- This event has passed.
TODAY’S EVENT POSTPONED – Compliance Operations Healthcheck
May 4, 2022 @ 4:00 pm - 5:30 pm
DUE TO UNFORSEEN CIRCUMSTANCES TODAY’S EVENT IS CANCELLED. WE APOLOGISE FOR THE SHORT NOTICE AND ANY INCONVENIENCE CAUSED. A NEW DATE WILL BE PUBLISHED SHORTLY. THANK YOU.
4 May 2022 | In-Person Workshop | 4 – 5.30 pm | Chatham House Rules
Part II: Creating an effective compliance oversight programme and efficient operating model
Following on from Part I (6 April), in this in-person session, participants will use the risk profile created in the first workshop to explore solutions to mitigate operating risks, creating the beginnings of an effective compliance oversight programme and efficient operating model for better business and regulatory outcomes.
Evidenced using real world case studies, this session will cover:
- Onboarding (KYC)
- Continuous Oversight (supervision/ surveillance for the purpose of prevention of financial crime, reputational damage, and misconduct)
- Cybersecurity
- Data Management & Security
- Business Continuity
MEET THE EXPERTS
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Clementine Bowyer
Director | Effecta Compliance Expertise in: Global Brokerage Compliance, Risk Management, Regulatory Compliance, Operational Risk Management |
Clemmie is a Director at Effecta Compliance and brings 15 years of UK compliance and regulatory experience, with a specific focus working in-house for global brokerage firms. Clemmie has experience working with a wide range of asset classes, including FX, Money Markets, Credit, Equities and Rates and has been heavily involved in advising companies on their MiFID II requirements and the impact of Brexit to their businesses. |
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Cheryl Lock
Head of Compliance & MLRO | BB Securities Ltd Expertise in: Global Brokerage Compliance, Risk Management, Regulatory Compliance, Operational Risk Management |
Cheryl started her career in leading City law firms in AML/KYC and conflicts, moving to financial services with extensive experience of monitoring, testing, control room and advisory work from two top tier Investment Banks and leading brokerage firms. Cheryl has extensive experience of communicating with the regulator (supervision visits, s166, enforcement actions and FCA investigations) as well as designing and implementing change management and remediation work. |
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Julian Attlee UK Sales Director | Field Effect Expertise in: Technology, Cyber Security, Data Security, Data & Risk Management, Operational Risk Management |
Julian Attlee has been solving technology challenges for over 20 years – the past seven being in cyber security. He loves working with startups and businesses of all sizes and specializes in company growth. He’s passionate about helping other businesses be successful and he places a strong emphasis on people and relationships. |
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Sean Morgan Director | Fingerprint Expertise in: Technology, Data Security, Data & Risk Management, Operational Risk Management Monitoring & Oversight |
Most passionate about helping business leaders champion profitability and efficiency through new digital processes, Sean brings 20+ years of improving the operations of investment banks and hedge funds to the team’s arsenal. Always in pursuit of the most progressive, objective-hitting way forward, Sean focuses on streamlining financial organisations’ operations and technology footprint to support compliance and business outcomes. |
Registrations are now closed for this event - contact events@thebrokerclub.org for more information