A-Team Insight People

Refinitiv names William Leahey as Head of Regulatory Compliance for Wealth Management

Share article

Refinitiv has appointed William Leahey as head of regulatory compliance for wealth management. In this role, Leahey will lead all regulatory activities for the wealth management business, identifying key regulatory developments, risks and initiatives for customers.

Before joining Refinitiv, Leahey was vice president and assistant general counsel of the operations and technology group at the Securities Industry and Financial Markets Association (SIFMA). Prior to joining SIFMA, Leahey spent five years in the Financial Industry Regulatory Authority’s (FINRA’s) market regulation department developing and implementing high yield market surveillance tools and managing FINRA’s coverage of NYSE rules.

Leahey joins a team of compliance and regulatory professionals at Refinitiv and will engage with regulatory bodies, customers, industry groups, key partners and industry leaders to ensure regulators hear the voices of Refinitiv’s customers when making rules and providing regulatory guidance.

Related content

WEBINAR

Recorded Webinar: High noon for surveillance: resolving tension between the costs of false positives, challenges of calibration, and compliance

When it comes to trade surveillance, regulators want firms to do their own alert calibration, examine all alerts, and keep auditable records. Firms need to balance the real cost of false positives with the technical challenge and risk of self-calibrating and auto-calibrating, while compliance, IT and vendors have to grapple with the need for defensible...

BLOG

New BMLL CEO Humphrey Outlines ‘Scale-Up Phase’ Post-$25 Million Funding

Fresh from a January funding round that brings total financing raised to $25 million, UK trading analytics specialist BMLL Technologies has named industry veteran Paul Humphrey to take the helm as CEO. Humphrey says the company is now in “scale-up phase” as it sets about its mission to derive value from data hidden within market...

EVENT

Data Management Summit London

Now in its 9th year, the Data Management Summit (DMS) in London explores how financial institutions are shifting from defensive to offensive data management strategies, to improve operational efficiency and revenue enhancing opportunities. We’ll be putting the business lens on data and deep diving into the data management capabilities needed to deliver on business outcomes.

GUIDE

Best Practice Client Onboarding

Client onboarding is central to the success of banks, yet it continues to present challenges and the benefits of getting it right are difficult to achieve. The challenges arise from siloed systems, manual processes and poor entity data quality. The potential benefits of successful implementation include excellent client experience, improved client acquisition and loyalty, new business opportunities, reductions in costs, competitive advantage, and confidence in compliance.