Compliance Officers Playbook
Episodes
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...
Red Flags Every Compliance Officer Should Know
11 Dec 2024
Contributed by Lukas
This podcast episode of "The New Compliance Officers Playbook" highlights seven key warning signs – red flags – that compliance officers should re...
Risk-Based Compliance: A Strategic Approach
11 Dec 2024
Contributed by Lukas
This podcast episode of "The New Compliance Officers Playbook" explains how to develop a risk-based approach to compliance. The approach prioritises c...
Handling Conflicts of Interest in Compliance
11 Dec 2024
Contributed by Lukas
This podcast episode of "The New Compliance Officers Playbook" focuses on handling conflicts of interest. It defines conflicts of interest, highlighti...
Third-Party Risk Management: Where to Start
10 Dec 2024
Contributed by Lukas
This podcast episode focuses on third-party risk management (TPRM), explaining its significance in today's interconnected business environment. It gui...
The Importance of Whistleblower Programs
09 Dec 2024
Contributed by Lukas
This podcast episode of The New Compliance Officers Playbook discusses the crucial role of whistleblower programs in corporate compliance. It highligh...
Anti-Bribery and Corruption Compliance: An Introduction
09 Dec 2024
Contributed by Lukas
This podcast episode introduces anti-bribery and corruption (ABC) compliance, explaining its legal basis in frameworks like the Foreign Corrupt Practi...
Sanctions Screening: Practices for Effective Compliance.
09 Dec 2024
Contributed by Lukas
This podcast episode outlines best practices for sanctions screening in regulated industries. Key stages discussed include screening during customer r...
The Anatomy of a Compliance Policy
08 Dec 2024
Contributed by Lukas
This podcast episode details the crucial components of a robust compliance policy. It outlines key elements including a purpose statement, scope, defi...
Creating and Managing a Compliance Training Program
08 Dec 2024
Contributed by Lukas
This podcast episode from The New Compliance Officers Playbook provides a step-by-step guide to creating and managing effective compliance training pr...
Building a Compliance Culture from Day One
08 Dec 2024
Contributed by Lukas
This podcast episode discusses building a robust compliance culture from the outset of an organisation. It emphasises the crucial role of strong leade...
Data Privacy Fundamentals for Compliance Officers
07 Dec 2024
Contributed by Lukas
This podcast episode, "Data Privacy Fundamentals for Compliance Officers," from The New Compliance Officer’s Playbook, provides a comprehensive over...
Guide to Reading & Interpreting Regulations
07 Dec 2024
Contributed by Lukas
This podcast episode provides a guide for compliance officers in financial services on how to effectively read and interpret regulations. It covers fo...
Regulatory Compliance 101: Understanding Your Industry Rules
07 Dec 2024
Contributed by Lukas
This podcast episode, "Regulatory Compliance 101 – Understanding Your Industry Rules," provides a comprehensive introduction to regulatory complianc...
Internal Controls: Your First Line of Defense
06 Dec 2024
Contributed by Lukas
This podcast episode, "Internal Controls: Your First Line of Defence," guides compliance officers on establishing and strengthening internal controls....
Mapping Out Compliance Roles Across The Organization
06 Dec 2024
Contributed by Lukas
This podcast episode outlines a method for improving organisational compliance. It stresses the importance of clearly defining compliance roles and re...
Stakeholder Identification in Compliance
05 Dec 2024
Contributed by Lukas
This episode provides a comprehensive guide to stakeholder management within organisational compliance frameworks. It defines compliance and details t...
Tone at the Top: Compliance's Cornerstone
05 Dec 2024
Contributed by Lukas
This New Compliance Officer Playbook Podcast episode explores the critical role of "Tone at the Top" in establishing a strong compliance culture withi...
Risk Management Basics for Compliance Professionals
05 Dec 2024
Contributed by Lukas
This podcast episode, "Risk Management Basics for Compliance Professionals," provides a foundational understanding of risk management for compliance o...
“Cash-for-crypto” swaps! International Money Laundering Ring Dismantled by NCA
04 Dec 2024
Contributed by Lukas
A three-year investigation, codenamed Operation Destabilise, by the UK's National Crime Agency (NCA) has dismantled an international money-laundering ...
Mastering Compliance Assurance: A 2LOD Perspective
04 Dec 2024
Contributed by Lukas
This podcast episode, aimed at first-line-of-defense (1LOD) compliance professionals, explains the role of the second-line-of-defence (2LOD) in compli...
Compliance Toolkit: Policies & Procedures
04 Dec 2024
Contributed by Lukas
This podcast episode from the "New Compliance Officer Playbook" series focuses on building effective compliance toolkits through robust policies and p...
Key Compliance Frameworks: An Overview
03 Dec 2024
Contributed by Lukas
This podcast episode, "Key Compliance Frameworks," from the "New Compliance Officer Playbook" series, provides an overview of crucial compliance frame...
Understanding the Role of Compliance Officers.
03 Dec 2024
Contributed by Lukas
This podcast episode explores the crucial role of compliance officers in financial services. It defines the role, highlighting key responsibilities su...
CSSF: AI and Data Analysis & Protection
02 Dec 2024
Contributed by Lukas
Claude Marx, Director General of the Luxembourg financial regulator (CSSF), announced a strategic partnership with Clarence to utilise AI for data ana...
Compliance: An Investment in Success!
02 Dec 2024
Contributed by Lukas
Listen to the importance of compliance for organisations. It defines compliance as adhering to laws, regulations, and ethical practices. The episode h...
Leaders Eat Last: Sacrifice and Accountability in Leadership
01 Dec 2024
Contributed by Lukas
Enjoy a discussion around various perspectives on effective leadership. Many folks highlight the importance of selfless service, sacrifice, and pri...