3: Embedded Compliance

In this episode of Seismic Sessions, hosts Gemma Livermore, International FS Marketing Lead at Seismic, and Rachael Rowe, RVP at Seismic, are joined by Madison Gray, Director of Investment Management Compliance at BNY Mellon and Hannah Pring, Chief Compliance Officer at Lockton, delve deep into the critical role of embedded compliance within the financial services industry. 

The discussion dives into how compliance has evolved from its traditional, reactive roots to become a proactive, integral part of business strategy and operations today. It emphasises the ever-changing role of compliance within the financial services sector, highlighting the importance of collaboration and technology in shaping its future. Additionally, the narrative accentuates the continuous journey of adaptation and advancement facing both compliance professionals and the wider financial services industry.

Show notes

Key takeaways from episode 3 of Seismic Sessions 

• Embracing learning and adaptation: Provide guidance and enable employees to excel in their day-to-day roles to improve productivity, even in remote, hybrid, and global work environments. 
• Evolving expectations and time management: Learn how to optimise your time and manage expectations in a world where quick responses from ChatGPT are the norm.
• Collaboration as a catalyst for success: Foster open lines of communication to leverage collective knowledge and expertise,making more informed decisions, identifying innovative solutions, and driving positive outcomes.
  
  

Jump into the conversation:

[00:06:39] How the financial crisis impacts compliance
[00:08:26] The importance of compliance and regulatory accountability
[00:12:24] Global compliance challenges
[00:16:43] Why automation is valuable in compliance processes
[00:22:07] How compliance as a catalyst for innovation
[00:25:45] How AI can help
[00:28:47] How AIimpacts  work-life balance
[00:32:36] The future of compliance collaboration