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Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology

Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology

FromFINRA Unscripted


Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology

FromFINRA Unscripted

ratings:
Length:
21 minutes
Released:
Feb 9, 2021
Format:
Podcast episode

Description

This episode originally aired in September 2020.Technology is opening up new possibilities when it comes to solving business challenges. And that's important when it comes to optimizing an organization's most valuable limited resource: its people.On this episode, we hear from Member Supervision's new head of Data Analytics and Technology Kerry Gendron to learn how FINRA is augmenting its examination and risk monitoring program and teaching its employees the art of the possible.Resources mentioned in this episode:Episode 67: FINRA’s R&D ProgramEpisode 49: Exam and Risk Monitoring Program Transformation
Released:
Feb 9, 2021
Format:
Podcast episode

Titles in the series (100)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.