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Compliance Podcast Series: Episode 1 - U.S. Regulatory Compliance
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Listen in to learn:
- How recent recordkeeping failures in U.S. financial institutions led to record fines
- What “illicit communications” are, and where to find them
- The importance of adhering to internal communication retention and supervision policies
In our five-part podcast series in partnership with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Episode 1: The Future is Now: U.S. Regulatory Compliance
Global Relay’s compliance experts recently sat down with Tom Fox from the Compliance Podcast Network to explore the evolving U.S. and U.K. regulatory framework for the capture of business communications via popular messaging apps, like WhatsApp and WeChat among others.
In the first episode of this five-part series, Global Relay Executive Vice President of Compliance Chip Jones shares his insights on the current U.S. regulatory landscape, as well as the challenges of maintaining communications compliance in the face of off-channel communications.
In this episode: Chip Jones
Chip joined Global Relay in November 2020 as Executive Vice President – Compliance. He was previously a nineteen-year veteran of FINRA, serving as Senior Vice President, Member Relations and Education, and held previous regulatory and investigative positions at American Express Financial Advisors and the Virginia Securities Division. He is committed to ensuring our products and services meet – and exceed – the needs of our clients, and maintaining an open and effective dialogue across the regulatory space.
Listen now
Listen to Part 1 – The Future is Now: U.S. Regulatory Compliance now, as well as the rest of the series, including episodes covering the dynamic between innovation and regulation, the importance of operational risk management, the evolution of surveillance practices, and how organizations find the right device and compliance policy for their needs.
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