The Compliance Catch-Up | An (Almost) Monthly Fingerprint Podcast
We talk to the hottest compliance voices in the industry to hear about the latest regulatory expectations and trends in compliance, and get some insight into their own journeys within the industry.
It’s also a chance to have a lovely chat with some lovely compliance professionals!
Follow the Fingerprint LinkedIn page to get the latest updates around the Compliance Catch-Up and stream it live on LinkedIn.
Do you work in compliance and have something to say? Well, come on to our podcast and say it yourself! Send Brielle Hewitt or Samuel Rossiter a message on LinkedIn if you’d like to be a guest on The Compliance Catch-Up.
The Compliance Catch-Up Episode 5 | With Joshua Deeks From The Edmund Group
Streamed on 17 April 2024.
James and Joshua talk about:
- How to balance the high risk appetite of Fintech firms with their operational compliance
- The impact of Consumer Duty within the Fintech space
- The problem with using AI in financial services – who claims responsibility when things go wrong?
- What the future of AI in financial services looks like and how the FCA can practically regulate the use of AI
The Compliance Catch-Up Episode 4 | With Emma Parry From NovaFin Consulting
Streamed on 21 February 2024.
James and Emma talk about:
- Emma’s journey to founding her Compliance Consultancy – NovaFin Consulting
- Best practice for regulated firms to combat fraud and market abuse
- Their thoughts on the use of AI in compliance
- Why they think the regulators won’t be introducing the use of AI into regulations anytime soon, even though they are talking about it more in the industry
- What major regulatory trends they see developing in the market in 2024
The Compliance Catch-Up Episode 3 | With Kate Jones From Kana Consult
Streamed on 14 December 2023.
James and Kate talk about:
- Kate’s journey to working in compliance and co-founding her Compliance Consultancy – Kana Consult
- Their personal thoughts on the regulator (FCA) and how well it is regulating the marketplace
- What areas of focus the FCA will be concentrating on in 2024
The Compliance Catch-Up Episode 2 | With Edward Green From SnippetSentry
Streamed on 15 November 2023.
James and Eddie talk about:
- Eddie’s journey to running SnippetSentry
- The increased focus on communications compliance over the past few years with regulators like the SEC handing out billions of dollars in fines to major banks such as HSBC and the Bank of America for using ‘off-channel’ messaging apps
- How firms can turn to RegTech solutions to ingest and monitor channels like WhatsApp and ensure compliance with key regulations
The Compliance Catch-Up Episode 1 | With Clare Curtis From Effecta Compliance
Streamed on 4 October 2023.
James and Clare talk about:
- Clare’s journey to running her own Compliance Consultancy – Effecta Compliance
- Clare’s experiences working in compliance in the Middle East for over two decades, and the differences in regulatory expectations between the UK and Middle East
- How good compliance goes deeper than surface-level reviews and what the most vital areas are to focus on in your compliance framework
- Why the FCA is shifting to focus on harms to consumers (such as Consumer Duty, ESG) rather than just focusing on controls
