Great Women in Compliance

Lisa Fine and Hemma Lomax
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Great Women in Compliance

For a long time, compliance was perceived as a part of the larger legal world. Today, compliance is its own profession—a place where people work tirelessly to make the world a better place, one where doing the right thing is the standard for everyone. There are a lot of amazing and inspirational women who have helped the compliance field develop into what it is today, and women are joining this field every day. They are leading the work on cutting-edge issues and breaking barriers for women. Join Hemma Lomax and Lisa Fine as they talk with women in compliance who are making a difference. This podcast is part of the Compliance Podcast Network.

  1. Roundtable on the Future of Financial Crime Prevention

    APR 2

    Roundtable on the Future of Financial Crime Prevention

    In this episode of Great Women in Compliance, hosts Dr. Hemma Lomax and Lisa Fine bring together Patricia Marinho and Maria Luisa Signorini to discuss the future of financial crime prevention. The conversation delves into their extensive backgrounds in financial compliance, the role of technology and AI in anti-money laundering (AML) controls, and the challenges and advancements in the field. They also reflect on the importance of human oversight in AI-driven systems and share their visions for the future of AML technology. Highlights include: A tour of the guest’s deep experience in financial regulation and risk management Key challenges in financial crime detection and prevention The role of innovation and emerging technology in compliance Trust and the expectation of regulators when it comes to AI in financial services Advice for compliance professionals leveraging community and mentorship Biographies Patricia Marinho is a highly accomplished Executive Global Head of Compliance, legal professional, and senior compliance strategist with over 25 years of experience in regulatory affairs, risk management, and corporate governance across the United States, Latin America, and global markets. She specializes in developing and leading high-impact compliance programs, aligning financial institutions with international regulatory frameworks, and advising executive leadership on governance and risk oversight. As Executive Global Head of Compliance at Hamilton Reserve Bank (HRB), Patricia is responsible for shaping and implementing the bank’s global compliance strategy to support global growth and ensure adherence to international financial regulations. She is pivotal in positioning HRB for long-term regulatory success and global expansion, working closely with executive leadership to strengthen governance, mitigate risks, and enhance operational resilience. Maria Luisa Signorini is the Vice President of Global Financial Crimes for Bank of America in Brazil. She has over 30 years of experience as a Legal professional in Litigation, Banking, Asset Management, and Financial Services, having worked for leading players in Brazil’s law firms, banking, and the financial services industry. She started her career as a civil litigator in major Law Firms in São Paulo – Brazil, and afterward transitioned to Compliance, Anti Money Laundering (AML)/Counter-Terrorism Financing (CTF), fraud, corruption, and bribery Areas. She has extensive knowledge of Brazil’s legal, compliance, and regulatory matters through senior positions in major global financial institutions located in Brazil, such as HSBC, UBS, Western Union, and now Bank of America. Maria Luisa’s extensive expertise includes supporting the business by defining strategic compliance and reputational risks, having a deep understanding of Brazil’s regulatory environment, having experience working with local regulators, and having strong project coordination and management skills. 🎧 Listen now on your favorite platforms, the Compliance Podcast Network and Corporate Compliance Insights ♥️ Thanks as always to our wonderful #GWIC community for your support. Have an idea or suggestion? Drop a note to Lisa Fine or Hemma Lomax.

    31 min
  2. The Future of Enforcement with Jennifer Lee

    MAR 26

    The Future of Enforcement with Jennifer Lee

    In this Great Women in Compliance episode, Hemma hosts Jennifer Lee, a partner at Jenner & Block and former Assistant Regional Director at the SEC. The discussion covers Jennifer’s work in SEC investigations, the importance of integrity in legal practice, and key challenges faced by compliance professionals, including evolving cybersecurity obligations and the future of FCPA enforcement. Tune in today to hear Jennifer share her insights on maintaining ethical standards, managing client expectations during investigations, and the value of community and mentorship in the legal profession. Highlights include: How to avoid the slippery slope to enforcement Insights on values-based decision-making from Jennifer’s reading list What our clients need most from legal and compliance counsel Perspectives from a former federal prosecutor at the SEC What compliance officers should be thinking about today Biography: A former Assistant Director in the US Securities and Exchange Commission's (SEC) Division of Enforcement, Jen represents public and pre-IPO companies, corporate officers, financial institutions, and asset management firms in high-stakes regulatory, internal, and litigation investigations. During her distinguished 12-year tenure at the SEC, Jen worked on and supervised attorneys and accountants involved in a broad range of complex investigations and enforcement actions reflecting the priorities of the SEC's enforcement program, including financial reporting and disclosures, cybersecurity issues, ESG-related issues, insider trading, investment adviser and broker-dealer regulation, auditor misconduct, and offering frauds. Jen oversaw some of the SEC's most impactful cases, including the SEC's first-of-its-kind cybersecurity disclosure enforcement action involving a company's failure to disclose a massive data breach, several litigated multimillion-dollar insider trading ring actions, and a complex accounting fraud settlement involving significant clawbacks of executive compensation under Section 304 of the Sarbanes-Oxley Act of 2002. Highly regarded for her knowledge of the SEC's enforcement program and federal securities laws, Jen's articles regularly appear in the Harvard Law School Forum on Corporate Governance, and she has been quoted numerous times in the Washington Post, CNBC, and Law360, particularly on the topics of financial reporting and cybersecurity. Jen has appeared as a speaker at the cybersecurity conference BlackHat and as a panelist at Securities Enforcement Forum West, Securities Forum Central, and the Bar Association of San Francisco. Jen is a member of the steering committee of Women in Securities (WISe), the steering committee for the Cambridge Forum regarding SEC enforcement, and the advisory committee for Securities Docket. Jen earned her AB from Stanford University and her JD from Columbia Law School. She clerked for the Honorable Richard J. Holwell in the US District Court for the Southern District of New York and the Honorable Roger L. Gregory in the US Court of Appeals for the Fourth Circuit. Before joining the SEC, Jen was a securities and commercial litigator with experience in securities fraud class actions, commercial actions, and product liability litigation. 🎧 Listen now on your favorite platforms, the Compliance Podcast Network and Corporate Compliance Insights ♥️ Thanks as always to our wonderful #GWIC community for your support. Have an idea or suggestion? Drop a note to Lisa Fine or Hemma Lomax.

    42 min
  3. Hearing the Unheard: Leading with Courage When the News Isn’t Good

    MAR 19

    Hearing the Unheard: Leading with Courage When the News Isn’t Good

    There is a lot to unpack in this roundtable episode hosted by Sarah Hadden and Ellen Hunt. Listen as they flip the script on delivering bad news to explore how to educate our leaders to hear and act on bad news. Our experts Elaine Lin Hering and Deb Hennelly share and explore strategies on how to: Build a trusting relationship before the crisis; Incorporate role play as an anchor for the desired behavior when bad news needs action; Understand that emotions are data that you need to leverage. Address the “silence” that hinders ethical behavior, and Create real psychological safety. 🎧 Listen now on your favorite platforms, the Compliance Podcast Network and Corporate Compliance Insights ♥️ Thanks as always to our wonderful #GWIC community for your support. Have an idea or suggestion? Drop a note to Lisa Fine or Hemma Lomax.

    46 min
  4. Stop, Collaborate, & Listen with Kristy Grant-Hart

    MAR 12

    Stop, Collaborate, & Listen with Kristy Grant-Hart

    In this Great Women in Compliance episode, GWIC co-host Hemma Lomax sits down with compliance expert Kristy Grant-Hart, author of How to Be a Wildly Effective Compliance Officer. Kristy discusses Diligent’s recent acquisition of her consulting group, Spark Compliance, and shares her unique origin story, which led her from a background in film and television to becoming a leading figure in the compliance world. Tune in to learn about the four human motivators and the role of fear alongside ethical culture in compliance, the future skillsets required for compliance officers, and the integral role of community and networking in building a successful compliance career. Kristy also offers insights for Chief Compliance Officers seeking their next career steps and highlights compliance professionals’ broader impact on changing the business world. Highlights include: The recent acquisition of Spark Compliance Consulting by Diligent Kristy’s journey from the film and entertainment industry to law and compliance The skills and attitudes that will future-proof your compliance career The key motivators to consider when influencing human behavior and culture The role of community, collaboration, and following your passion. Biography: Kristy Grant-Hart is the Vice President and head of Advisory Services at Spark Compliance, a Diligent Brand. She’s a renowned expert at transforming compliance departments into in-demand business assets. She is the author of several highly acclaimed books, including the best-selling How to Be a Wildly Effective Compliance Officer. She has advised Fortune 100 companies on international compliance and created, implemented, and revamped compliance programs for major companies in Europe and the United States. Kristy was honored as a Trust Across America 2019 Top Thought Leader in Trust. A powerful and inspirational public speaker, Kristy provides global keynote presentations to organizations and conferences. Kristy has written for and been featured in publications including the Wall Street Journal, Financial Times, Corporate Financier Magazine, Risk Universe Magazine, and on the cover of Compliance and Ethics Professional Magazine. She is a former adjunct professor at Delaware Law School, Widener University, teaching Global Compliance and Ethics. Kristy was shortlisted for the Chief Compliance Officer of the Year award at the Women in Compliance Awards and was shortlisted again for the Compliance Innovator of the Year. Before launching Spark Compliance, a Diligent Brand, Kristy was the Chief Compliance Officer at United International Pictures, the joint distribution company for Paramount Pictures and Universal Pictures in 65+ countries. Kristy began her legal career at the international law firm of Gibson, Dunn & Crutcher, where she worked in the firm’s Los Angeles and London offices. While at Gibson Dunn, her team was nominated for Best Regulatory Law Firm of the Year at Thomson Reuters’s Compliance Awards. Kristy graduated Summa Cumlaude from Loyola Law School in California. She holds certification as a Corporate Compliance and Ethics Professional—International (CCEP-I) and is a member of the California Bar.

    43 min
  5. Compliance Leadership Redefined with Angie Gorman

    MAR 5

    Compliance Leadership Redefined with Angie Gorman

    In this episode of the Great Women in Compliance podcast, Lisa speaks with Angie Gorman, a Managing Director at FTI Consulting. Angie is an expert in communications and change management, and she discusses her work in communications and how this evolved into her work in ethics and compliance. Angie highlights some key elements for building an effective communications strategy for building a culture of compliance. These include integrating compliance into the organization's larger culture, connecting it to the company's purpose, values, and business strategy, and consistently communicating a positive and supportive message at all levels of an organization. Angie shares insights from the recently released FTI Ethico Compliance Leadership Redefined Survey. She discusses some of the report's key findings, which explore today's challenges and opportunities for chief compliance officers. It is a very timely report about the state of our profession.

    31 min
  6. Insight from a Great Gentleman in Compliance with Andrew McBride

    FEB 26

    Insight from a Great Gentleman in Compliance with Andrew McBride

    In today’s episode, Lisa speaks with a Great Gentleman in Compliance, Andrew McBride, the CEO and founder of Integrity Bridge. Andrew shares his journey in compliance, from private practice to becoming Chief Compliance Officer at Albemarle to starting Integrity Bridge. At Albemarle, Andrew built a new ethics and compliance program against the backdrop of an FCPA investigation. The work of Andrew and his team and their cooperation with the US Department of Justice led to a 45% penalty reduction decrease. The program was also awarded Compliance Week’s “Program of the Year” award. He highlights the importance of having a multifunctional approach to building compliance programs, working closely with various departments such as sales, procurement, and finance. He also emphasizes how ethics and compliance teams are best positioned to succeed if they have different backgrounds and skill sets. Andrew shares his experience building Integrity Bridge, a consultancy focused on helping companies design and implement holistic compliance programs to proactively use technology and address constantly evolving risks.

    25 min
  7. The Compliance Playbook: Best Practices for M&A Success

    FEB 19

    The Compliance Playbook: Best Practices for M&A Success

    Hear from M&A veterans @Allison Riter of nVent and @Barbara Petitti of Alstom on the importance of having a Compliance Playbook to ensure the success of compliance program integration. From having a seat at the due diligence table to conducting a risk assessment to deciding the best model for #ComplianceProgram integration, this roundtable will discuss these topics and much more. Listen in here to learn practical tips, red flags, insights, and how to deal with culture clashes from those who have been on the M&A journey.

    29 min
  8. Humans at the Center of Strategy with Patrícia Godoy Oliveira

    FEB 12

    Humans at the Center of Strategy with Patrícia Godoy Oliveira

    In this week’s episode, Hemma sits down with Patrícia Godoy Oliveira to explore her remarkable journey in compliance, which has spanned leadership roles at Google and Uber to her current position as LatAm Compliance Officer at Gallagher. Join us as Patricia shares how she keeps people at the heart of her compliance strategies, leveraging behavioral science and Trust and Inspire leadership to empower business partners. With practical insights, book recommendations, and a deep passion for ethics and compliance, Patricia offers a refreshing perspective on leading with purpose in this engaging and thought-provoking conversation. Highlights include: Navigating personal and professional transitions and reflecting on purpose How to build trust with your regional business teams in a global company Practical tips on incorporating behavioral science into your compliance program Fabulous reading recommendations for thought leadership and continuous learning in compliance Biography “Patricia is the LatAm Compliance Officer for Gallagher. Her career encompasses senior leadership roles at prominent American and Brazilian companies, including her tenure as Regional Chief Compliance Officer at Google and Director of Ethics & Compliance at Uber. Patricia’s impactful contributions have garnered repeated recognition, including being named one of Brazil’s “Most Admired Professionals” in Compliance on multiple occasions. A graduate of Instituto Presbiteriano Mackenzie (Law School, Brazil) with a Master’s degree (LL.M.) from the University of Chicago (US) and an MBA from Fundação Getúlio Vargas (CEAG, Brazil), Patricia complements her academic achievements with specialized courses in Insurance, Reinsurance, and Law. Her profound understanding of both mature and evolving regulatory environments is a testament to her 15 years of experience in the Insurance and Reinsurance industry and 5 years in the dynamic Tech sector. Patricia’s pragmatic approach to legal and compliance is grounded in economic and behavioral principles. She empowers organizations to achieve their goals by translating complex challenges into sound business strategies. Her leadership has successfully implemented innovative programs and training initiatives that foster ethical conduct and drive sustainable growth. A respected voice in the field, Patricia actively shapes industry standards as a lecturer and professor at the Compliance Committee of AMCHAM, Brazil Chapter. Her unwavering commitment to ethical business practices is evident in her extensive involvement in various professional organizations, including the Ethics Tribunal of the Bar Association in Sao Paulo and the Global Compact of the United Nations. Patricia’s journey exemplifies a dedication to building a more just and responsible business world.” Resources: Patricia on LinkedIn: https://www.linkedin.com/in/patricia-godoy-oliveira/ Subscribe to her newsletter, Ética do Dia a Dia, here: https://www.linkedin.com/newsletters/%C3%A9tica-do-dia-a-dia-7265210572445548545/ Patricia’s Book Recommendations during the show: Carlos Muitos, Gabriel Cabral et al Trust & Inspire, Stephen Covey Thinking Fast and Slow, Daniel Kahnemann Humankind, Rutger Bregman The Righteous Mind, Jonathan Haidt Why They Do It, Eugene Soltes The Heart of Business: Leadership Principles for the Next Era of Capitalism, Hubert Joly

    47 min
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    4.9
    out of 5
    55 Ratings

    About

    For a long time, compliance was perceived as a part of the larger legal world. Today, compliance is its own profession—a place where people work tirelessly to make the world a better place, one where doing the right thing is the standard for everyone. There are a lot of amazing and inspirational women who have helped the compliance field develop into what it is today, and women are joining this field every day. They are leading the work on cutting-edge issues and breaking barriers for women. Join Hemma Lomax and Lisa Fine as they talk with women in compliance who are making a difference. This podcast is part of the Compliance Podcast Network.

    Information

    • Creator
      Lisa Fine and Hemma Lomax
    • Years Active
      2018 - 2025
    • Episodes
      266
    • Rating
      Clean

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