Upcoming Webinar: Best practice for Regulatory Change in 2021 and beyond22 June 2021
Date: 22 June 2021
Time: 10:00am ET / 3:00pm London / 4:00pm CET
Duration: 50 minutes
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
Ian Hollowbread, Head of RegTech, ING Labs
Tammy Eisenberg, Director – Investment Management Risk & Compliance, BNY Mellon
David Cowland, Head of Business Consulting, Eliga
Cynthia Richards, Senior Consultant – Risk & Learning, SAI Global
Moderator: Sarah Underwood, Editor,
More about our speakers:
Head of RegTech
Ian is responsible for leading RegTech Labs for ING Globally. An accomplished Change Manager, with 15+ years’ experience across Capital Markets supporting the delivery of significant front to back technology, operational and regulatory programs. Ian has held a number of positions across the bank including Client Service, Network Management and Head of Service Management.
Ian forms part of ING-UK’s Innovation Council and is Chair of the Association of Foreign Banks RegTech Working Group. Ian is extensively involved in the development of Market Infrastructure for Post Trade processing & Regulatory Affairs. He is currently helping to develop a collaborative market pilot centre to support the validation and adoption on new RegTech and FinTech solutions.
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.
Head of Business Consulting
David has spent more than 3 decades in Financial Services, covering Retail, Corporate, Wealth and International Banking and Asset Management, in both business and technology roles.
In recent times, he has run Compliance Technology, been Head of Compliance Operations and run the RegTech initiative of a major Financial Services firm. David is passionate about change and innovation and is an avid commentator on RegTech and how it can transform compliance.
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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