Podcast Episodes
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Guide to Reading & Interpreting Regulations
This podcast episode provides a guide for compliance officers in financial services on how to effectively read and interpret regulations. It covers foundational principles, such as understanding regu…
Published on 1 year ago
Regulatory Compliance 101: Understanding Your Industry Rules
This podcast episode, "Regulatory Compliance 101 – Understanding Your Industry Rules," provides a comprehensive introduction to regulatory compliance. It defines compliance, explaining its importance…
Published on 1 year ago
Internal Controls: Your First Line of Defense
This podcast episode, "Internal Controls: Your First Line of Defence," guides compliance officers on establishing and strengthening internal controls. It defines internal controls, illustrating preve…
Published on 1 year ago
Mapping Out Compliance Roles Across The Organization
This podcast episode outlines a method for improving organisational compliance. It stresses the importance of clearly defining compliance roles and responsibilities across different departments, high…
Published on 1 year ago
Stakeholder Identification in Compliance
This episode provides a comprehensive guide to stakeholder management within organisational compliance frameworks. It defines compliance and details the crucial roles of both internal (e.g., board me…
Published on 1 year ago
Tone at the Top: Compliance's Cornerstone
This New Compliance Officer Playbook Podcast episode explores the critical role of "Tone at the Top" in establishing a strong compliance culture within organisations. Leadership's ethical behaviour a…
Published on 1 year ago
Risk Management Basics for Compliance Professionals
This podcast episode, "Risk Management Basics for Compliance Professionals," provides a foundational understanding of risk management for compliance officers. It clarifies the distinctions between ri…
Published on 1 year ago
“Cash-for-crypto” swaps! International Money Laundering Ring Dismantled by NCA
A three-year investigation, codenamed Operation Destabilise, by the UK's National Crime Agency (NCA) has dismantled an international money-laundering operation based in Moscow and Dubai. The ring, al…
Published on 1 year ago
Mastering Compliance Assurance: A 2LOD Perspective
This podcast episode, aimed at first-line-of-defense (1LOD) compliance professionals, explains the role of the second-line-of-defence (2LOD) in compliance assurance. It details a compliance assurance…
Published on 1 year ago
Compliance Toolkit: Policies & Procedures
This podcast episode from the "New Compliance Officer Playbook" series focuses on building effective compliance toolkits through robust policies and procedures. It highlights the crucial role of clea…
Published on 1 year ago