How to Create a Modern Compliance Program

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.