Innovation in Compliance with Tom Fox

Thomas Fox

Innovation in compliance brings you interviews with industry leading experts who are changing the way practitioners approach compliance. Host Tom Fox, the Compliance Evangelist and Voice of Compliance is driving the conversation about compliance into the 2020s and beyond with his focus on innovations for the compliance practitioner and the compliance profession. If you want to learn how to bring business solutions to compliance problems to more fully operationalize compliance, this is the podcast for you.

  1. 14h ago ·  Bonus

    The Salus Blueprint: Episode 2 - The Signal Lost Between Departments, Things Go Wrong?

    What questions might a leader face on a difficult morning? In this special podcast series, Marc Duncan, Bridget Lee-Young, and Scott Pickett of Salus Solutions share one useful idea for corporate professionals, including risk and compliance leaders and anti-bribery and corruption professionals, and show how it changes decision-making. This podcast is also for police and fire chiefs, emergency managers, finance and operations executives, CEOs, boards, and leaders of commercial, public, and private organizations. Over the next 4 weeks, we’ll run this special series. In Episode 2, we explore how to break silos with tripwires and dashboards and how organizations should evaluate and act on third-party and operational warnings, using repeated contractor communication failures as a potential red flag. We emphasize forensic assessment to determine whether issues are human, process, or technical, and the importance of timely, credible information and formalizing informal communication channels. This podcast highlights that third parties are often the highest risk and that companies must perform and test vendor due diligence beyond tabletop exercises, distinguishing mistakes from potentially criminal conduct through evidence, paper trails, and investigative techniques. Salus describes a multidisciplinary approach that integrates operational, financial, legal, and supply-chain risks; documents findings for defensibility; and helps leaders interpret data through predefined triggers/tripwires and business rules. They also address board oversight needs through dashboards, common operating pictures, and framing updates as confirmed, validating, and unknown, previewing the next episode on separating credible warnings from rumors. Key highlights: 1. “A staff member says the contractor’s communications system has failed twice. What makes that report useful rather than a vague complaint? ” 2. “What minimum context do you seek: time, place, affected service, source, what was observed, what was inferred, and who already knows? ” 3. “What is the difference between a report of an irregular vendor request and an allegation of bribery? How do we avoid prejudging it? ” 4. “What happens when operations knows of an interruption, compliance knows of a vendor concern, and emergency management knows a storm is coming, but no one sees all three?” 5. “Who should see what information, and how does an organization protect confidentiality while connecting the right people? ” 6. “What does SalCAPA do to help people exchange observations, requests, records, and status? What must a human still decide? ” 7. “What should a leader do when a report is incomplete but potentially consequential? ” Questions for Our Listeners: Write down one current concern, capture who reported what, when, the potential effect, and the next person responsible for checking it. Could your organization tell the difference between a credible warning and a convincing rumor before making a costly or dangerous decision? Next time, we show how information becomes qualified intelligence. About Salus Solutions: “Salus helps organizations understand what matters, make informed protective decisions, and carry them into action. SalCAPA is the method and coordination environment that connects those steps.”

    The Salus Blueprint: Episode 2 - The Signal Lost Between Departments, Things Go Wrong?
  2. 2d ago ·  Bonus

    The Salus Blueprint: Episode 1 - What Must Keep Working When Things Go Wrong?

    What question might a leader face on a difficult morning? In this special podcast series, Marc Duncan, Bridget Lee-Young, and Scott Pickett of Salus Solutions share one useful idea for corporate professionals, including risk and compliance leaders and anti-bribery and corruption professionals, and show how it changes a decision. This podcast is also for police and fire chiefs, emergency managers, finance and operations executives, CEOs, boards, and leaders of commercial, public, and private organizations. In Episode 1, we take a deep dive into what matters most: mission-critical dependencies and Salus Solutions’ Preparedness Toolkit. Key Highlights: “If I run an organization and tell you, ‘We have a risk register and an emergency plan,’ what would you ask first to learn whether I know what matters most?” “What does ‘protect the mission’ mean for a hospital support service, a school, and a commercial operator in everyday terms?” “Who must be in the first conversation besides the chief executive? What will the front-line operator know that the board may not?” “Where do dependencies such as communications contractors, utilities, responders, or key individuals enter that conversation?” “Can you explain SalINTEL, SalTHIRA, SalCAPA, and SalOPS without an acronym chart, using this one organization?” “What decisions remain with the client, and what work can Salus advise on or support?” “If a board has only ten minutes, what one question should it ask management to expose an assumption about continuity?” Questions for Our Listeners: Write down one essential service and ask what people, systems, outside organizations, and decisions it depends on. “If a worker reported a failing dependency tonight, could your organization capture it and get it to someone who understands its significance before the service stops?” Next time, we examine how to collect what matters. About Salus Solutions (https://salus.solutions): “Salus helps organizations understand what matters, make informed protective decisions, and carry them into action. SalCAPA is the method and coordination environment that connects those steps.”

  3. Oct 20

    Jeff Kushner on GRC Lessons from Kerrville 2025: Why a Policy Isn’t a Control

    Innovation comes in many areas, and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he speaks with top innovators, thinkers, and creators on the award-winning Innovation in Compliance podcast. In this episode, host Tom interviews GRC professional Jeff Kushner about Fox’s book Deluge Before Dawn and its risk management lessons from the 2025 Kerr County flood that killed 119 people. Kushner argues a policy is not a control: policies must be specific, operationalized, tested, monitored, and continuously improved, with clear roles, successor plans, training, and communication protocols. He contrasts document-centric assurance (having a written plan and passing inspections) with outcome-centric assurance (whether plans work in real conditions), citing Camp Mystic’s one-page “shelter in place” plan that passed a DSHS inspection two days before the flood. They discuss alerts as information that requires predetermined response sequences, the need for redundancies in communications, proactive scenario exercises (“what happens next?”), benchmarking against other sites like Mo Ranch, and board-level questions on impact, accountability, timelines, and measurable protections for life, property, and data. Kushner also describes his role at Allgress and its Rexina solution for identifying compliance and risk changes and guiding remediation. Key Highlights: Policy Versus Control Alerts and Control Steps Inspection Paradox Outcome-Based Assurance Scenario Testing Exercises Rexina and Allgress Board-Level Risk Questions Resources: Jeff Kushner on LinkedIn Allgress Allgress on LinkedIn Allgress/Rixena For a report Jeff Kushner created on the risk management issues we discussed in the podcast, click here. Tom Fox Instagram Facebook YouTube Twitter LinkedIn

  4. Oct 13

    Dr. David Gruder on Collaborative Accountability and the Psychology of Compliance

    Innovation comes in many areas, and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom interviews Dr. David Gruder, a clinical and organizational development psychologist. Dr. Gruder is trained in long-range master planning and is an ordained interfaith rabbi, bringing psychological and spiritual principles to business, culture, and compliance. He introduces “collaborative accountability” as a growth-oriented alternative to coercive, shame-based accountability and outlines four interlocking procedures: accountability-capable agreements, consistently elevating best practices, converting breakdowns into growth opportunities, and collaborative disengagement. He defines accountability as taking responsibility for the impacts of how one spends life energy on those to whom commitments are made, distinguishing good intentions from measurable commitments. Gruder describes three competing futures, regressionism, “Homo machina” transhumanism, and “Homo spiritus,” and urges leaders to align vision, mission, and ethics accordingly. He defines organizational nimbleness as resilience plus innovation and emphasizes marrying legal and psychological compliance. Key highlights: Spiritual Lens at Work Collaborative Accountability Why Psychology Matters Defining True Accountability Humanity’s Three Futures Business Ethics and Influence Resources: DrGruder.com TheCESS.com Facebook: @davidgruder / @drdavidgruder X (Twitter): @davidgruder LinkedIn: linkedin.com/in/gruder Instagram: @drgruder YouTube: @DavidGruder Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart Innovation in Compliance was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts

  5. Oct 6

    Pamela Gupta on Closing the AI Governance Implementation Gap

    Innovation comes in many areas and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance as he visits with top innovative minds, thinkers and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom welcomes Pamela gupta, the author of De-Risking AI Adoption: The AI Trust Layer: An AI Governance Playbook.   Pamela Gupta, is the founder of Trusted AI and author. She and tom discuss the closing the AI governance implementation gap between high-level frameworks (e.g., NIST AI RMF, ISO 42001) and use-case execution under rapid AI rollout pressure. Gupta argues organizations struggle to translate principles into actionable, risk-based decisions involving many stakeholders (security, privacy, legal, audit, business, IT, data science), leading either to unmanaged risk or stalled innovation. She emphasizes AI-specific risks such as bias, transparency, explainability, and accountability, illustrating with Humana’s nH Predict claims system (alleged bias; 90% reversals) plus Amazon’s scrapped hiring model and Air Canada’s chatbot ruling. Gupta outlines her AI TIPS framework (eight pillars, ~80 controls) and contends AI governance can accelerate adoption by defining intake, evidence, and decision processes, even as agentic AI raises risk and uncertainty.  Key Highlights  ·      AI Governance Gap ·      Assessing AI Risk ·      Bias and Ethics Ownership ·      Humana Case Study ·      AI TIPS Framework ·      Governance as Accelerator  Resources Pamela Gupta on LinkedIn De-Risking AI Adoption: The AI Trust Layer: An AI Governance Playbook Website: TrustedAI.AI Podcast: Trustworthy AI: De-Risk Business Adoption of AI Trusted AI Feed: TrustedAI.AI/feed/ X/Twitter: @OutsecureCom LinkedIn: OutSecure Inc. YouTube: OutSecure Inc. Facebook: OutSecure Inc.     Tom Fox Instagram Facebook YouTube Twitter LinkedIn   My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County Texas which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival and resilience. It is available on the following sites:    Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart  Innovation in Compliance was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts

  6. Sep 29

    Doni Hoti on Embedding Advertising Compliance Into Content Creation

    Innovation comes in many areas, and compliance professionals need to not only be ready for it but also embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom welcomes Doni Hoti, co-founder and CEO of Adclear. Hoti brings a fascinating perspective on embedding compliance directly into content creation. He begins with the shift in advertising and marketing compliance from a slow, “checkpoint” back-office function to an embedded, revenue-enabling capability. Hoti explains that modern content creation involves many stakeholders and must move at near-real-time speed, while enforcement risk and the cost of losing customer trust keep rising. He describes how AI has broken traditional review models by increasing both content volume and speed expectations and how Adclear uses horizon scanning across global regulators, agentic AI, and company-specific policies to deliver more deterministic, auditable compliance guidance tied to rulebooks. Fox and Hoti then turn to third-party and affiliate challenges, regulator-ready documentation and audit trails, and business outcomes such as reduced review SLAs, scalable approvals, and revenue uplift, with marketing increasingly owning the process alongside legal and compliance. Key highlights: Compliance Disconnect Trust and Shopfront Embed Compliance Third-Party Risks AI as Solution Audit Trail Proof Resources: Adclear Doni Hoti on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon.

  7. Sep 22

    Inside EB-5: Immigration, Finance, Compliance and Governance Collide

    Innovation comes in many areas, and compliance professionals need to not only be ready for it but also embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom welcomes Michelle Tavares, a former federal government forensic accountant and former USCIS EB-5 compliance officer who helped rewrite the EB-5 statute into the Reform and Integrity Act (RIA). Michelle Tavares brings a rare blend of forensic accounting, securities litigation, and federal investigative experience to her perspective on EB-5 visa program compliance and adjudication. Having worked on white-collar crime matters and immigration policy, and as a compliance officer for the EB-5 program, she helped shape the Reform and Integrity Act, which strengthened oversight, penalties, and investor protections. Tavares believes the old EB-5 framework lacked meaningful enforcement, and she argues that USCIS now properly scrutinizes regional centers, attorneys, and related parties through background checks, AML/KYC review, and a broader integrity lens. From her viewpoint, successful EB-5 filings depend on consistent, credible evidence across immigration, securities, banking, and governance issues, with better guidance helping honest organizations avoid preventable compliance mistakes. Key highlights: EB5 Compliance, Penalties, and AML-KYC Overhaul Four lenses on every EB5 transaction Preponderance of Evidence in EB-5 Compliance Narratives Vetting vendors, promoters, and experts for EB5 compliance Resources: Standard & Proof Investigations Counsel Ready Michelle Tavares on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon. Innovation in Compliance was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts

  8. Sep 15

    Mara Senn on Vibe Coding a Credible Investigations Platform

    Innovation comes in many areas, and compliance professionals need to not only be ready for it but embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom welcomes Mara Senn, Founder and CEO of Ethakos. What is innovation in compliance? Mara Senn certainly shows it in this podcast. Her path to founding Ethakos spans Big Law, early FCPA and anti-corruption work, investigations at the World Bank, and senior in-house compliance roles at major Fortune 500 companies. That experience gave her a clear view of the everyday frustrations compliance teams face, especially clunky tools, dirty data, and rigid workflows that slow down real investigations. She built Ethakos as an AI-native, highly configurable platform to solve those pain points, using “vibe coding” with Claude to move quickly while keeping human judgment at the center of every decision. In her view, the platform reflects a simple but powerful idea: AI should make compliance work faster and cleaner, not replace the expertise and risk-based thinking that good compliance professionals bring. Key highlights: Vibe coding Ethakos through dozens of decisions Start with actionable hits, not meaningless alerts AI-generated first drafts for chronologies and interviews Audit logs and document-linked investigative credibility Tech-forward compliance teams identifying 13 risks instead Resources: Ethakos Mara Senn on LinkedIn Tom Fox Instagram Facebook YouTube Twitter LinkedIn My first work of general non-fiction is now out: Deluge Before Dawn, the story of the 2025 flood in Kerr County, Texas, which killed 119 people and devastated a county. It is a story of tragedy, heartbreak, survival, and resilience. It is available on the following sites: Amazon.com Stoney Creek Publishing Barnes and Noble Texas A&M University Press Bookshop.org Google.Books Walmart This week only, the Kindle e-book version is available for $0.99 on Amazon.

4.5
out of 5
17 Ratings

About

Innovation in compliance brings you interviews with industry leading experts who are changing the way practitioners approach compliance. Host Tom Fox, the Compliance Evangelist and Voice of Compliance is driving the conversation about compliance into the 2020s and beyond with his focus on innovations for the compliance practitioner and the compliance profession. If you want to learn how to bring business solutions to compliance problems to more fully operationalize compliance, this is the podcast for you.

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