Episodes
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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, Tom welcomes Greg Shultz, the founder of Conformitise, to take a deep dive into his journey in operationalizing compliance in some of the world’s largest companies. Shultz also advises into the essential skills required for a thriving career in compliance.
Emphasizing the importance of active listening, Shultz shares the significance of listening again before advising, to foster a collaborative partnership with business teams. Forming personal connections is highlighted, particularly through face-to-face interactions with investment teams, which helps in understanding different personas and building strong relationships over time. Our discussion also touches on the evolving role of data analytics in the compliance field, stressing its criticality in managing global data and mitigating risk in today's super funds landscape. This episode is a must-listen for anyone aiming to step into or advance within the compliance profession.
Key Highlights
· Introduction to Compliance Professional Skills
· The Importance of Listening and Advising
· Building Strong Relationships
· The Role of Data Analytics in Compliance
Resources
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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, Tom welcomes back, Travis Howerton, a co-founder of RegScale, the sponsor for this episode, to take a deep dive into automating compliance solutions for the digital transformation of compliance.
Howerton advocates for the integration of automation in compliance to keep pace with rapid technological advancements, thereby maintaining competitiveness and efficiency. Through digitizing regulations by using the latest standards and forming strategic partnerships, Howerton and RegScale are transforming traditional compliance from a manual, burdensome task into an automated, streamlined process, thereby redefining the role of compliance professionals as key contributors to secure and innovative operations.
We discuss the three pillars of cybersecurity: confidentiality, integrity, and availability. While much focus is placed on safeguarding confidentiality to protect sensitive information, the speaker highlights that integrity issues pose a significant threat, particularly in sensitive industries like healthcare and critical infrastructure. Compromised integrity can lead to dire physical consequences, making it the most concerning aspect of cybersecurity.
Key Highlights:
Introduction to Cybersecurity’s Three-Legged Stool
Focus on Confidentiality in Cybersecurity
The Critical Importance of Data Integrity
Real-World Implications of Integrity Issues
The Sleepless Nights of a Cybersecurity Analyst
Resources:
Travis Howerton on LinkedIn
RegScale
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Missing episodes?
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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, Tom welcomes Stuart Breslow, a member of the Board of Directors at STAR Compliance., who takes a deep dive into the evolution of tech solutions for compliance.
Breslow has had extensive journey in compliance, including professional roles at Morgan Stanley, Credit Suisse, McKinsey, and Google Cloud. He was the CCO at Morgan Stanley. Our conversation takes a deep dive into the transformation of compliance through technological solutions, the evolution of Codes of Conduct, and the impact of digital tools on compliance efficiency.
Breslow advocates for the use of technology to scale compliance efforts, address evolving challenges, and integrate compliance more seamlessly with business operations. Emphasizing data analysis and proactive risk identification, Breslow believes that modern compliance tools not only enhance efficiency and effectiveness but also contribute significantly to business profitability. Breslow also explores the future role of generative AI and how STAR Compliance is poised to leverage advanced data management to enhance compliance functions.
Key Highlights:
Evolution of Compliance Technology
The Role of Codes of Conduct in Compliance
Digital Transformation in Compliance
Future of Compliance with Generative AI
Resources:
Star Compliance
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Innovation comes in many forms, and compliance professionals must be ready for and 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, Tom welcomes compliance aficionado Maria Villanueva to dive deeply into healthcare compliance.
In this episode, Tom and Maria discuss her diverse career trajectory from accounting to healthcare compliance and delve into the complexities of ethical selling, aggregate spending challenges, and the growing role of AI in the compliance industry. Drawing on her extensive experience, she offers valuable insights on balancing roles in compliance and HR, the impact of data analytics, and the future landscape of healthcare compliance.
Key Highlights
Passion for Healthcare
Challenges in Healthcare Compliance
Balancing Compliance and HR Roles
The Role of Data Analytics and AI in Compliance
Future of Healthcare Compliance
Resources
Maria Villanueva on LinkedIn
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Innovation comes in many forms, and compliance professionals not only need to 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, Tom welcomes back Alan Saquella to discuss critical issues surrounding retaliation, whistleblowers, and fostering a speak-up culture within corporations.
Saquella, drawing from his extensive background in law enforcement, corporate compliance investigations, and academia, delves into the challenges middle managers face due to the fear of retaliation from senior leadership. The conversation also explores the ethical dilemmas in C-suite decisions regarding vendor and supplier selection, the mechanics and significance of whistleblower hotlines, and the crucial role of senior leadership in promoting ethical practices. Alan further emphasizes the importance of protecting whistleblowers and ensuring the effectiveness of compliance mechanisms through education, promotion, and a trust-centric approach.
Key Highlights:
Retaliation and Whistleblowers
Middle Managers and Ethical Dilemmas
Vendor and Supplier Selection Ethics
Whistleblower Programs and Confidential Hotlines
Role of Senior Leadership in Ethical Practices
Whistleblower Protection and Corporate Culture
Resources:
Alan Saquella on LinkedIn
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Innovation comes in many areas, and compliance professionals need to be ready for it and 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, Tom speaks with John Byrne, founder and CEO of Corlytics.
John shares his background as a serial entrepreneur focusing on technology and finance and discusses the inception and mission of Corlytics. The conversation delves into the complexities of regulatory compliance, the need for real-time risk assessments, and the integration of AI and machine learning in regulatory monitoring.
John also explores how Corlytics helps financial institutions navigate evolving regulations, including ESG metrics, and forecasts the future regulatory landscape. This episode offers valuable insights for professionals interested in compliance, risk management, and the role of technology in these fields.
Key Highlights:
Founding Corlytics and Its Mission
Real-Time Risk Assessment
Policy Management and Global Compliance
Impact of Current Events on Financial Institutions
The Rise of ESG in Financial Institutions
Future of Regulation and AI
Resources:
John Byrne on LinkedIn.
Corlytics
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There is not much I enjoy more than sitting down with some of the most innovative thinkers on an issue. I recently had the opportunity to do so, over a topic I have been thinking about for some time: the commercial real estate market post Covid and the US housing crisis. Over this three-part series we will introduce the problem and challenges around commercial real estate in the mid-2020’s; the future of where (and how) employees work and take a deep dive into the nation’s housing crisis and propose some solutions. In this special three-part series, I am joined by industry experts John Petrovski, Mike Flanagan, Bart Peterson, Walter Calhoun, Andrew Gay, and Gilbert Paiz to delve into the current state of commercial real estate. In this concluding Episode 3, we take a deep dive into the US housing crisis, the disconnect between employee salaries and affordable housing and discuss some solutions.
In this episode, industry experts discuss the challenges of affordable housing and the role of banks and government programs in addressing these issues. They highlight the inefficiencies of current programs, such as low-income housing tax credits, and propose a comprehensive, targeted approach similar to a Marshall Plan to increase affordable housing supply. The conversation also explores local government initiatives, innovative building techniques, and the complex dynamics of community acceptance. The episode concludes with insights into the personal impact of housing finance and the need for a multifaceted approach involving both public and private sectors.
Highlights and Issues
· Challenges in Affordable Housing
· Inefficiencies in Current Housing Programs
· Local Government Initiatives
· Innovative Housing Solutions
· Complexities of Homelessness and Housing
· Collaborative Approaches to Housing Affordability
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There is not much I enjoy more than sitting down with some of the most innovative thinkers on an issue. I recently had the opportunity to do so on a topic I have been thinking about for some time: the commercial real estate market post-COVID and the US housing crisis. Over this three-part series, we will introduce the problem and challenges around commercial real estate in the mid-2020s, the future of where (and how) employees work, and take a deep dive into the nation’s housing crisis and propose some solutions. In this special three-part series, I am joined by industry experts John Petrovski, Mike Flanagan, Bart Peterson, Walter Calhoun, Andrew Gay, and Gilbert Paiz to delve into the current state of commercial real estate. In episode 2, we deeply dive into the impact of low interest rates post-2008 crash, advocating for higher fed funds rates to maintain economic stability. We also touch on inflation and how it is impacting the market.
Commercial real estate investment has long been lucrative, attracting investors with significant returns and diversification potential. Low interest rates previously created favorable borrowing conditions and boosted market values, but recent rate hikes have led to market corrections and investor uncertainty. Investors should consider entering the commercial real estate market during these corrections, as they present unique opportunities to acquire income-producing properties like office buildings, strip centers, and mini storage units. They highlight alternative investment vehicles like ETFs and mutual funds as lower-barrier entry points. They also emphasize financial literacy, highlighting the importance of long-term investing and cautious selection of financial advice. The episode concludes with thoughts on how the housing market affects different demographics and the need for innovative solutions.
Highlights and Issues
The Impact of Low Interest Rates
Financial Literacy and Long-Term Investing
The Role of Financial Advisors as Educators
Current inflation is a culprit
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There is not much I enjoy more than sitting down with some of the most innovative thinkers on an issue. I recently had the opportunity to do so on a topic I have been thinking about for some time: the commercial real estate market post-COVID and the US housing crisis. Over this three-part series, we will introduce the problem and challenges around commercial real estate in the mid-2020s, the future of where (and how) employees work, and take a deep dive into the nation’s housing crisis and propose some solutions. In this special three-part series, I am joined by industry experts John Petrovski, Mike Flanagan, Bart Peterson, Walter Calhoun, Andrew Gay, and Gilbert Paiz to delve into the current state of commercial real estate. In Episode 1, we deeply dive into the impact of rising interest rates and regulatory pressures on the market, the cultural shift towards remote work, and the potential for repurposing commercial properties.
The remote work trend has profoundly influenced the commercial real estate market, leading to a notable decrease in office space demand and sparking urban revitalization efforts. They ask whether the 20% decline in property values is a temporary phase rather than a precursor to a market crash. They note that the market’s dynamics can significantly differ based on specific buildings and locations, and he underscores the importance of being prepared for higher interest rates and down payment requirements. Investors should focus on long-term goals and diversify their portfolios to navigate these turbulent times effectively, ensuring sustained success in the evolving commercial real estate landscape. Their conversation underscores the importance of adaptability and diversification amid economic fluctuations.
Highlights and Issues
Current State of Commercial Real Estate
Impact of Work From Home
San Francisco’s Real Estate Transformation
Investment Strategies in Commercial Real Estate
Tourism and Hospitality in Indianapolis
Market Reactions and Long-Term Investment
Inflation and Interest Rates
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Innovation comes in many forms, and compliance professionals must be ready for and embrace it. In this episode, Tom Fox visits Anne van de Heetkamp, Vice President of Product Management at Descartes, and discusses global trade compliance and the integration of AI in supply chain management.
They discuss Anne’s extensive career in global trade, Descartes’s comprehensive suite of supply chain management tools, and Anne’s specific role in the Global Trade Intelligence pillar. Key topics include the challenges companies face in regulatory compliance, the role of AI in mitigating supply chain disruptions, and the importance of data quality in leveraging advanced technologies for risk management. The conversation spans current automation levels, future AI evolution, and practical approaches to enhancing data transparency and compliance processes within the supply chain framework.
Key Highlights:
Anne’s Professional Journey
Global Trade Intelligence at Descartes
Microservices and Data Privacy
AI and Supply Chain Disruptions
Data Quality Issues in Compliance
Future of AI in Supply Chain Management
Resources:
Anne van de Heetkamp on LinkedIn
Descartes
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Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. In this episode, Tom Fox visits with Arthur Mueller, a thought leader in compliance and financial crime prevention. We take a deep dive into the topic of financial crime prevention and the use of generative AI in this edition of Innovation in Compliance.
Arthur Mueller has over 20 years of experience in anti-financial crime programs across various institutions. He explains his current role at WorkFusion, where he leverages AI and machine learning to enhance compliance programs. The discussion encompasses the evolution of AML practices, the role of digital workers like Tara in automating routine tasks, and the benefits of AI in improving risk management, efficiency, and worker satisfaction in financial services. Arthur provides real-life examples of how AI can help mitigate risks, streamline operations, and enhance employee productivity and retention.
Key Highlights
Evolution of AML and Financial Crime Programs
WorkFusion's Role in Financial Crime Prevention
Digital Workers and AI in Compliance
Adverse Media Screening and Automation
Introducing Tara: The Digital Payment Screening Analyst
The Future of AI in Financial Crime Compliance
Resources:
Arthur Mueller on LinkedIn
WorkFusion
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Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it.
In this episode, Tom Fox visits with Lisa Levy, a thought leader renowned for her expertise in addressing succession planning challenges. We take a deep dive into this topic on this edition of Innovation in Compliance.
Lisa believes that succession planning in 2024 is more important than ever due to the complexities introduced by having five generations in the workforce, each with diverse expectations and work ethics. Lisa advocates for embedding succession planning into company culture as a strategic, intentional exercise that involves understanding employees' skills, aspirations, and institutional knowledge to nurture and grow talent internally. She champions the use of technology, such as AI tools, to personalize growth plans and emphasizes the need for continuous evaluation, transparency, and communication to implement a successful succession planning framework, ensuring organizational resilience and smooth leadership transitions.
We discuss how the younger generations, including millennials and Gen Z, have shifted the employment paradigm by seeking roles that align with their values. Lisa reflects on their own journey of becoming 'wholly unemployable' over 15 years and highlights how Gen Z entered the workforce during the pandemic, taking on gigs like Uber and DoorDash as traditional roles were shut down. This generational shift shows a move towards prioritizing personal fulfillment over conventional job security.
Key Highlights:
Lisa Levy on her Unemployable Journey
Millennials and Value-Driven Careers
The Paradigm Shift in Employment
Gen Z's Workforce Entry During the Pandemic
Resources:
Lisa Levy on LinkedIn
The Preferred Disruption and Innovation Catalyst
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Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. In this episode, Tom Fox visits with Jennifer Arnold, a seasoned anti-money laundering (AML) professional. Jennifer is a co-founder of Minerva, the sponsor of this episode. Minerva is an innovative investigation and screening platform.
Minerva is an invaluable tool for financial investigators, enabling quick and efficient data analysis to support informed decision-making. She discusses Minerva’s capability to search for critical data, such as adverse media and criminal activity, enhancing the investigator’s role through automation and speed. By combining the expertise of skilled investigators with advanced data science, Minerva significantly maximizes the effectiveness of AML investigations in today’s data-rich environment.
We take a deep dive into how Minerva integrates AI into its processes for detecting financial crime. The technology employs simple data aggregation to target relevant data sources, performing entity resolution for a nuanced and accurate view of clients. This approach minimizes false positives, streamlines work for the Financial Intelligence Unit and ensures that information examined is meaningful and precise.
Key Highlights:
Introduction to Minerva’s AI Integration
Data Aggregation and Intelligence
Entity Resolution and Contextual Data
Accurate Client Risk Assessment
Reducing False Positives
Resources:
Jennifer Arnold on LinkedIn
Minerva
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Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it.
In this episode, Tom Fox interviews Lori Darley, a former professional dancer and current leadership coach.
Lori shares her career evolution from dance to founding Conscious Leaders, a coaching firm specializing in leadership development. She discusses the principles of self-awareness, personal responsibility, and the clearing process, which are central to her coaching philosophy.
Lori also emphasizes the importance of intentional leadership in fostering a positive corporate culture and touches on her experience in the compliance arena. Additionally, she talks about her book, ‘Dancing Naked,’ which explores her journey and insights as a conscious leader.
Key Highlights:
Lori Darley’s Professional Journey
What is Conscious Leaders?
The Clearing Process Explained
Conscious Leaders Wisdom Circle
Impact on Corporate Culture
Generational Tensions and Coaching Benefits
Resources:
Lori Darley on LinkedIn
Conscious Leaders
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Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it.
Curious about Compliance as a Service and AI integration? If so, this episode is for you as Tom Fox interviews Matt Lowe, Chief Strategy Officer at MasterControl.
Matt shares his professional background, details MasterControl’s role in the quality management and life sciences markets, and discusses the company’s incorporation of AI in their software solutions.
The conversation delves into how AI is transforming compliance and quality assurance in the life sciences, the benefits and challenges of implementing AI, and the future outlook of AI in the industry.
Matt also touches on risk-based approaches to AI deployment and the evolving discussions around AI in industry consortia.
Key Highlights:
Incorporating AI in Compliance Training
Generative AI in Quality Management
Quality Assurance and Compliance
AI’s Role in Compliance and Risk Management
Implementing AI in Life Sciences
Future of AI in Life Sciences
Resources:
Matt Lowe on LinkedIn
Master Control
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Innovation comes in many forms, and compliance professionals need to not only be ready for it but also embrace it. Curious about Compliance as a Service and AI integration? Well, this episode is for you, as I have Paige Hanson and Brandon Woolf, co-founders of SecureLabs, discuss not only how AI technology can revolutionize compliance but also how the use of AI systems in Compliance as a Service is set to revolutionize the regulatory landscape.
Paige Hanson and Brandon Woolf are seasoned cybersecurity professionals. Hanson’s perspective, shaped by her role in developing a national training program for law enforcement and co-founding SecureLabs, emphasizes the importance of integrating security and compliance within organizations to foster a security-first culture and facilitate cross-departmental communication. She envisions a future where advanced AI systems enhance security environments and advocate for auditable processes for small to medium-sized enterprises.
Woolf, with his background in diverse cybersecurity roles, advocates for the integration of security and compliance within an organization. He highlights the importance of having a wide range of frameworks available to cater to the diverse needs of different industries and clients and sees a growing trend, especially for SMBs, in compliance as a service due to increasing security threats.
Key Highlights:
SecureLabs: Affordable GRC Software for SMB Compliance
Enhancing Organizational Culture Through Security Integration
Cybersecurity Compliance Benefits through Auditable Processes
Compliance Audits: Minimizing Fines Through Documentation
AI-driven Compliance Solutions for Enhanced Security
Resources:
Paige Hanson on LinkedIn
Brandon Woolf on LinkedIn
securelabs.ai
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams to find out what is on his mind regarding compliance. Tom Fox recently had the opportunity to do so on the topic of making compliance training memorable. Over this short, five-part series, we will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training.
In this concluding Episode 5, we discuss how making ethics and compliance training playful can enhance learning.
Our learning brain likes games. When people shift into a playful state of mind, they immerse themselves more deeply into the learning activity. Their mood brightens, their mind opens up, and they are intensely focused and more receptive to new information. Playful learning supports a deeper understanding of concepts, better recall of knowledge, and better transfer of skills to novel problems.
They explore the concept of the ‘Magic Circle’ in gaming, which engenders an immersive, playful state of mind that fosters openness and engagement. By employing game-based learning experiences like the ‘Ethics Kit Find Your Path’ card game, the discussion showcases how ethical scenarios can be addressed in an interactive, fun way.
Through the use of commitment, action, and resource cards, employees engage in collaborative problem-solving related to their organization’s ethical dilemmas. The episode emphasizes the importance of experiential, social, and strength-based learning, arguing that an engaging user experience (UX) in training not only makes learning enjoyable but also more effective in reinforcing ethical behaviors within organizations.
Highlights and Key Issues Discussed:
Introducing Playful Learning in Ethics and Compliance
The Magic Circle: A Concept for Playful Learning
Implementing Playful Learning: The Ethics Kit Card Game
Benefits and Outcomes of Playful Learning Experiences
Expanding Playfulness Beyond Games: Engaging Training Delivery
Key Takeaways from the Series
Resources:
Suggested Readings
Zosh, J. M., Hopkins, E. J., Jensen, H., Liu, C., Neale, D., Hirsh-Pasek, K., Solis, S. L., & Whitebread, D. (2017). Learning through play: a review of the evidence (white paper). The LEGO Foundation, DK.
Parker, Rachel & Thomsen, Bo & Berry, Amy. (2022). Learning Through Play at School – A Framework for Policy and Practice. Frontiers in Education. 7. 10.3389/feduc.2022.751801.
Carsten Tams on LinkedIn
Emagence Consulting
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making compliance training memorable. Over this short five-part series we will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. In this Episode 4, we discuss making learning social and collaborative so that learners work together to search for understanding, meaning, or solutions.
Social learning refers to learning with each other, from each other, and about each other. Social Learning Theory tells us that a lot of learning consist of observing and emulating others. Collaborative learning also affords participants with the opportunity to gain unique insights and skills. Cooperative learning allows participants to develop their social-emotional and interpersonal skills. They can practice ethical voice, simply by discussing an ethical situation with each other.
Tom and Carsten explore the concept of social learning, referencing theories by Lev Vygotsky on social constructivism and Albert Bandura on vicarious learning and self-efficacy, to explain how behaviors and ethical values are acquired through social interaction. They emphasize that learning ethics and compliance can be more effective in a social context, whether it is through discussing ethical dilemmas, observing others' behaviors, or learning from shared experiences. The dialogue also touches on the importance of building social capital through ethical discussions, which helps in crafting solutions to ethical challenges as a team. Furthermore, they argue that every aspect of work has an ethical dimension and that recognizing the ethical implications of seemingly minute actions can significantly contribute to an organization's ethical resilience. The episode concludes with anticipation for the next episode focusing on making compliance training fun.
Highlights and Key Issues Discussed
· Introduction to Social Learning in Ethics and Compliance
· Exploring Social Learning Theory
· The Impact of Social Learning on Ethical Behavior
· Social Learning's Role in Organizational Culture
· Practical Examples of Social Learning in Action
· Deep Dive into Safety and Ethics in the Workplace
Resources
Articles and Books
· Boyd, R., Richerson, P. J., & Henrich, J. (2011). The cultural niche: Why social learning is essential for human adaptation. Proceedings of the National Academy of Sciences, 108(Supplement_2), 10918–10925. doi:10.1073/pnas.1100290108
· Reed, M., Evely, A. C., Cundill, G., Fazey, I., Glass, J., Laing, A., Newig, J., Parrish, B., Prell, C., Raymond, C., & Stringer, L. C. (2010). What is social learning? Ecology and Society, 15(4), [r1].
· Marjan Laal, Seyed Mohammad Ghodsi, Benefits of collaborative learning, Procedia - Social and Behavioral Sciences, Volume 31, 2012, Pages 486-490, ISSN 1877-0428, https://doi.org/10.1016/j.sbspro.2011.12.091.
· Bandura, A. (1977). Social learning theory. Englewood Cliffs, NJ: Prentice Hall.
· Bauman, Z. (2000). Special essay. Am I my brother’s keeper? European Journal of Social Work, 3(1), 5–11. doi:10.1080/714052807
Carsten Tams on LinkedIn
Emagence Consulting
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There is not much I enjoy more than sitting down with one of the innovative thinkers in compliance, Carsten Tams to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making compliance training memorable. Over this short five-part series we will introduce the problem and challenges and then provide you with four proven strategies for success in your compliance training. In this Episode 3, we discuss the concept of experiential learning as a gamechanger to enhance overall learning scope, motivation, retention and transfer; emphasizing its importance over conventional learning methods.Experiential learning means learning by doing. When we are passive learners in front of a screen, clicking on the forward button or checking boxes, learning remains shallow. Experiential ethics learning is not simply about feeding abstract information about an ethics topic into learners’ minds. It is instead about the tight coupling of thinking with doing. An experiential learning activity is about posing a problem that is relevant to the learner. It is then up to the learner to tap into their existing knowledge, to use their ingenuity and creative problem-solving skills to find a feasible solution for the problem at hand. Using practical examples, Carsten explains how experiential learning engages learners in problem-solving and hands-on experiences, leading to better retention and application of knowledge. They explore the historical roots of the concept, drawing from thinkers like Aristotle, Confucius, John Dewey, and modern cognitive research. The discussion also covers ways to implement experiential learning in organizational settings, addressing potential concerns about documenting these methods for regulatory compliance.Highlights and Key Issues Discussed · Introduction to Experiential Learning in Compliance and Ethics Training· Exploring the Basics of Experiential Learning· Applying Experiential Learning in Compliance and Ethics· Historical Context and Theoretical Foundations of Experiential Learning· Practical Implementation and Documentation for Compliance Professionals ResourcesCarsten Tams on LinkedInEmagence ConsultingFor Additional Reading· Dewey, J. (1938). Experience and education. New York: Simon and Schuster.· Kolb, D.A. (2015). Experiential Learning: Experience as the Source of Learning and Development, 2nd Ed. New York, NY: Pearson.· Burch, G. F., Giambatista, R., Batchelor, J. H., Burch, J. J., Hoover, J. D., & Heller, N. A. (2019). A Meta‐Analysis of the Relationship Between Experiential Learning and Learning Outcomes. Decision Sciences Journal of Innovative Education, 17(3), 239–273. doi:10.1111/dsji.12188Tom FoxInstagramFacebookYouTubeTwitterLinkedIn
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There is not much I enjoy more than sitting down with one of the most innovative thinkers in compliance; Carsten Tams, to find out what is on his mind regarding compliance. I recently had the opportunity to do so on the topic of making compliance training memorable. Over this short five-part series we will introduce the problem and challenges and then provide you with four game changing strategies you can employee for success in your compliance training. In this Episode 2, we discuss the concept of focusing on strengths within compliance and ethics training, as opposed to traditional deficit-based methods that highlight potential misconduct. When we instruct people about prohibited behaviours, and how the company detects and discipline misconduct, employees often feel mistrusted and alienated. They tune out. This is deficit-based learning. It approaches the learner as a risk factor or potential delinquent. It aims to constrain unwanted behaviour. When employees can learn how to effectively shape and safeguard the ethical workplace they aspire to, they feel inspired and tune in. This is strength-based training. It approaches the learner as a valued partner in maintaining integrity. It assumes that people have capabilities, It aims at eliciting and strengthening the positive ethical faculties already present in most people.Tom and Carsten urge a shift in perspective so that learners are viewed as valued partners, drawing upon the principles of self-affirmation theory and strength-based approaches found in various sectors like healthcare and education. This approach aims to engage learners by acknowledging and enhancing their capabilities, ethical values, and problem-solving skills, thus fostering a sustainable ethical culture within organizations. Examples of successful applications of this approach, including innovative training methods and programs like UNESCO’s card game and the 'Giving Voice to Values' curriculum, are highlighted. The conversation underscores the importance of designing training that not only prevents misconduct but also supports and develops employees' strengths, thereby enhancing overall company culture. Highlights and Key Issues Discussed· The Problem with Deficit-Based Training Approaches· The Power of a Strength-Based Approach· Real-World Applications and Success Stories· Practical Steps Towards Strength-Based Training· Building a Sustainable Ethical Culture ResourcesBooks and ArticlesSaleebey, D. (Ed.). (2009). The Strengths Perspective in social work practice (5th ed.). Boston: Allyn and Bacon.Pulla, Venkat. (2012). What are Strengths based Practices all about?Banaji, M., & Dobbin, F. U. (2023, September 17). Why DEI training doesn’t work—and how to fix it. The Wall Street Journal. Retrieved March 11, 2024Dobbin, F., & Kalev, A. (2022). Getting to diversity: What works and what doesn’t. The Belknap Press of Harvard University Press.Carsten Tams on LinkedInEmagence ConsultingTom FoxInstagramFacebookYouTubeTwitterLinkedIn
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