Welcome to the Great Women in Compliance Podcast. Today Lisa Fine visits with Lisa Beth Lentini Walker on her career in compliance and how compliance career connections can help one’s.
By Aaron Nicodemus2020-12-14T19:23:00+00:00
Regulators like the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), as well as banking agencies like the Office of the Comptroller of the Currency (OCC) and the Financial Industry Regulatory Authority (FINRA), have in recent years used sophisticated data analytics to assess the compliance programs of the industries they regulate. Including yours.
“They are applying AI, machine learning, cloud computing, and natural language processing in ways that are kind of shocking,” said Carlo di Florio, a former FINRA and SEC regulator who is now partner & global chief services officer at ACA Compliance Group, a data analytics vendor.