Compliance as a Profession
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The GRIP Files: Sebastian Stöckle, KPMG
We spoke to Stöckle about his career to date including his CTO role, the AI challenge for audit, and how KPMG is upskilling current teams.
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The GRIP Files: Michaela Ahlberg
Our regular series of personal profiles with leading players in the regulation and compliance field.
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As the SEC steps back on rulemaking, advisers face different compliance challenges
The agency’s less-prescriptive approach may give firms more uncertainty, Janaya Moscony of SEC³ Compliance tells us.
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The GRIP Files: Stephen Bolinger – filmmaker and CPO
Stephen tells us about his career to date, offers valuable advice to those entering the privacy profession, and provides insight into his work on the film “Privacy People.”
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The GRIP Files: Alexander Cohen
Alex tells us about representing clients before the SEC, FINRA, and state securities regulators and shares his experiences dealing and working with senior regulatory figures.
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OPINION: When compliance becomes operationally impossible
A systems-level analysis of structural compliance failure and post-notice continuation.
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Faith and finance: How religious norms shape modern personal financial decision-making
A thorough understanding of this interaction is important for financial institutions, advisers, and regulators to establish inclusive and fair systems.
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The GRIP Files: Munib Ali, AlixPartners
Munib Ali discusses his career path including working as a FCA regulator, a consultant, and a chief compliance officer at a global FI.