Compliance Officers Playbook
Episodes
Fraud, Family, and Fortitude
10 Jan 2025
Contributed by Lukas
This episode recounts the author's personal experience with fraud, stemming from their parents' criminal histories. One parent embezzled funds out of ...
Financial Transparency and Consumer Protection
10 Jan 2025
Contributed by Lukas
The episode outlines key regulatory priorities for 2025, focusing on enhanced transparency and accuracy in financial products and services. It emphasi...
Financial Regulation and Innovation
10 Jan 2025
Contributed by Lukas
The episode discusses the challenges regulators face in adapting to the rapidly evolving financial landscape. Increased innovation, particularly in ar...
Fraud Risk Management & Internal Controls
09 Jan 2025
Contributed by Lukas
This episode details crucial aspects of a robust fraud risk management program. Internal controls, encompassing data tracking, authorisation processes...
Sizing Exposures: Navigating Risk in a Digital World
09 Jan 2025
Contributed by Lukas
This podcast episode discusses the increasing importance of exposure sizing in a rapidly evolving digital risk landscape. It highlights the growing re...
Fraud Risk Management: Identification, Prevention, and Response
09 Jan 2025
Contributed by Lukas
The episode outlines crucial aspects of fraud prevention and detection for companies, focusing on regulatory expectations. Key areas highlighted inclu...
A Walking Backwards Plan to Building a Successful Compliance Function
08 Jan 2025
Contributed by Lukas
This episode outlines a nine-step plan for establishing a robust compliance function within a European market. The strategy, termed a "walking backwar...
Compliance Challenges in New Markets
08 Jan 2025
Contributed by Lukas
This podcast episode, “Challenges in the Early Stages: Navigating Compliance in New Markets”, discusses the difficulties companies face when estab...
From Existing Skills to GRC Careers
08 Jan 2025
Contributed by Lukas
The episode explores how diverse professional backgrounds can successfully transition into careers in Governance, Risk, and Compliance (GRC). It highl...
Compliance Thresholds & Monitoring in 2025
07 Jan 2025
Contributed by Lukas
This podcast episode discusses the evolving landscape of financial crime and regulatory expectations for 2025. It highlights the increasing importance...
The Oscars of Compliance: Acing Regulatory Inspections
07 Jan 2025
Contributed by Lukas
This podcast episode, "The Oscars of Compliance," provides a guide for compliance officers to successfully navigate regulatory inspections. It stresse...
Data Lineage and Quality in Compliance: A 2025 Regulatory Outlook
07 Jan 2025
Contributed by Lukas
This podcast episode discusses the increasing regulatory focus on data lineage and quality in 2025. It highlights the importance of understanding data...
Heightened Compliance Risks in 2025
07 Jan 2025
Contributed by Lukas
This podcast episode of "The Compliance Officers Playbook" discusses heightened financial risks in 2025, focusing on key areas for US regulators: corr...
Top Three AI Risk Challenges
06 Jan 2025
Contributed by Lukas
This episode outlines the significant challenges in managing AI risks. Rapid technological advancements and divergent regulatory landscapes across var...
AI Risk Management: Governance, Accountability and Transparency.
06 Jan 2025
Contributed by Lukas
This podcast episode of The Compliance Officers Playbook discusses managing risks associated with artificial intelligence (AI). It highlights core pri...
The Seven Core Principles for Trustworthy AI
06 Jan 2025
Contributed by Lukas
This podcast episode focuses on the core principles for trustworthy AI, examining the evolving US regulatory landscape. Seven key principles are highl...
Navigating the Future of Trusted AI and Systems: What’s Next in 2025?
06 Jan 2025
Contributed by Lukas
A podcast episode, "Navigating the Future of Trusted AI and Systems: What’s Next in 2025?", discusses the anticipated changes in US AI regulation in...
Global Regulatory Divergence and Risk
05 Jan 2025
Contributed by Lukas
The episode highlights the significant challenges posed by diverging regulations across different jurisdictions. These inconsistencies in state, feder...
2025 Regulatory Challenges and Shifting Legal Landscapes
05 Jan 2025
Contributed by Lukas
The episode forecasts a significant shift in regulatory approaches due to increased legal challenges. Agencies will favour issuing guidance documents ...
Navigating Regulatory Shifts in 2025 – The Evolving Landscape of Compliance
05 Jan 2025
Contributed by Lukas
This podcast episode, "Navigating Regulatory Shifts – The Evolving Landscape of Compliance," discusses the changing regulatory landscape for busines...
The Role of AML Professionals in Disrupting Terrorist Financing
05 Jan 2025
Contributed by Lukas
The episode details the crucial role of Anti-Money Laundering (AML) professionals in disrupting terrorist financing. It explains how terrorists fund t...
How to Conduct a Basic Compliance Gap Analysis.
05 Jan 2025
Contributed by Lukas
This podcast episode outlines how to perform a basic compliance gap analysis. It defines a compliance gap analysis as comparing an organisation's comp...
Generative Artificial Intelligence and Financial Fraud
05 Jan 2025
Contributed by Lukas
The FBI has warned of a significant increase in cybercrime facilitated by generative AI. Criminals are exploiting AI's capabilities to produce reali...
Top AML Penalties of 2024
05 Jan 2025
Contributed by Lukas
The episode lists the five largest anti-money laundering (AML) penalties issued in 2024, highlighting significant financial repercussions for non-comp...
How Regulations Impact Risk and Compliance
04 Jan 2025
Contributed by Lukas
This podcast episode of The Compliance Officers Playbook examines the complex relationship between regulations and risk management. It explains how re...
Understanding Operational Risk in Compliance
04 Jan 2025
Contributed by Lukas
This podcast episode from The Compliance Officers Playbook explains operational risk, its significance for compliance officers, and strategies for eff...
Audit Red Flags: Systemic Compliance Failures
04 Jan 2025
Contributed by Lukas
The episode highlights alarming trends in EU audit findings, revealing systemic compliance failures stemming from a lack of accountability, insufficie...
Making The Business Case for GRC Initiatives
04 Jan 2025
Contributed by Lukas
This podcast episode explains how to construct a compelling business case for Governance, Risk, and Compliance (GRC) initiatives. It highlights the va...
AI Girlfriends & Compliance
03 Jan 2025
Contributed by Lukas
This episode discusses a post about a compliance professional’s experiences processing payments for businesses offering AI girlfriends, highlighting...
The MLRO's Legal Landscape: Compliance and Reporting Obligations
02 Jan 2025
Contributed by Lukas
This podcast episode of "The Compliance Officers Playbook" focuses on the crucial role of the Money Laundering Reporting Officer (MLRO) in navigating ...
The MLRO in the Digital Finance Age
02 Jan 2025
Contributed by Lukas
This podcast episode of The Compliance Officers Playbook discusses the changing role of the Money Laundering Reporting Officer (MLRO) in the digital f...
Becoming a Successful Money Laundering Reporting Officer
02 Jan 2025
Contributed by Lukas
This podcast episode of "The Compliance Officers Playbook" explains the crucial role of a Money Laundering Reporting Officer (MLRO) in preventing fina...
10 Signs of Weak Corporate Governance
31 Dec 2024
Contributed by Lukas
This podcast episode outlines ten warning signs of weak corporate governance, explaining their consequences and offering practical advice for improvem...
Risk Appetite vs. Risk Tolerance: Know the Difference
31 Dec 2024
Contributed by Lukas
This podcast episode outlines the crucial difference between risk appetite and risk tolerance in organisational risk management. Risk appetite represe...
Risk Culture: Why It’s the Foundation of GRC Success
31 Dec 2024
Contributed by Lukas
This podcast episode outlines the crucial role of risk culture in achieving successful governance, risk, and compliance (GRC). It defines risk culture...
Communicating Cybersecurity to Boards In Simple Language
28 Dec 2024
Contributed by Lukas
This podcast episode focuses on improving communication between Chief Information Security Officers (CISOs) and their company boards regarding cyberse...
COSO Enterprise Risk Management Framework
28 Dec 2024
Contributed by Lukas
Thid episode explains the COSO Enterprise Risk Management (ERM) framework, a structured approach to managing organisational risk. It outlines the fram...
Mastering Risk Management with ISO 31000
28 Dec 2024
Contributed by Lukas
This episode of « Mastering Risk Management with ISO 31000 » explains the international risk management standard ISO 31000. It details the standar...
Mastering the Complexities of Cybersecurity for Compliance Officers
28 Dec 2024
Contributed by Lukas
This podcast episode, "Mastering the Complexities of Cybersecurity," provides a comprehensive guide to cybersecurity for compliance officers. It cover...
Governance, Risk, and Compliance (GRC) Frameworks.
27 Dec 2024
Contributed by Lukas
This podcast episode explains Governance, Risk, and Compliance (GRC) frameworks. It breaks down the three core components – Governance, Risk Managem...
How to Develop a GRC Mindset
27 Dec 2024
Contributed by Lukas
This podcast episode of The Compliance Officer’s Playbook explains the importance of cultivating a Governance, Risk, and Compliance (GRC) mindset wi...
The Importance of GRC to Your Organisations
27 Dec 2024
Contributed by Lukas
This podcast episode explains the importance of Governance, Risk, and Compliance (GRC) for organisations. It highlights GRC's three core components –...
The GRC Pillars: Governance, Risk, and Compliance
27 Dec 2024
Contributed by Lukas
This podcast episode of The Compliance Officer’s Playbook explains the three pillars of Governance, Risk, and Compliance (GRC). Governance sets the ...
CS3D Compliance: Is Your Business Ready?
26 Dec 2024
Contributed by Lukas
This podcast episode of The New Compliance Officers Playbook explains the European Union's Corporate Sustainability Due Diligence Directive (CS3D), wh...
2024 GDPR Enforcement Trends and Lessons
26 Dec 2024
Contributed by Lukas
This podcast episode discusses the increased enforcement of the General Data Protection Regulation (GDPR) in 2024. Key areas of focus include stricter...
Understanding the Risks of Cryptocurrency
26 Dec 2024
Contributed by Lukas
This podcast episode, "The Compliance Officers Playbook: Understanding the Risks of Cryptocurrency," guides compliance officers through the complexiti...
The Role of Compliance in Anti Money Laundering Efforts
26 Dec 2024
Contributed by Lukas
This podcast episode of The Compliance Officer’s Playbook details the crucial role of compliance officers in combating money laundering. It explains...
Emerging Compliance Risks in the Digital and Artificial Intelligence Age
25 Dec 2024
Contributed by Lukas
This podcast episode of "The Compliance Officers Playbook" discusses emerging compliance risks associated with digital technologies and artificial int...
High-Profile Whistleblower Cases: What We Can Learn
25 Dec 2024
Contributed by Lukas
This podcast episode of The Compliance Officers Playbook examines high-profile whistleblower cases, including Enron, Wells Fargo, and the Facebook-Cam...
The Anatomy of a Major Compliance Failure
25 Dec 2024
Contributed by Lukas
This podcast episode, "The Anatomy of a Major Compliance Failure," explores the causes and consequences of significant compliance breaches. It highlig...
Avoid Financial Fraud, Avoid being a Money Mule.
24 Dec 2024
Contributed by Lukas
This episode explains the dangers of becoming a "money mule," an individual who unknowingly transfers illicit funds through their bank account. It det...
Reporting, Communication, and Building a DAC6 Compliance Culture
24 Dec 2024
Contributed by Lukas
This podcast episode of "The Compliance Officers Playbook" offers a practical guide to DAC6 compliance in Luxembourg. It covers the step-by-step proce...
Monitoring, Training, and Maintaining Your DAC6 Compliance Program
24 Dec 2024
Contributed by Lukas
This podcast episode of The Compliance Officers Playbook offers a comprehensive guide to maintaining a robust DAC6 compliance programme. It stresses t...
DAC6 Requirements and Considerations
24 Dec 2024
Contributed by Lukas
This podcast episode focuses on DAC6 compliance in Luxembourg, explaining the country's unique implementation of the EU directive. It details reportin...
DAC6: A Compliance Officer's Guide
24 Dec 2024
Contributed by Lukas
This podcast episode introduces the EU's Directive on Administrative Cooperation (DAC6), explaining its purpose of increasing transparency in cross-bo...
The Importance of Continuous Improvement in Compliance Programs
23 Dec 2024
Contributed by Lukas
This podcast episode of "The Compliance Officers Playbook" stresses the importance of continuous improvement in compliance programmes. It highlights t...
Becoming a Trusted Advisor as a Compliance Officer
23 Dec 2024
Contributed by Lukas
This podcast episode from The New Compliance Officers Playbook focuses on how compliance officers can become trusted advisors within their organisatio...
How to Effectively Communicate Compliance Risks to Leadership
23 Dec 2024
Contributed by Lukas
This podcast episode, "How to Effectively Communicate Compliance Risks to Leadership," from The Compliance Officers Playbook, provides strategies for ...
Time to Evolve: Are Your Password Policies Stuck in the Past?
23 Dec 2024
Contributed by Lukas
The National Institute of Standards and Technology (NIST) has updated its cybersecurity framework, advocating for significant changes to password poli...
How to Write Strong Compliance Reports
22 Dec 2024
Contributed by Lukas
This podcast episode of The Compliance Officers Playbook provides a comprehensive guide to writing effective compliance reports. Key elements discusse...
Preparing for Internal and External Audits
22 Dec 2024
Contributed by Lukas
This podcast episode of "The Compliance Officers Playbook" provides guidance on preparing for both internal and external audits. It outlines key steps...
The Importance of Emotional Intelligence in Compliance
22 Dec 2024
Contributed by Lukas
This podcast episode of The Compliance Officers Playbook argues that emotional intelligence (EI) is crucial for compliance professionals. It defines E...
Navigating Investigations and Interviews: A Compliance Officer's Guide
22 Dec 2024
Contributed by Lukas
This podcast episode of "The Compliance Officers Playbook" provides a practical guide to conducting effective investigations and interviews. Key steps...
Managing Compliance Across Multiple Jurisdictions
21 Dec 2024
Contributed by Lukas
This podcast episode of The Compliance Officers Playbook focuses on the complexities of managing compliance across multiple jurisdictions. It explores...
Integrating Compliance into Business Strategy
21 Dec 2024
Contributed by Lukas
This podcast episode, "Integrating Compliance into Business Strategy," argues that compliance should be a core component of business strategy, not mer...
The Four Types of Audit Opinions
21 Dec 2024
Contributed by Lukas
This podcast episode of “The New Compliance Officer’s Playbook” explains the four types of audit opinions: unqualified (clean), indicating accur...
Luxembourg RBE & RCS Registers Law Amendments (DEC 2024)
20 Dec 2024
Contributed by Lukas
Luxembourg has updated its Register of Beneficial Owners (RBE) and Trade and Companies Register (RCS) laws, demanding greater accuracy and timeliness...
Real Life Money Mule Tactics and Airport Security
20 Dec 2024
Contributed by Lukas
Airport security officers are increasingly encountering sophisticated methods used by money mules to smuggle cash, including concealing banknotes w...
EBA Report: EU AML/CFT Supervision
20 Dec 2024
Contributed by Lukas
The European Banking Authority (EBA) recently assessed EU national competent authorities' (NCAs) effectiveness in combating money laundering and terro...
The Importance of Vendor Audits
19 Dec 2024
Contributed by Lukas
This podcast episode of "The New Compliance Officer's Playbook" stresses the critical importance of vendor audits for organisations. It details why ve...
Advanced Techniques for Mitigating Third-Party Risks in Compliance
19 Dec 2024
Contributed by Lukas
The episode outlines a comprehensive strategy for mitigating third-party risk in compliance. It details advanced techniques, including enhanced due di...
NIS2 Directive: A Comprehensive Guide to Compliance
19 Dec 2024
Contributed by Lukas
The EU's revised Network and Information Systems Directive (NIS2) significantly strengthens cybersecurity across member states. It expands the scope o...
The Future of Sanctions Compliance in European Banking
19 Dec 2024
Contributed by Lukas
This episode details Boston Consulting Group's (BCG) services across numerous industries, highlighting their expertise in areas such as digital transf...
EU Anti-Money Laundering Directive 6 (AMLD6) on Beneficial Ownership
19 Dec 2024
Contributed by Lukas
This episode discusses a document from Moody's that explains the EU's updated Anti-Money Laundering (AML) regulations, focusing on beneficial ownershi...
EDPB Opinion: AI, Data Protection, and Legitimate Interest
19 Dec 2024
Contributed by Lukas
The European Data Protection Board (EDPB) has issued an opinion on the intersection of artificial intelligence (AI) and data protection under the GDPR...
Jersey's First Deferred Prosecution Agreement
18 Dec 2024
Contributed by Lukas
Afex Offshore (Jersey) Limited was fined £408,000 under Jersey's first Deferred Prosecution Agreement (DPA) for money laundering offences. The compan...
Dutch Prosecutors Drop AML Cases Against Bank Executives
18 Dec 2024
Contributed by Lukas
Following four-year investigations into anti-money laundering failures, Dutch prosecutors dropped criminal cases against former ING CEO Ralph Hamers a...
Due Diligence 101: Onboarding Third Parties
17 Dec 2024
Contributed by Lukas
This podcast episode of "The New Compliance Officer’s Playbook" details the crucial process of third-party due diligence. It outlines key steps, inc...
Real-Time Compliance Monitoring of High Risk Activities
17 Dec 2024
Contributed by Lukas
This podcast episode outline details how compliance officers can implement real-time monitoring of high-risk activities. It stresses the importance of...
Fraud Risk Mitigation for Compliance Officers
17 Dec 2024
Contributed by Lukas
This podcast episode of "The New Compliance Officers Playbook" focuses on identifying and mitigating fraud risks. It outlines various types of fraud, ...
UNODC Report: Global Human Trafficking and Financial Crime
17 Dec 2024
Contributed by Lukas
multiple sources detail the escalating global problem of organised crime, highlighting its links to human trafficking and sophisticated financial frau...
Data Breaches: Compliance Responsibilities Before and After
16 Dec 2024
Contributed by Lukas
This episode details the legal and practical compliance responsibilities for organisations regarding data breaches. Before a breach, it highlights the...
Managing Conflicts of Interest in Financial Services
16 Dec 2024
Contributed by Lukas
The episode explores common conflicts of interest within the financial services industry, providing real-world examples such as investment advisors re...
Creating an Effective Whistleblower Hotline
16 Dec 2024
Contributed by Lukas
Welcome to The New Compliance Officers Playbook, a podcast that provides a comprehensive guide to establishing an effective whistleblower hotline. It ...
Investigating Misconduct: A Step-by-Step Guide
16 Dec 2024
Contributed by Lukas
This podcast episode provides a step-by-step guide for compliance officers on investigating workplace misconduct. Eight key steps are outlined, beginn...
Compliance and Change Management
15 Dec 2024
Contributed by Lukas
This podcast episode discusses the crucial role of compliance in successful change management. It highlights the importance of proactive compliance in...
Crisis Management for Compliance Officers
15 Dec 2024
Contributed by Lukas
This podcast episode from "The New Compliance Officer’s Playbook" focuses on crisis management for compliance officers. It highlights the crucial ro...
Insider Threats: What Compliance Officers Should Know
15 Dec 2024
Contributed by Lukas
This podcast episode outlines insider threats, their impact on organisations, and the crucial role compliance officers play in mitigating them. The pl...
CSSF AML/CFT Asset Due Diligence FAQ
15 Dec 2024
Contributed by Lukas
This FAQ document, published by the Luxembourg CSSF (Commission de Surveillance du Secteur Financier) on 13 December 2024, clarifies AML/CFT (Anti-Mon...
Responding to Regulatory Inquiries with Confidence
14 Dec 2024
Contributed by Lukas
This podcast episode, "Responding to Regulatory Inquiries with Confidence," guides compliance officers on effectively handling regulatory inquiries. T...
Klarna's $46M Anti-Money Laundering Fine
14 Dec 2024
Contributed by Lukas
Klarna Bank, a Swedish financial services company, received a $46 million fine from Sweden’s Financial Supervisory Authority for violations of anti-...
Effective Compliance Audits: The Basics
14 Dec 2024
Contributed by Lukas
This podcast episode outlines the steps involved in conducting effective compliance audits. It details eight key stages, from defining the audit's sco...
Compliance Risk Assessment: A Structured Approach
13 Dec 2024
Contributed by Lukas
This episode outlines a structured approach to conducting a compliance risk assessment. It details eleven steps, from defining the scope and objective...
FCPA Compliance: A Guide for Compliance Officers
13 Dec 2024
Contributed by Lukas
This episode is a comprehensive guide to the Foreign Corrupt Practices Act (FCPA), a US law prohibiting bribery of foreign officials by US businesses....
GDPR Compliance for New Officers
13 Dec 2024
Contributed by Lukas
This episode of “ the new compliance officers playbook“ provides a comprehensive guide to the General Data Protection Regulation (GDPR) for compli...
Defining and Managing Organizational Risk Appetite
12 Dec 2024
Contributed by Lukas
This podcast episode of "The New Compliance Officer’s Playbook" explains the crucial concept of an organisation's risk appetite for compliance offic...
OFAC Compliance Basics: Sanctions Screening
12 Dec 2024
Contributed by Lukas
This text details the importance of Office of Foreign Assets Control (OFAC) compliance for businesses. OFAC sanctions target individuals, entities, an...
Compliance Metrics and Reporting: A Beginner’s Guide
12 Dec 2024
Contributed by Lukas
This podcast episode, "Compliance Metrics and Reporting: A Beginner’s Guide," provides a practical introduction to compliance metrics for new compli...
Documentation: Your Best Friend in Compliance
12 Dec 2024
Contributed by Lukas
This podcast episode, "Documentation: Your Best Friend in Compliance," stresses the critical role of thorough documentation in maintaining a robust co...
Compliance Failures of 2024: Key Lessons Learned
11 Dec 2024
Contributed by Lukas
This podcast episode discusses five major 2024 compliance failures – Wells Fargo, Amazon, Theranos, Volkswagen, and FTX – highlighting key lessons...