Recorded Webinar: Best practice for Regulatory Change in 2021 and beyond22 June 2021
How to get regulatory change management right and avoid the risks of getting it wrong
The burden of regulatory change on financial firms has never been greater, leaving compliance teams under increasing pressure to ensure that changes are reviewed and acted upon in a timely manner. Technology enhancements in this space can help, allowing firms to look at improving the effective and efficient handling of regulatory change.
Getting regulatory change management right is a fundamental task, as getting it wrong can lead to eye-watering financial fines, reputational damage, and the expense of internal resolution. Improving the efficiency of the process across the organisation increases confidence in compliance, reduces the operational workload, and creates solutions that can be used across the organisation.
This webinar will cover:
- The extent of regulation and regulatory change in financial markets
- Some of the best practice approaches to regulatory change management
- Connecting regulatory obligations to controls, risks and policies to facilitate changes
- Helpful technologies and tools to create an automated, accurate and timely process
- The benefits of getting regulatory change management right
More about our speakers:
Head of Business Development SparQ
Peter has 30 years of experience in the banking industry covering risk management, product and relationship management and country management. He worked for ING in a variety of geographies including the Middle East, India, the US and several Latin American countries.
His last position at ING was Country Manager responsible for Brazil and Argentina.
Peter is now responsible for business development at SparQ, an ING-owned Reg Tech that provides an innovative AI driven solution for regulatory change management.
Director – Investment Management Risk & Compliance
Tammy Eisenberg, Esq. is a senior compliance management professional with over 20 years of experience spanning bank, broker-dealer, investment adviser, alternative investments and commodity trading advisor/commodity pools. She is a Director of Investment Management Compliance & Risk at BNY Mellon and has held senior level roles with CLS Bank International (Head of Corporate Compliance), Mizuho Corporate Bank (CCO of two investment adviser subsidiaries), served as a regulator with FINRA and as outside counsel. Tammy’s thought leadership has made her a highly sought-after speaker and industry conference participant. She has been a featured speaker for the American Bar Association, the Association of Internal Bank Auditors, National Regulatory Services and IA Watch. In addition, Tammy has been published in the Journal of Securities Law, Regulation and Compliance. Tammy is a licensed attorney admitted to practice in New York State.
Independent RegTech Advisor
Independent RegTech Advisor and Specialist in Compliance Change Programmes (Trade and Communication Surveillance)
David has spent nearly 4 decades working in financial services, covering Retail, Corporate and International banking, as well as Wealth and Asset Management, in both business and technology roles. He acts in an advisory capacity across the RegTech industry as an independent expert.
Senior Consultant – Risk & Learning
Cynthia is an experienced solutions consultant specializing in Integrated Risk Management, Regulatory Compliance and Audit solutions, working in the information services industry.
She is highly skilled in Business Process, Presales/Solution Consulting, Marketing Management, Customer Relationship Management (CRM), Team Building, and IT Strategy and focus industries have included Banking and Financial Services, government, and retail.
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