Voice: The Newest Frontier in Supervision
Phone calls continue to lead other forms of communication despite the popularity of digital apps and other web services. Businesses expect voice calls to increase, which is where regulators are focusing their attention. In fact, Smarsh predicts a 2x – 3x increase in regulatory fines related to voice communications by 2025.
Learn more about the evolving use of voice communications, how to stay ahead of regulatory requirements, how to adjust your supervision strategy to include voice, and why an “email-only” supervision strategy is incomplete.
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Speakers
Shaun Hurst
Director, Solutions Engineering,
Smarsh
Shaun Hurst is the International Technology Director for Smarsh. He has over 18 years of experience solving complex IT challenges for financial services institutions and is a subject matter expert in topics like E-Discovery, Compliance, Regulatory Requirements, Data Privacy and Cloud Computing.
Emily Wright
Former Managing Director, Head of Compliance Surveillance,
Standard Chartered Bank
Emily has over 20 years of financial services experience and has focused the last 10 years in compliance surveillance. Most recently, she was Head of Compliance Surveillance for Standard Chartered Bank globally. Emily has also led the surveillance programs for APAC at JP Morgan and prior to that at ICAP, PLC. Her surveillance experience encompasses coverage across the industry including private banking and wealth management, financial markets, investment banking and inter-dealer broking and she has built and led programs for voice communications, electronic communications, trade surveillance and investigations. Emily’s earlier career included roles at both Newedge and Lehman Brothers. Emily graduated from The London School of Economics, MSc History and Philosophy of Science.
Rob Mara
Principal,
Ernst & Young
Rob Mara is a New York-based Principal in Ernst & Young’s consulting practice who leads the Risk & Regulatory Compliance Technology and Operations practice. He has over 20 years of experience in the industry, serving capital markets, retail, asset management, and banking clients in the areas of sanctions, AML, brokerage compliance, enterprise compliance, reporting, and fraud management as well as engagements with self-regulatory organizations and regulators.
Rob has led assessments and transformation projects across multiple aspects of regulatory compliance programs for large, global, regional, and specialty banks and other non-bank financial institutions in response to regulatory mandates, annual assessments, and program improvement initiatives. These have included institutions regulated by a variety of US and foreign regulators including the OCC, FRB, FDIC, FINRA, SEC, CFTC, HKMA, MAS, IIROC, FCA, AUSTRAC, OSFI and multiple other agencies.
Rob’s more recent experience includes evaluating and mitigating the impact of new technologies and products in the compliance and risk space.
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