Katy Press

Chief compliance officers are under continuous pressure to do more with less and economize resources.

Many capital markets firms built their own internal trade surveillance systems either for lack of suitable vendor options or for competitive advantage reasons.

Those who work in highly regulated industries know that there’s usually a story behind why a rule exists.

Originally published on Compliance Chief 360 Leaders in any industry must anticipate the challenges–and opportunities–their companies face. As compliance practitioners responsible for trade surveillance, are we keeping pace with current and future challenges? Some evidence to consider: A top-tier bank was found to have no surveillance on its voice-brokered swaps desk, resulting in a $45 million

Originally published in MarketsMedia Compliance in Focus is a content series on regulatory topics for financial markets and the challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus. Trade Surveillance Compliance officers are commonly known for their deep regulatory knowledge, strong command of details and ability to make informed judgements.

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