Ep.4 Comply or Die

Charlotte and Kim discuss the ever-evolving landscape of compliance in the financial services industry. They explore the challenges of keeping up with rapidly changing regulations, the exponential growth of the industry, and the need for specialized training tailored to different roles within an organization. The episode also delves into the importance of regularly reassessing and auditing compliance systems, especially during trigger events such as mergers, acquisitions, the introduction of new products or services, and the implementation of new technologies, which may open doors to cybersecurity risks.