Forthcoming content

Each volume of Journal of Financial Compliance consists of four quarterly 100-page issues. A selection of the peer-reviewed articles and real world case studies scheduled for Volume 1 includes:

  • Using complaint insight to enhance conduct risk assessment
    Sheraz Afzal, Director of Conduct Risk and Regulatory Affairs, Dollar UK
  • Detecting, investigating, and preventing fraud: Can it truly be prevented?
    Mark Kaplan, COO for the Americas, Société Générale & Elin Cherry, CEO, Elinphant
  • Auditing the nonprofit organisations (NPOS) AML/CFT framework in Jamaica
    Keron Burrell, ‎Director & Head of Department, Methods, Analysis and Quality Review Department, ‎Bank of Jamaica
  • Service provider due diligence: An overview
    Bart J. McDonald, Executive Vice President and COO, Renaissance Regulatory Services
  • Tipping the scales for insider-trading liability: The consequences of Martoma
    Olivia Gonzalez, Associate & Alex Lipman, Partner, Brown Rudnick
  • Data protection, anti-money laundering and tax evasion: Seeking an equilibrium between public policy and fundamental rights
    Fabio Polverino, Legal Officer, European Data Protection Supervisor
  • Challenges in implementing the ‘Fifth Pillar’ rule
    Robert Molloy, Chief Anti-Money Laundering Officer, Raymond James Financial
  • Courts as gatekeepers:  The perils of defending whistleblower suits
    Robert G. Houck, Partner, Clifford Chance
  • AML compliance and the new standards on beneficial ownership
    Brian Arrington, BSA/AML, Sanctions and Fraud Specialist Advisor, Deloitte
  • What Faster Payments means for Anti-Money Laundering compliance
    Henry Balani, Global Head of Strategic Development, Accuity
  • The changing landscape of the position of Individuals in regulatory investigations: Are you prepared?
    Guy Wilkes, Partner, Financial Services Regulatory and Enforcement, Mayer Brown International and Francis Kean, Executive Director, FINEX Global, Willis Tower Watson
  • Concerns for insurers: The treatment of multi-option and closed-book products under the new regulations
    Arved Kolle, Policy Adviser - Conduct Regulation, Association of British Insurers
  • Finding the balance between data protection and AML transparency requirements
    Andrew Lall, Privacy Officer, Royal Bank of Scotland
  • Reporting as a SYSC issue: Establishing governance maps for regulatory reporting
    Adedayo Banwo, Senior Counsel, Deutsche Bank
  • Technology innovation: Understanding the impact of new products to existing controls
    John Karantzis, Managing Director and CEO, iSignthis
  • A culture of learning: Reinforcing a firm’s values, ethics, and culture through building a learning environment in compliance
    Michael Roemer, Head of Compliance and Mark Buckle, Head of Learning for Compliance, Barclays
  • Man vs machine: Balancing automation and manual reviews to strengthen risk monitoring
    Matthew McLaughlin, Former Director, Global Investigations, AFEX
  • An intelligence-led approach to addressing cyber fraud: Proactive fraud auditing
    Elizabeth Petrie, Director of Strategic Intelligence, Citi and Casey D. Evans, Executive-in-Residence, Program Director, Master of Science in Accounting, Kogod School of Business, American University
  • Risk impact is in the eye of the beholder: Difficulties faced by the Regulator in an offshore financial centre
    Paul Coleman, Head of Compliance Unit, Turks and Caicos Islands Financial Services Commission
  • Predictive analytics in fraud and AML
    Clinton Mills, Managing Director, GBG DecTech
  • Implementing ethical culture across the Australian financial landscape 
    Richard Brandweiner, Partner, LeapFrog Investments and Susan Morey, Head of Advocacy, CFA Societies of Australia
  • Personal liability: What compliance professionals need to know
    Polly Greenberg, Managing Director, Financial Crime and Regulatory Consulting, Duff & Phelps
  • AML professionals and frontline staff: Bridging the divide
    Heather A. Allen, First Vice President, BSA Officer, Peoples Bank NC and Anne Archer, BSA/AML Officer and Manager, Xenith Bank
  • Investigations by multilateral development banks: How to manage risks, responses, and expectations
    Chiawen Kiew, Principal Investigations Manager, European Bank for Reconstruction and Development
  • Compliance meets HR: Monitoring competence and integrity 
    Matthew Connell, Director of Policy and Public Relations, Chartered Insurance Institute
  • Analysing the role of technology in compliance and regulatory structures
    Gerard Fullarton, Risk & Compliance Manager, IFM Investors
  • Why the DNA of beneficial owners prevent companies from self-submitting beneficial ownership information
    Anders A. L. Rodenberg, Director, Financial Institutions & Advisory, North America, Bureau van Dijk
  • Dealing with politically exposed persons: Navigating the changing regulatory environment
    Susannah Cogman, Partner and Elizabeth Head, Senior Associate, Corporate Crime and Investigations  Team, Herbert Smith Freehills 
  • Senior management training, accountability and oversight for anti-money laundering compliance
    Zachary C. Miller, Vice President/BSA Officer, Mid Penn Bank and Lauren Kohr, Senior Manager, Governance, Risk, and Quality Control, Financial Intelligence Unit, Pentagon Federal Credit Union
  • The new era of anti-financial crime compliance 
    Marios M. Skandalis, Director, Group Compliance Division, Bank of Cyprus Group
  • Ensuring good governance throughout the product life-cycle: A financial planner’s view
    Nick Bamford, Executive Director, Informed Choice