Compliance Time
Compliance Time

Compliance Time

D.R.

Overview
Episodes

Details

In these podcast series you can hear from compliance experts and enthusiasts who are creators in this space and are contributing to the fast-moving and dynamic field of financial compliance. Hear their views on new trends in AML, sanctions and fraud. Subscribe on our site www.cmpltime.com for latest updates on new episodes and content.

Recent Episodes

The FinCrime Agent
MAY 9, 2023
The FinCrime Agent

Guest on the show today is Marco Beranzoni, the creator of the FinCrime Agent YouTube channel. 

FinCrime Agent shares tutorials, job talks, conference reviews, and interviews related to Financial Crime prevention. If you plan a career in FinCrime, these videos will help you with the first steps. For those who are already in the industry, they can be a great source of knowledge and experience sharing as well. Marco has experience in Financial Crime prevention roles across Banking and FinTech for over 15 years. In this episode, Marco will share with us his experience with creating FinCrime YouTube content, he will share with us what is successful and what are some of the challenges in the space. Additionally, we will talk more about technology trends in the AML and compliance space. 

Link to the YouTube channel: https://www.youtube.com/c/FinCrimeAgent

Support the show
play-circle
28 MIN
Communications Compliance with Shield
APR 17, 2023
Communications Compliance with Shield

In this episode guest on the podcast is Ofir Shabtai. He is the CTO and Co-Founder of Shield, a technology software company specializing in employee electronic communication compliance. Shield helps organizations uncover hidden insights such as inside dealing, unlawful behavior, market abuse, and privacy matters. With laser-focused AI models designed to detect financial misconduct, Ofir leverages machine learning and NLP to pinpoint suspicious behavior and eliminate over 95% of the noise legacy tools create. Shield helps banks monitor new channels up to 4x times quicker, saving them from multi-million-dollar fines, while cutting supporting IT infrastructure costs in half.

Ofir has over 15 years of experience building large-scale systems. Prior to Shield, he was Co-Founder and CTO at several start-up companies where he built global engineering teams and was responsible for the strategy and execution of real-time systems and big data. Ofir holds an MBA in Business Management from the Hebrew University of Jerusalem and a BA in Computer Science from IDC Herzliya.

Link to Shield: https://www.shieldfc.com/

play-circle
29 MIN
Compliance, Investment Advisory and How to Prepare for the Chief Compliance Officer Role
APR 11, 2023
Compliance, Investment Advisory and How to Prepare for the Chief Compliance Officer Role

Michael Rasmussen’s success story starts where most entrepreneurs with a legal background begin: with big ideas to serve clients and an industry passion. He is most passionate about assisting US and UK financial services professionals seeking investment adviser registration or acquisition due diligence services in the US or UK. In 2013, he started his career in the securities industry as a regulator with the Financial Industry Regulatory Authority (FINRA). After FINRA, Michael served in Senior SEC/FINRA Consultant positions for several established legal and consulting firms. More recently, he has acted as General Counsel and Chief Compliance Officer for several established investment advisers and private fund managers with each institution managing over $1 Billion in assets under management.


In 2020, Michael leveraged his extensive legal and compliance background to found United Atlantic Legal Services, a law firm exclusively dedicated to assisting US & UK financial services professionals seeking investment adviser registration or acquisition due diligence services. As a licensed lawyer in both the US and UK, he is able to uniquely service clients on both sides of the Atlantic Ocean.


In addition to that, Michael has routinely served investment advisory firms and private fund managers as a Subject Matter Expert and has provided extensive training regarding developing and existing FINRA & SEC matters, including but not limited to Fiduciary Standards, Investment Adviser Registration, Investment Advisor Compliance, and Investment Advisor Legal and Compliance Acquisition Due Diligence. In response to the demand for legal and compliance training, he founded FinProLaw (www.finprolaw.com), a legal and compliance learning platform that provides in-depth coaching services to new and aspiring investment adviser Chief Compliance Officers.


Mr. Rasmussen received his JD from Nova Southeastern University, Shepard Broad College of Law, and his BS in Legal Studies from Nova Southeastern University, Farquhar College of Arts and Sciences. He serves on the Education Committee for the National Society of Compliance Professionals and has passed the FINRA 7, 24, 63, and 65 examinations.

FinProLaw: www.finprolaw.com

United Atlantic Legal Services: www.unitedatlanticls.com

LinkedIn: https://www.linkedin.com/in/mrasmussenlaw/

play-circle
26 MIN
Research in Foreign Languages
JAN 29, 2023
Research in Foreign Languages

 In this episode guest on the podcast is Skip Schiphorst - an Open Source Intelligence (OSINT) language course developer and instructor who served 17 years in the Dutch Ministry of Defence. He deployed to several regions, during which his language and cultural skills were used. Skip, who holds a university degree in China Studies has a keen interest in how to incorporate languages within the OSINT spectrum. He works at I-Intelligence and their OSINT language courses include Chinese, Arabic as well as Russian; these courses show researchers that do not speak these languages how to find information online for CDD, AML, KYC and many more research purposes.
Use promo code IINT102023 for 10% off on language courses or any other i-intelligence courses.

Chinese Open Source Intelligence course:
https://i-intelligence.eu/courses/osint-chinese-internet
Arabic Open Source Intelligence course:

https://i-intelligence.eu/courses/osint-searching-the-arabic-web
Russian Open Source Intelligence course:

https://i-intelligence.eu/courses/osint-searching-the-russian-internet-virtual-course

Support Compliance Time: www.podinbox.com/compliancetime

play-circle
28 MIN
Whistleblowing and the new AML Act
JAN 20, 2023
Whistleblowing and the new AML Act

Just before the end of last year, we spoke with Stephen Kohn. He is a leading whistleblower attorney and subject matter expert. He won the largest ever individual tax whistleblower reward of  $104 million for UBS whistleblower Bradley Birkenfeld, and the largest ever reward ever paid to an individual under the related action provisions of the IRS, SEC and DOJ programs ($177 million). He represents Danske Bank whistleblower Howard Wilkinson in the largest money laundering scandal in world history, and successfully represented Greek whistleblowers whose information triggered a $320 million sanction against Novartis drug company under the Foreign Corrupt Practices Act.

We met just a few days before a new AML law was passed in the US Congress. In this episode, you will hear about whistleblowing, the Danske Bank case, and more. 
https://kkc.com/our-whistleblower-law-firm/our-whistleblower-lawyers/stephen-m-kohn/

play-circle
34 MIN