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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.

Registrations are now closed for this event - contact events@thebrokerclub.org for more information



April 6, 2022
4:00 pm - 5:30 pm


The Broker Club
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