Managing Compliance Risks in the New Norm
In a very short duration, COVID-19 has significantly disrupted our way of life and created a new normal. There are massive changes to how financial institutions operate and what regulators expect. Compliance teams are now working even more closely with the business to help them adapt to the new normal and pre-empt any emerging risks – especially digital communication and financial crimes risk. Current risk mitigation techniques, such as transaction monitoring, trade surveillance, e-mail monitoring, and social media monitoring, are falling short in managing these risks now. Thereby exposing the financial institutions to unexpected financial and reputational damages. The task to mitigate these risks has landed squarely on the shoulders of the Compliance function. With no clear visibility on the new normal, this task has become even more challenging.
This limited-audience hour-long panel discussion will explore how your peers are managing their compliance risks and preparing for the new normal. It will feature expert panelists with decades of experience in managing compliance functions for a variety of firms.
What are the changes that the firms are seeing in these times
What are the challenges they are facing
What are the new and different risks that have come up and what are the existing risks that we now have to take more seriously
Discuss the different roles of employees and employers in these situations
AVP, Global Distribution Compliance, Manulife Investment Management
Former General Counsel/Chief Compliance Officer Legal & General Investment Management America
Director, Business Development, Acuity Knowledge Partners
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