Creating a Pro-Compliance culture across your organization

‘Culture’ is often identified as the key to an organization’s ability to ensure compliance and fair customer outcomes. Regulators do talk about this, but even within organizations, there is a growing realization that the success of a compliance function depends on a variety of cultural elements, such as ‘tone from the top’, communication, and availability of information.

Jane Walshe, who has been on both sides of the table, as a regulator and as part of a regulated firm, presented an informed perspective on the importance of a pro-compliance culture and how to embed it across the organization. Jane also addressed the key issue of how the compliance function needs to be ready for growth while using resources in the most effective way.

SPEAKER PROFILE:

Jane Walshe is a Barrister and Fellow of the Chartered Institute of Securities and Investment. Jane has worked at the UK regulator and at regulated firms including JP Morgan and BP. She is a Director of Compass Compliance and works with Moody’s Analytics in the development of compliance services. Jane is also a consultant at Simmons & Simmons, in the Financial Services team. Jane has recently completed editing a book on the new Senior Managers Regime in the UK, due for publication by Sweet & Maxwell in early 2016.

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