The Impact of Mobile Communication Trends on Compliance Programs
The key challenge is how to do you continue to meet regulatory requirements and company policy from a compliance perspective? Data from new sources must be captured, archived and monitored from a compliance standpoint to avoid regulatory scrutiny, as some firms already have faced the consequences.
Bloomberg and TeleMessage cordially invite you to attend a webinar in which we'll review recent communications and mobile trends and the impact they've had on buy- and sell-side firms. We will then host a fireside chat with Silvia Rojas, Compliance Manager, Freight Investor Services to get a practitioner's perspective on how one firm has adapted to the new world order of communication channels, with a focus on WhatsApp.
Co-Hosted with:
Speakers
Silvia Rojas
Compliance Manager
FIS
Silvia Rojas is the Compliance Manager at Freight Investor Services Limited, a voice brokerage firm with a focus in the commodities sector. At FIS, Silvia is responsible for implementing and overseeing all aspects of the compliance program. Prior to my current role, Silvia was a Compliance Officer at the securities division of StoneX (INTL FCStone) in its Miami, New York and London offices. In both her previous and current positions, Silvia is responsible for the regulatory communications strategy under FINRA, NFA and FCA rules.
Devin Freeman-Roche
Global Product Manager – Compliance Data Archive & Ingestion; Vault Technology Partner Program
Bloomberg L.P.
Devin Freeman-Roche is the global product manager for the compliance data archive and ingestion at Bloomberg. With a focus on maintaining WORM storage for our customers, he also develops the product to support new data sources and integrate with technology partners to help clients meet their regulatory and compliance obligations. Previously, Devin was a solution architect and implementation engineer for Vault, focusing on delivering the Vault compliance solutions to Bloomberg customers. Devin has 10+ years in Financial Technology, previously working at Calypso Technology, implementing capital markets risk and analytics platforms for banks, asset managers, and other financial institutions globally.
Mark Carlin
Vice President Sales
TeleMessage
Mr. Carlin joined TeleMessage in January of 2001 to create and run the US operations which was later expanded to included all of North and South America. Mr. Carlin is a senior level executive with hands on management experience in strategic planning, product management, and sales and marketing of high technology software products. Mr. Carlin held various sales and marketing positions in established companies such as HP, Control Data and GE Electronics and in start-ups including PADS Software, AccuSoft and Quadrant Software. He holds a BSc in Electrical Engineering and Computer Systems Engineering from the University of Massachusetts and an MBA from Rivier College.