Recorded Webinar: Addressing conduct risk: approaches to surveillance

Conduct risk in financial services is a critical area that requires vigilant monitoring and robust surveillance mechanisms. Regulatory bodies, (FCA, FINRA and others) have tightened their scrutiny and financial institutions must adopt advanced approaches to effectively manage and mitigate conduct risk. This webinar will examine the latest methodologies and technologies used to address conduct risk, and where AI is making a meaningful difference.

The session will explore how integrating advanced analytics can transform conduct detection by ‘connecting the dots’ across data sources including transactional data, communication records, and performance metrics. By reducing false positives and enhancing the accuracy of risk detection, institutions can focus on genuine threats and streamline their compliance efforts. Attendees will gain insights into the practical application of these technologies and learn about the regulatory requirements and expectations surrounding conduct risk management.

Join this webinar to learn more about:

• Key conduct risk obligations – FCA, FINRA and others
• The importance of behaviour-centric surveillance in conduct risk detection
• Comprehensive e-comms surveillance strategies across various channels
• How AI and machine learning are reducing false positives and boosting productivity
• The importance of archiving and practical steps to achieving compliance

Speakers:

Sepehr Irandoost Head of Global Surveillance Effectiveness and Efficiency

Bank of America

Marili Anderson Managing Director, Head of Compliance, UK

Rabobank

Theo Hill Senior Director of Product Management

Smarsh

Moderator: Adrian Sharp Editor, RegTech Insight

A-Team Group

More about our speakers:

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