Podcasts aren’t new but they are on the rise, and for a reason, they are an engaging, informative and easy form of content to digest. You just need a mobile device to access them and here you go, great content in your hand.
We know the compliance function can be demanding and your list of responsibilities and duties is laborious. You must face different challenges every day to keep your employees and firm compliant and yourself knowledgeable with all changes requested by regulators.
Brian Fahey started out at the worst possible time: in 2008. He began selling into the financial services sector just as the financial crisis put business-to-business (B2B) spending on hold. And then things got worse.
Managing a financial trading control room involves balancing a wide variety of tasks. To comply with the rules and regulations, all deals need to be carefully reviewed, the flow of information must be managed strictly, and there needs to be a focus on preventing conflicts of interest. All this work can take a long time to carry out, and a single deal can move slowly through the pipeline. The control room is at the heart of the financial firm, and everything needs to run smoothly to produce optimum results and keep everyone happy. However, with the difficulty of managing compliance in the control room, it's certainly not easy to ensure compliance is carried out effectively.
The year has begun, and as a compliance officer, you are probably wondering how to face the challenges of 2020. To help compliance officers the new Thomson Reuters report “10 Things Compliance Officers Need to Do in 2020” was released last week in a webinar, when Susannah Hammond, Senior Regulatory Expert for TR explained the challenges and changes for organizations of all sizes.