covered include the anti-bribery and…
Published on 1 year ago
GDPR Compliance for New Officers
This episode of “ the new compliance officers playbook“ provides a comprehensive guide to the General Data Protection Regulation (GDPR) for compliance officers. Key principles such as lawfulness, tra…
Published on 1 year ago
Defining and Managing Organizational Risk Appetite
This podcast episode of "The New Compliance Officer’s Playbook" explains the crucial concept of an organisation's risk appetite for compliance officers. It highlights how understanding an organisatio…
Published on 1 year ago
OFAC Compliance Basics: Sanctions Screening
This text details the importance of Office of Foreign Assets Control (OFAC) compliance for businesses. OFAC sanctions target individuals, entities, and countries posing threats to US national securit…
Published on 1 year ago
Compliance Metrics and Reporting: A Beginner’s Guide
This podcast episode, "Compliance Metrics and Reporting: A Beginner’s Guide," provides a practical introduction to compliance metrics for new compliance officers. It covers essential metrics across v…
Published on 1 year ago
Documentation: Your Best Friend in Compliance
This podcast episode, "Documentation: Your Best Friend in Compliance," stresses the critical role of thorough documentation in maintaining a robust compliance programme. It details why comprehensive …
Published on 1 year ago
Compliance Failures of 2024: Key Lessons Learned
This podcast episode discusses five major 2024 compliance failures – Wells Fargo, Amazon, Theranos, Volkswagen, and FTX – highlighting key lessons for compliance officers. The episode analyses the ro…
Published on 1 year ago
Red Flags Every Compliance Officer Should Know
This podcast episode of "The New Compliance Officers Playbook" highlights seven key warning signs – red flags – that compliance officers should recognise. These include lack of financial transparency…
Published on 1 year ago