Upcoming Webinar: Addressing conduct risk: approaches to surveillance
Date: 3 December 2024
Time: 10:00am ET / 3:00pm London / 4:00pm CET
Duration: 50 minutes
Conduct risk in financial services is a critical area that requires vigilant monitoring and robust surveillance mechanisms. Regulatory bodies, (FCA, FINRA and others) have tightened their scrutiny and financial institutions must adopt advanced approaches to effectively manage and mitigate conduct risk. This webinar will examine the latest methodologies and technologies used to address conduct risk, and where AI is making a meaningful difference.
The session will explore how integrating advanced analytics can transform conduct detection by ‘connecting the dots’ across data sources including transactional data, communication records, and performance metrics. By reducing false positives and enhancing the accuracy of risk detection, institutions can focus on genuine threats and streamline their compliance efforts. Attendees will gain insights into the practical application of these technologies and learn about the regulatory requirements and expectations surrounding conduct risk management.
Join this webinar to learn more about:
- Key conduct risk obligations – FCA, FINRA and others
- The importance of behaviour-centric surveillance in conduct risk detection
- Comprehensive e-comms surveillance strategies across various channels
- How AI and machine learning are reducing false positives and boosting productivity
- The importance of archiving and practical steps to achieving compliance
Speakers:
More about our speakers:
Paul Taylor
Vice President Product Management, Enterprise Conduct
Smarsh
Paul Taylor is the VP Product Management, Enterprise Conduct at Smarsh and owns the surveillance and supervision solution for both electronic communications and voice. Working closely with prospects, customers and partners across the Financial Services industry, he defines the product strategy to ensure the risk management and machine learning capabilities are aligned across all lines of defence.
In his previous role at UBS as CTO for Legal and Compliance, Paul delivered many FinTech and RegTech technologies, encompassing big data platforms, analytics capabilities and artificial intelligence solutions. Prior to this he worked in enterprise organisations and tech companies across multiple industries, with focus throughout his career on unstructured data. He’s also lead guitarist in a rock covers band.
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