A Day in the Life of a Compliance Officer

By The Enforcd TeamThe Enforcd Team
Enforcd RegTech Blog - Regulatory Thinking and News

Compliance officers perform a crucial role in any financial company, but what do they do with their days and how is the role changing?

There aren’t many children who tell their parents they want to be compliance officers. Indeed, there are plenty of people within a firm who might look down on them – giving them the slightly derogatory term ‘business prevention department’. However, that’s not quite right. Most would see it as business preservation and in an increasingly fast-moving regulatory environment, their role has become more important than ever. Continue reading “A Day in the Life of a Compliance Officer”


The Key Conduct Challenges Confronting Financial Services Firms

By The Enforcd TeamThe Enforcd Team
Enforcd RegTech Blog - Regulatory Thinking and News

Concluding our series reflecting on Megan Butler’s speech to the FT Investment Managers Summit, we examine the key conduct challenges confronting corporations.

As we were writing this, the fallout of the Carillion collapse was unfolding live on the news websites. With each day – even hour – it seems we’re treated to fresh and even more disturbing revelations. The response from the public seems to be a roll of the eyes at another corporation found to be failing in its duty. Continue reading “The Key Conduct Challenges Confronting Financial Services Firms”