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HOW TO CREATE A MODERN COMPLIANCE PROGRAM

HOW TO CREATE A MODERN COMPLIANCE PROGRAM

Behavox
Published by: Research Desk Released: Jul 08, 2021

The year of 2020 changed compliance forever.

When investment professionals started to work from home, across an expanded and decentralized risk map, compliance teams quickly discovered they were ill-equipped to aggregate and analyze the thousands of emails, chat messages, texts, and hours of phone calls that traders make every month. Legacy compliance solutions began to cause a backlog of alerts and exposed firms to unnecessary risks.

A more modern compliance program is required.

In this white paper, you’ll learn:

  1. The importance of big data, AI, and machine learning in creating a modern compliance program
  2. The risks of a random sampling approach to monitoring communications
  3. How technology can be used to triangulate compliance training