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Compliance Operations Healthcheck – Part I – with Fingerprint Supervision
April 6, 2022 @ 4:00 pm - 5:30 pm
6 April | Virtual Event| 4 – 5.30 pm | Chatham House Rules
Over two sessions, this interactive Workship led by industry experts will work with participants to review compliance functions – and broader operations – challenges, with the specific objective and outcome of beginning to develop a clear risk profile to support and inform business plans and operational set-ups for an effective compliance function for 2022 and beyond.
These sessions will be led by:
Sean Morgan | Director at Fingerprint Supervision
Clementine Bowyer | Director at Effecta Compliance
Cheryl Locke | Head of Compliance & MLRO at BB Securities Ltd.
As a group, participants will share their thoughts about their own firm’s regulatory expectations, and will look at the business continuity considerations a compliance professional needs to mitigate the risks of doing business in 2022, including:
- People (onboarding and continued oversight) – employees, clients, service providers
- Hybrid and remote working
- Data – internal and external, structured and unstructured
- Operational Ineffectiveness / Ageing Technology
- Cyber/ Digital Risks
In the second part of this two-part workshop, participants will use the risk profile created in Part I to explore solutions to mitigate operating risks in your function and the wider organisation, supporting effective compliance oversight programmes that promote efficient operations and better business outcomes.