Recorded Webinar: Best practices for eComms and multi-channel surveillance26 September 2023
Surveillance of multi-channel communications is a moving target as financial institutions continue to add conversational streams, in many cases mobile applications previously banned from the trading environment. With more eComms channels comes more data that must be managed, retained, and ready for regulatory compliance. For many firms, the changing shape of surveillance is a complex problem, but there are solutions.
This webinar will review the evolution of multi-channel communications, identify existing and emerging surveillance challenges, detail best practice approaches to these problems, and provide practical guidance on how to achieve surveillance that is compliant, mitigates risk and offers business insight. It will also touch on technologies, solutions and services that can be helpful, and question whether firms should be building, buying, or developing hybrid solutions.
Listen to the webinar to find out about:
- The evolution of multi-channel communications
- Resulting surveillance and compliance challenges
- Practical guidance on how to address these challenges
- Useful technologies, solutions and services
- Benefits of getting it right, penalties of getting it wrong
More about our speakers:
Executive Director, Head of Americas Communications Surveillance
Anthony is an Executive Director serving as Head of E-Communications Surveillance within SMBC Group’s Data, Analytics, and Surveillance organization. He is an E-Communications Surveillance expert with over 20 years experience including voice and E-Communications at both Goldman Sachs and Deutsche Bank.
In his current role at SMBC his is responsible for leading the organization’s transformation efforts related to the centralization of the firm’s surveillance function inclusive of deploying new approved communications channels and strategic solutions for retention and surveillance. In his previous role as the Americas Communications Surveillance Lead at Deutsche Bank, Anthony was responsible for management of the Americas region surveillance program, inclusive of strategic projects and initiatives related to the voice and e-communications surveillance program. Anthony led implementations across electronic and voice communications surveillance platforms using next generation technologies. Additionally, Anthony led training of first line team members to improve awareness of regulatory obligations as well as training of second line team members on their investigation skills and their identification of red flags. Other responsibilities included, coordinating and responding to all regulatory inquiries regarding the firm’s communications surveillance program and assessing all firm applications and communications initiatives for compliance with regulatory retention and surveillance obligations.
Global Head of Monitoring and Surveillance
Shell International Trading and Shipping Company Ltd
James Curphey is the Global Head of Monitoring and Surveillance at Shell International Trading and Shipping Company Ltd. James is specialised in the design and implementation of a comprehensive compliance monitoring and surveillance programme across the full range of the energy complex. He leads the team to deliver compliance risk oversight within a global regulatory environment.
Principal Regulatory Advisor
Shaun Hurst is Smarsh’s Principal Regulatory Advisor. With over 20 years of experience in solving intricate IT issues for Financial Services Institutions, he is a specialist in Regulatory Requirements, Data Privacy, eDiscovery, Compliance, and Cloud Computing. Shaun’s 15-year tenure at one of the largest American banks gives him unparalleled insight into the challenges our customers encounter.
Interested in hosting your own webinar? Get in touch