The Compliance Files

In a quickly evolving regulatory landscape with new legislation, regulations, codes and enforcements constantly being developed and entering into force, getting and staying up to speed on the latest compliance developments requires a significant investment of your time and effort. Whether you are a student, a compliance professional, a head of compliance, a regulator or board member, the Compliance Institute’s Compliance Files podcast series will support you in keeping up to date on all the latest industry changes and talking points in a format that is convenient to you. Listen to the Compliance Files now!

Season 2

Episode 5

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.

Global Risk and Compliance report

Episode 4

Compliance Institute 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.

Episode 3

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 28th May 2018. GDPR is for life, not just for the go-live date, and while no doubt a huge amount was achieved, the number of enforcement actions across the EU would suggest that there is much still to do to achieve strong baseline compliance with the Regulation. Kathy Jacobs, Compliance Institute 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.

Episode 2

Kathy Jacobs, Compliance Institute President, speaks with Naomi Burley, CEO of the GRC Institute in Australia, on the topic of vulnerable customers. Their conversation starts with the justification and scope of the Royal Commission in Australia before moving to how a vulnerable customer is defined. Kathy and Naomi also discuss the response from the Compliance Profession to the Royal Commission, what changes Financial Institutions made and the role & responsibility of Board Members. In this episode we also get insight into how Australia dealt with their own Accountability Regime. 

Episode 1

In the first episode of the second season, Kathy Jacobs, president of the Compliance Institute, speaks to Ian Drennan, Director of Corporate Enforcement at the Office of the Director of Corporate Enforcement (ODCE).  Ian discusses the role and powers of the ODCE, the implications of the Hamilton Report and what lessons Board Members should learn from previous ODCE enforcement activity.

Season 1


The Minister for Finance, Paschal Donohoe TD, received agreement from his Cabinet colleagues to approve the drafting of the Central Bank (Individual Accountability Framework) Bill on Tuesday 27th July 2021, the main purpose of which is to improve accountability in the financial sector. In the 4th episode in the ‘Voice of Compliance’ series, we are delighted to have James Meagher, Head of Compliance and Conduct Risk at Permanent TSB and Orla O'Connor, Chair and Partner, Finance and Financial Regulation, Arthur Cox speak to Compliance Institute President, Kathy Jacobs on the legislative and regulatory framework for Fitness and Probity, the Central Bank's Dear CEO Letters, changes to the Fitness & Probity regime given the imminent approach of the SEAR regime and what firms should do in anticipation of and preparation for SEAR.

One of the roles of the Central Bank of Ireland is to assess the suitability (i.e. fitness and probity) of individuals put forward for certain senior roles (called preapproval controlled functions or ‘PCFs’) in regulated firms. As part of their assessment, they hold one or more interviews with a PCF applicant. This Guide provides an overview of the fitness and probity interview process, what to expect on the day of the interview and what happens after an interview. 

Episode 15

Compliance Institute President Kathy Jacobs, speaks to Liam McKenna, partner, Mazars, about data protection certification approved under GDPR articles 42 and 43. The first data protection certification is expected to be approved this summer with EuroPrivacy the certifying body. Kathy and Liam discuss the operation of a certification regime under GDPR and also the benefits, opportunities and the obligations for data controllers.

Episode 14

The Voice of Compliance - is with Alan Moore, Data Protection Specialist at MetLife and guest host, Tom O'Connor, Compliance Institute Data Protection and Information Security Working Group Chair. Their conversation looks at the role of the DPO, how you might get into Data Protection and what you need to be effective and successful. They also discuss the elements of an effective data protection framework and DP regulatory developments and future challenges. 

Episode 13

Compliance Institute President Kathy Jacobs, speaks to John McCarthy, Deloitte, about new Regulations commenced on 19 April 2021, where (re)insurers authorised by the Central Bank of Ireland are now required to prepare pre-emptive recovery plans by 31 March next year. Their conversation covers the basics of what a recovery plan is as well as delving into the detail regarding the macro benefits, regulator's reasoning, key elements of a recovery plan and what does the future hold.

Episode 12

Compliance Institute President Kathy Jacobs, speaks to Fiona Savary and Rene Sandor of CMS in Munich about the GDPR Enforcement Tracker on data protection authorities' fining activities that they developed and the trends emerging from enforcement decisions and actions from the Data Protection Supervisory Authorities in Europe and as documented in the CMS GDPR Enforcement Tracker.

Episode 11

Kathy Jacobs, Compliance Institute President, speaks to John Devitt, CEO, Transparency International Ireland about their recent report - Safe Haven?’ Targeting the Proceeds of Foreign Corruption in Ireland. During their conversation we hear about a number of high-profile cases involving the laundering of bribes and embezzled state assets through finds managed in Irish-based banks and insurance firms and John outlines the most important recommendations that would make the biggest impact.

Episode 10

We have a reversal of roles as Kathy Jacobs, Compliance Institute President, is interviewed by guest-host Kevin Adam of Broadgate Search. Kathy brings us through her career and the five ages of compliance. Kathy also gives advice to those looking to enter the compliance industry and as a hiring manager what she looks for in a potential employee. Plus, Kathy gives her perspective on the challenges facing those working in compliance in the 2020s.

Episode 9

Kathy Jacobs hosts a panel discussion with Lorna Smith, Alison Gibney and Karen Killalea of the Maples Group. The themes of the discussion are the principles and practices of good corporate governance for regulated firms and this week's guests give their insights on expectations from the Central Bank, inspections, HR tools & policies as well as the evolution of corporate governance as a result of the pandemic and SEAR, Diversity and Inclusion.

Episode 8

Kathy Jacobs speaks with Ann Shiels, A&L Goodbody, on what you need to know about the Sustainable Finance Disclosure Regulation (SFDR). Their conversation touched on what kind entities will be affected by SFDR, greenwashing, who is responsible for enforcing compliance with SFDR, taxonomy regulation and more.

Episode 7

Kathy Jacobs speaks with Gráinne McEvoy, Director of Consumer Protection, Central Bank of Ireland. Their conversation included the Central Bank of Ireland’s key priorities and focus for 2021 such as strengthening their approach to protecting consumers, developing and enhancing the regulatory framework and their supervisory approaches.

Episode 6

The Voice of Compliance - is with Stephen Hudson Deputy Money Laundering Reporting Officer, at Permanent TSB discuss the importance of firm-wide AML frameworks, the role of the compliance professional and the role of the first line of defence in managing AML risk.

Episode 5

The Voice of Compliance - is with Kian Caulwell, Head of Conduct Risk and Compliance Advisory, KBC Bank Ireland and member of the Compliance Institute's Consumer Protection Working Group. Kian discusses some important Conduct talking points, he outlines what is conduct risk and the role of the compliance professional plus, the role of the first line of defence in managing conduct risk.

Episode 4

Compliance Institute President, Kathy Jacobs, speaks with MB Donnelly, Assistant Commissioner at the Irish Data Protection Commission, as Head of Communications, Regulatory Strategy, EU Projects and DPO Networks, about what it takes to put together the Data Protection Commission Annual Report and what everyone should take from it.

Episode 3

To mark International Women’s Day, #choosetochallenge, Kathy Jacobs, President of the Compliance Institute spoke to Irish female leaders in regulation and legislation about their leadership experiences. Hear from Mary Elizabeth Munn, Director of Credit Institutions Supervision at the Central Bank of Ireland, Jennifer Dolan, Assistant Commissioner with the Data Protection Commission, the DPC’s Head of Children’s Policy, and Senator Fiona O’Loughlin, Chair of the Oireachtas Education and Skills Committee.

Episode 2

In the second episode we hear from Joe Beashel, a partner in the Financial Institutions Group and head of the regulatory risk management and compliance team at Matheson. Joe discusses the lifecycle of a Fintech from authorisation to regulations and why Ireland is so attractive to this industry. In this episode we will also hear from Andrew Quinn, Head of FinTech and Financial Services, Professional Accountancy Training, speak with Kathy Jacobs, Compliance Institute President, about the Compliance Institute's latest educational offering the Professional Diploma in FinTech Risk and Compliance.

Episode 1

Our inaugural guest is Seána Cunningham, Director of Enforcement and Anti-Money Laundering at Central Bank of Ireland. The podcast covers a wide range of topics with Seána providing valuable insights into the Central Bank’s 2021 priorities.

If you have any ideas for a podcast or would like to feature in our Compliance Files series, email [email protected] .