The Compliance Files

Season 3 - Episode 2: Sustainable Finance & ESG

In the second episode of the third season of The Compliance Files, Kathy Jacobs, former Compliance Institute President speaks to Laura Wadding, a partner in Deloitte’s risk advisory practice, with over 25 year's experience in financial services.  

Laura leads the firm’s sustainability practice, helping firms to develop their ESG strategies, comply with applicable regulatory and reporting requirements, and to develop sustainable finance products and practices. She currently sits on the board of Chapter Zero Ireland and on the advisory council of the DCU Centre for Climate and Society.

Laura will be discussing the topics of what is ESG, what is Sustainability Finance and what do the financial sector need to do to achieve the climate targets of 2030 and 2050

Season 3 - Episode 1: Culture & Ethics

In the first episode of the third season of The Compliance Files, Kathy Jacobs, former Compliance Institute President, speaks to Dr Alan Kearns, Assistant Professor of Ethics at Dublin City University on the topic of Culture and Ethics.

The prevailing wisdom for the last number of decades has been that the objective of enterprises is the maximization of shareholder value and to make returns to shareholders. This, however, has not made for a reliable or even successful guide for behavior and decision making by boards and managers, and in the financial services context falls below the standard expected with the emergence of conduct risk.  In addition, the ESG agenda introduces extra complexity and a more ethical dimension to corporate decisions.

Dr Alan Kearns will be discussing the topics of ethics, business ethics and culture from the perspective of an academic, whose research and teaching is d

Season 2 - Episode 10: Marketing & Compliance: Challenges and Key Data Protection Trends for 2022

Marketing is a key process regulated by data protection and marketers are one of the main users of personal data in any organisation. Direct marketing has been regulated in a number of guises for many years and the law and regulation has been subject to constant development and clarification. There are a range of penalties for non-compliance of marketing data protection breaches, and the potential for brand and reputational damage is significant. Kathy Jacobs, former Compliance Institute President, speaks to Steven Roberts, Head of Marketing in Griffith College, on marketing rules, challenges for marketers in the context of GDPR and regulation, and key data protection developments that compliance professionals/DPOs should look out for in 2022.

Season 2 - Episode 9: 20 Years of Collaboration

At the core of Compliance Institute’s mission is to educate its members to ensure they have the skills required to undertake their roles in a professional and effective manner. From the beginning, 20 years ago, the Compliance Institute’s partner in the delivery of its programme of education has been the IOB, formerly known as the Institute of Banking.  In the latest episode of the Compliance Files podcast series, Kathy Jacobs, former President of Compliance Institute speaks to Mary O’Dea, Chief Executive of IOB as part of our 20th anniversary series, on the topics of career development, education, leadership, challenges and priorities for the future.

Season 2 - Episode 8: Safeguarding: Origins, Challenges & Upcoming Developments

Safeguarding is the process by which regulated firms providing payment services protect customer funds.  The purpose is to ensure that funds are always ring-fenced such as in the liquidation of a firm to ensure customer funds are not co-mingled with operational funds and claims of customers will be met in priority.  Safeguarding is subject to stringent legal requirements compelling firms not just to safeguard customers funds but to ensure controls around safeguarding are robust. Kathy Jacobs, former Compliance Institute President, speaks to Alison Donnelly, Director in fscom and Russell Burke, an independent payments consultant, on the origins, challenges and upcoming developments in safeguarding.

Season 2 - Episode 7: The Central Bank of Ireland’s Dear CEO Letter to Payments & E Money Firms

On 9^th December 2021, Mary-Elizabeth Mc Munn, Director of Credit Institutions Supervision at the Central Bank of Ireland and a previous guest on the Compliance Files podcast, issued a letter to the CEO’s of payments and e-money firms, setting out the Central Bank’s regulatory expectations, and requiring an attestation.

Kathy Jacobs, former Compliance Institute President, speaks to Alison Donnelly, Director in fscom and is a payments policy expert with in-depth knowledge and understanding of the payments regulatory landscape, and Russell Burke, an independent payments consultant, and with a combination of extensive regulatory and strategic experience, is one of Ireland’s leading payments specialists with over forty years’ experience with the Central Bank of Ireland, the Irish Payments Services Organisation (IPSO) and Bank of Ireland.

20th Anniversary Special

The Voice of the Compliance Institute - In November 2002, at a meeting in Irish Life offices in Abbey Street, over 80 compliance officers gathered and began the process that led to the establishment of the ACOI.  We are now celebrating Our 20th anniversary. In this episode of “The Voice of the Compliance Institute” series we are delighted to have one of the founding members and indeed the founding president,  Niall Gallagher speak with Compliance Institute President, Kathy Jacobs. Niall gives his insight into the founding vision, what the challenges were and his hopes for the future of the profession.

Season 2 - Episode 5: Refinitiv’s Report

Kathy Jacobs, ACOI President, speaks with Charles Minutella, Global Head of Customer and Third-Party Risk Intelligence at Refinitiv, about Refinitiv’s report which has been recently published into the changing risk landscape. Each year Refinitiv conducts independent surveys looking at different aspects of customer and third-party risk. Their reports have looked at financial crime through its impact on companies, society and the environment. This year's report looks at the impact of the COVID-19 pandemic. Kathy and Charles discuss the findings of the report.

You can find Refinitiv's Global Risk and Compliance report here.

Season 2 - Episode 4: Regtech

ACOI President, Kathy Jacobs, speaks with Rob Leslie, Sedicii; Rachel Woolley, Fenergo and Ben Cronin, UBO Services on the benefits of Regtech, the importance of strategy & governance. Their conversation moves to what you should look for in sourcing a Regtech provider and the deployment of a Regtech solution. We also get our guest's takes on the role of the compliance function, pitfalls of deployment and the views of the regulator.

Season2 - Episode 3: GDPR

Three years post GDPR, and anyone who was involved in implementation will still remember the significant effort and resources, and also the scramble for subject matter expertise to get across the line for 28^th May 2018. GDPR is for life, nit just for the go-live date, and while no doubt a huge amount was achieved, the number of enforcement actions across the European Union would suggest that there is much still to do to achieve strong baseline compliance with the Regulation. Kathy Jacobs, ACOI President, speaks with Shane Carrick and Rosita Gioia of Grant Thornton about the benefits of conducting a GDPR health check, reviewing Data Protection compliance and the challenges someone may face when undertaking a GDPR review.