The leading knowledge platform for the financial technology industry
The leading knowledge platform for the financial technology industry

A-Team Insight Blogs

Wolters Kluwer Promotes Monteiro and Schwingen Within Securities Compliance Solutions

Originally appeared in MiFID Monitor

Wolters Kluwer Financial Services has promoted Anna Monteiro to senior director of regulatory products and editorial operations and Randy Schwingen to director of corporate actions products and editorial operations. Previously, Monteiro was director of product strategy for the securities compliance solutions group and Schwingen was senior product manager for corporate actions solutions.

In her new role, Monteiro is responsible for the oversight and development of Wolters Kluwer Financial Services’ securities compliance software tools and regulatory information for broker-dealers, investment advisers and fund managers. She also oversees the company’s regulatory editorial groups in the US and UK, which monitor securities laws, regulations and industry news to provide analysis and commentary to compliance professionals.

Prior to joining the company, she led customer product strategies for Citigroup’s Asset Management and Private Banking groups. Earlier in her career, she was a programme manager for Reuters.

In his new role, Schwingen oversees Wolters Kluwer Financial Services’ capital changes products, which provides daily coverage of corporate action events along with historical archive data to financial services, accounting and law firms. His group includes the capital changes’ team of tax and legal editors who summarise the terms and tax consequences of US and international corporate actions.

He previously worked for RIA Group, a part of Thomson, where he was in product management and marketing for their tax research products. Prior to that role, he was in product management at Dun & Bradstreet.

Related content

WEBINAR

Upcoming Webinar: Managing unstructured data to ensure regulatory compliance and add value

Date: 2 November 2021 Time: 11:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes As unstructured data floods into capital markets in the wake of traditional structured data, firms must manage both data types and ensure ease of access to extract data required for regulatory compliance efficiently and effectively. Beyond compliance, firms can...

BLOG

Confluence Outlines Development Plans Following Acquisition Agreement with Clearlake Capital Group

Clearlake Capital Group’s agreement to acquire a majority stake in Confluence provides the regulatory and data solutions provider with backing to accelerate global expansion, develop additional solutions, integrate emerging technologies, and continue down the acquisition trail. Clearlake will acquire Confluence from private equity firm TA Associates, which partnered with Confluence in 2018 and will continue...

EVENT

TradingTech Summit London

TradingTech Summit London will explore how trading firms are innovating in today’s cloud and digital based environment to create flexible, scalable trading platforms to support speed to market and business agility. Leveraging the cloud, AI and ML technologies to get an edge, automate processes and simplify operations in a cost effective way is the name of the game and will share practical insight from practitioners and technology leaders who are innovating and driving forward change in trading operations.

GUIDE

Entity Data Management Handbook – Seventh Edition

Sourcing entity data and ensuring efficient and effective entity data management is a challenge for many financial institutions as volumes of data rise, more regulations require entity data in reporting, and the fight again financial crime is escalated by bad actors using increasingly sophisticated techniques to attack processes and systems. That said, based on best...