Journal of Financial Compliance

The leading journal for compliance professionals at financial institutions

Journal of Financial Compliance is the major new journal publishing in-depth, peer-reviewed articles and case studies on how financial institutions can ensure the implementation of, and adherence to, regulatory requirements and effectively manage compliance and legal risk.

Guided by its expert Editor and a distinguished Editorial Board, each quarterly issue publishes in-depth articles and case studies on new thinking and best practice in financial compliance at banks, asset management companies, insurance companies, broker-dealers, credit unions, building societies and other financial institutions.

All the articles are peer-reviewed by JFC's Editor and Editorial Board to ensure they are authoritative, practical and relevant and each quarterly, 100-page issue showcases new thinking and best practice in compliance at a wide range of financial institutions to benchmark your organization against. 

Written by compliance professionals, for compliance professionals, Journal of Financial Compliance publishes detailed articles, reviews and case studies on key topics including:

  • Designing and building integrated compliance, risk and governance systems and controls
  • Compliance risk assessment, management and mitigation
  • Updating written supervisory procedures
  • Capital, liquidity and funding regulation
  • Enforcement investigations, actions and sanctions
  • Developing and maintaining an effective compliance and ethics culture
  • The FinTech sector and its impact on regulation and compliance
  • AML and counter terrorist financing
  • Suspicious activity monitoring and reporting
  • Conducting compliance reviews, audits and investigations
  • Compliance technologies
  • Data privacy and data sharing
  • Insider trading and market abuse
  • Conduct risk, codes of conduct and codes of ethics
  • Regulatory rulemaking
  • Financial reporting and record keeping requirements
  • Cross border regulation
  • Preparing for and managing regulatory investigations and examinations
  • Fraud prevention, monitoring and detection
  • Anti-corruption and bribery 
  • Building, recruiting, training and managing a compliance department
  • Effective programmes for whistleblowers and compliance related complaints

Journal of Financial Compliance is essential reading for Chief Compliance Officers, Chief Legal Officers, General Counsel and Departmental Heads, Managing Directors, Directors, EVPs, SVPs, VPs, Senior Managers, advisors and services providers in:

  • Compliance
  • Legal
  • Risk management
  • Audit
  • Governance

As well as central bankers and financial regulators specialising in:

  • Regulation
  • Oversight
  • Supervision
  • Enforcement
  • Financial crime
  • AML and counterterrorist finance
  • Financial stability