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