58 episodes

An insider’s guide to the laws dictating life within UK and EU financial services, the people influencing their development and policing finance workers’ compliance

Following the Rules Lucy McNulty

    • Business
    • 5.0 • 1 Rating

An insider’s guide to the laws dictating life within UK and EU financial services, the people influencing their development and policing finance workers’ compliance

    Special episode: Global Relay's Alex Viall on the compliance tool helping finance bosses to better police their employees' use of unmonitored communications channels

    Special episode: Global Relay's Alex Viall on the compliance tool helping finance bosses to better police their employees' use of unmonitored communications channels

    Today’s episode is a special one produced in association with Global Relay, a technology firm providing global financial services firms with the software to capture, store and monitor their employees’ communications.
    Today’s guest discusses how financial institutions in the US and UK are responding to regulatory pressures to more closely track their employees’ communications, as well as to foster operational resilience and promote good conduct amongst their staff.
    He explains why one particular compliance tool is proving especially effective in helping firms promote good behaviour amongst their workforce and outlines how some finance bosses are starting to push back on regulators’ aggressive record-keeping clampdown.
    He also offers guidance on how financial institutions can best use technology to address their emerging compliance risks, including a check list of essential questions he believes everyone should ask any prospective regulatory technology provider.
    Alex Viall is the Chief Strategy Officer at Global Relay.

    • 37 min
    Government affairs guru Lisa Rabbe on what to expect from Trump 2.0, and how lawmakers and finance workers can best navigate 2024's mega election year and the AI technological revolution

    Government affairs guru Lisa Rabbe on what to expect from Trump 2.0, and how lawmakers and finance workers can best navigate 2024's mega election year and the AI technological revolution

    Today’s guest discusses the policy and regulatory outlook for artificial intelligence in the US, UK and EU and outlines how policymakers, regulators and City bosses can best manage the risks arising from the financial industry’s increasing use of AI technology. 
    She details the policies that she would like politicians in the US and UK to prioritise ahead of elections in both jurisdictions.
    She outlines how finance giants’ government affairs heads can best navigate these upcoming elections (and a potential return of President Trump).
    And calls on politicians to avoid “political point scoring” in the run up to both votes.
    Lisa Rabbe has spent more than three decades guiding some of the world’s largest financial institutions through regulatory and policy changes affecting their businesses. Her career includes stints as head of government affairs for Europe, Middle East and Africa at US giant Goldman Sachs and Chief Government and Public Affairs Officer at credit rating agency Moody’s.

    • 42 min
    Special episode: Global Relay's Rob Mason outlines how finance bosses and their regulators are preparing for an expected clampdown on employees’ social media use

    Special episode: Global Relay's Rob Mason outlines how finance bosses and their regulators are preparing for an expected clampdown on employees’ social media use

    Today’s episode is a special one produced in association with Global Relay, a technology firm providing global financial services firms with the software to capture, store and monitor their employees’ communications.
    Today’s guest outlines how financial services companies and their regulators are preparing for an expected clampdown on employees’ social media use. He outlines how an increasing regulatory focus on City workers’ behaviour in and out of the day job is changing their bosses approach to capturing and monitoring their communications. And he details how firms are using new technology to address compliance pain points when dealing with communications supervision.   
    Rob Mason is director of regulatory intelligence at Global Relay.

    • 36 min
    Halsey Keetch's Alex Keetch outlines how finance bosses and those running their control functions can best navigate opportunities and challenges in today's job market

    Halsey Keetch's Alex Keetch outlines how finance bosses and those running their control functions can best navigate opportunities and challenges in today's job market

    Today’s guest outlines how finance bosses can best support those running their risk, audit, and compliance functions to avoid serious disruptions in future.
    He cautions that without such investment in their governance, regulatory and controls functions, financial institutions risk inducing regulatory fatigue and provoking “flight risk” amongst valued senior staff.
    He also details how he believes senior risk, audit and compliance professionals should navigate today’s job market and changing work environment, and plenty more besides.
    Alex Keetch is Managing Director at Halsey Keetch, an executive search firm that specialises in placing senior leaders onto financial services company boards and within their risk, compliance, financial crime, and internal audit departments.

    • 40 min
    Special episode: Global Relay's Jennie Clarke on the surveillance blind spots that could lead to compliance blow-ups at global finance firms

    Special episode: Global Relay's Jennie Clarke on the surveillance blind spots that could lead to compliance blow-ups at global finance firms

    Today’s episode is a special one produced in association with Global Relay, a technology firm providing global financial services firms with the software to capture, store and monitor their employees’ communications.
    Today’s guest highlights the surveillance blind spots that pose “massive” compliance risks to large sections of the financial services industry. She explains why an aggressive clampdown on bankers’ WhatsApp use, as seen in the US, is unlikely to be copied by UK watchdogs. And she details how a regulatory crackdown on City workers’ behaviour outside of the day job is influencing their bosses approach to capturing and monitoring their communications.
    Jennie Clarke is head of content at Global Relay.

    • 25 min
    Special episode: Smarsh’s Shaun Hurst on the compliance challenges ahead for those monitoring finance employees’ communications

    Special episode: Smarsh’s Shaun Hurst on the compliance challenges ahead for those monitoring finance employees’ communications

    Today’s episode is a special one produced in association with Smarsh, a global technology firm providing regulated organisations of all sizes with cloud-native digital communications capture, retention, and oversight solutions to help them identify regulatory and reputational risks within their communications data before those risks become fines or headlines. 
    Today’s guest details what he believes will be this year’s most pressing challenges for compliance professionals tasked with monitoring their employees’ communications.
    As part of that, he offers guidance to compliance teams navigating the rapid proliferation of AI tools within the financial services sector, as well as to those responding to regulatory pressure to more closely track their employees’ use of encrypted messaging apps like WhatsApp, Signal and Telegram.
    He also details how he expects communications surveillance compliance will develop in response to the challenges 2024 brings. And plenty more besides.
    Shaun Hurst is Smarsh’s principal regulatory advisor for Europe, the Middle East and Africa.
     

    • 28 min

Customer Reviews

5.0 out of 5
1 Rating

1 Rating

Czuk1978 ,

This Podcast Rules!

Full disclosure- I used to work with Lucy in a previous professional incarnation and know her slightly. But I was taken aback by how good this podcast is taking the potentially dry subjects of compliance and regulation and bringing them alive through insightful guests from law, politics, tech and accountancy. Lucy has a very good eye for what makes a good listen. Also the podcast doesn’t waste time on pointless small talk and banal pleasantries, instead getting stuck into ideas and issues. Hugely recommended!

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