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Rethinking compliance – New approaches to conduct risk and surveillance in 2020

The panel

  • Jason Merritt, Director of Business Development and SMEs, NICE Actimize
  • Al Silipigni, Head of Conduct Risk, Wells Fargo
  • Tanya Weisleder, Global head of Conduct Risk, Credit Suisse
  • Moderator: Steve Marlin, Staff writer, Risk.net

Risk.net’s annual Top 10 Operational Risks Survey found that conduct risk ranked among the most pressing issues keeping operational risk professionals awake at night. 

With an emphasis on reducing costs, firms are required to employ data within their surveillance approach to comply with increasingly heightened conduct risk expectations.

Key topics discussed:

  • The regulatory shifts driving conduct risk, personal liability and accountability and what this means for your framework
  • New types of trading instruments impacting the scope of surveillance
  • The benefits and agility of cloud-based surveillance solutions
  • How to roll out a holistic surveillance strategy that centralises conduct risk management into a single platform
  • How new innovations can aid in monitoring across teams and regions
  • How surveillance tools can reduce costs, heighten accuracy and ensure compliance.
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