Summary
Manual compliance tasks such as issuing text-based policies, offering compliance training, and conducting post-activity controls are still key aspects of many compliance risk frameworks in the financial industry.
Embedded compliance checks help to overcome these manual and error-prone compliance tasks.
In this event you will learn
- What is the concept of embedded compliance?
- How can financial institutions stay compliant?
- Which use cases can we learn from?
Presenters
Dr. Nadine Wachter: Head Global Market Access at Credit Suisse
Dr. Nadine Maria Wachter is Head Global Market Access within the global CCO organization of the Credit Suisse Group AG with more than 19 years of experience. Nadine has been a founder of impact platforms for entrepreneurs to leverage and drive sustainable business and innovations. Nadine holds a Ph.D. degree in Political Science & Business Economics from the University of Basel and was able to conduct research at Columbia University in New York and London Business School.
Ralf Huber: Co-Founder at APIAX
Ralf is a Lawyer, Founder, Lecturer and RegTech Enthusiast. He has been in legal and compliance for more than 15 years and co-founded Apiax to build the future of compliance. He enjoys riding mountain bikes and climbing rocks with his family in his free time!
moderated by Sandro Schmid.
Agenda
18:00 Opening (Sandro Schmid)
18:10 Concept of embedded compliance (Ralf Huber)
18:35 Use case demonstrations (Dr. Nadine Wachter)
19:00 Q&A
19:30 Networking drinks (all)
20:30 end
Chapter Event
In our chapter events – access for members only – we present one or more speakers to share knowledge, updates and best practices on a specific risk topic. In small groups of risk professionals you can exchange thoughts and test ideas. More on SRA chapters. This event is hosted by the chapter Digital Age – FinTech, AI and Cyber Risk.
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Embedded Compliance as risk mitigation factor
22. September 2022
18:00 - 20:30