Compliance Operations Healthcheck – Part I – with Fingerprint Supervision

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.