Forthcoming content

A selection of the peer-reviewed articles and real-world case studies scheduled for Volume 8 of Journal of Financial Compliance include:

• Are the old ways of transaction monitoring dead?
  Carrie Gilson, Senior Vice President and Director of Financial Intelligence Unit, US Bank
• How conduct risk may change dramatically in the age of automation
  Sabina Ausfelt, Head of Regulatory, Risk and Oversight and MLRO, Juni
• How to maintain a strong compliance function in a remote/hybrid working environment, using ESG as both the objective and the driver
  Jessica Ramos, Head of Regulatory and Financial Affairs, Ella Adler, Regulatory & Oversight Affairs Counsel, and Erietta Exarchopoulou, Regulatory & Oversight Affairs Advisor, EBA Clearing
• A consideration of the evolving role, visibility and prominence of compliance in strategic planning, and protecting brand and reputation
  Catherine Vaughan, Global Financial Crime, Ethics and Compliance Leader, Ernst & Young
• Identifying and addressing the risks of AI through regulations, compliance controls and technical design
  Sudhanshu Bahadur, Global Head of Technology, Global Asset Management, BMO Financial Group, and Kuno Tucker, Chief Compliance Officer, Manulife Securities
• Off-channel communications: Managing financial services employee use of personal devices for work-related communications
  Richard Harvey, Executive Vice President, General Counsel and Director of Compliance Risk, Beneficial State Bank, Michael Leotta, Vice-Chair of the White Collar Investigations, WilmerHale, and Gautam Sachdev, Partner, AlixPartners
• Sanctions evasion and CTF: How to remain compliant in the face of geopolitical turmoil
  Ashley Clarke, Senior Vice President, Citi
• Strengthening governance practices of TCSPS in the EU’S smallest member state
  Christopher Buttigieg, Chief Officer Supervision, and Petra Camilleri, Deputy Head, Trust and Company Service Providers Supervision, Malta Financial Services Authority
• Machine learning and compliance – a consumer-led approach
  Matthew Connell, Director of Policy and Public Affairs, Chartered Insurance Institute
• Is DORA the dawn of a new era for cybersecurity compliance in the EU’s financial sector?
  Antonio Giannino, Chief Risk & Compliance Officer, and Francesca Valenti, Legal and Regulatory Advisor, Amagis Capital Group
• Risk-based customer due diligence is the key to effectively managing financial crime risk
  Ola Tucker, Founder, Compliance Notes
• Keeping up with the regulators: How to build an effective compliance programme to satisfy the best interest care obligation
  Stephanie Nicolas, Partner, and Josh Nathanson, Associate, WilmerHale
• How the EU AI Act will impact financial services and what pitfalls to be wary of
  Nataliya Tkcahenko, Generative AI Ethics & Assurance Lead, Lloyds Banking Group
• Can you hear us now? Deciphering regulators’ messaging around financial services firms’ electronic communications compliance
  Amy Jane Longo, Partner, Ropes & Gray, et al
• From data to decisions: how emerging technologies can enhance ESG assessments and reporting
  William Nelson, Associate General Counsel, Investment Adviser Association
• Improving AML detection during and after onboarding: From perpetual KYC to transaction monitoring
  Nadine Kari, MLRO, N26 Bank
• Compliance, technology and data risk: Electronic communications and the modernisation of data governance control structures
  Therese Craparo, Partner, Reed Smith et al
• Social media as a compliance risk
  Rob Mason, Director of Regulatory Intelligence, and Jennifer Clarke, Head of Content, Global Relay
• Managing the intersection of export controls and economic sanctions: Implications for legal and compliance teams and best practices for strengthening cross-departmental coordination
  Graeme Hamilton, Partner, Rambod Behboodi, Senior Counsel, Nasra Moumin, Associate, Borden Ladner Gervais
• Transparency and digital assets collide: How new US tax information reporting regulations on digital assets provide answers but leave some questions
  Chris Saveri, Principal, Global Tax, Gemini
• Trade surveillance: Adapting to the age of digital finance
  Jonathan Dixon, Head of Surveillance, eflow Global
• Russian sanctions evasion
  Owais Arshad, Director - Global Economic Sanctions Advisory, RBC
• When to litigate or settle in enforcement matters against firms and individuals
  Sara Raisner, Partner, Shearman & Sterling
• How to strengthen the culture of compliance across your organisation through effective collaboration
  Kiran Thakkar, Assistant Vice President, Risk and Compliance Business Partner, Canada Life
• Russia sanctions and circumvention in real life: Strengthening global due diligence and screening to detect increasingly sophisticated schemes
  Wendy Wagner, Partner, Gowling WLG
• How to unleash Gen AI’s potential in AFC
  Charmian Simmons, Financial Crime & Compliance Expert and Strategy Leader, SymphonyAI