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Demonstrating CASS Oversight

ON DEMAND

March 2022

Regulatory attention has recently focused on operational resilience giving it equal importance as financial resilience. Consequently, firms must have robust governance infrastructures and in a world where we’re able to conduct business globally, oversight of third-parties is vital.

Recognised CPD Badge (transparent) 24 (1)

 

Key learning takeaways

  • Demonstrating governance of your CASS requirements
  • Oversight of third party arrangements
  • Regulatory expectations
  • Steps for Success

Speakers

Priscilla Gaudoin

Priscilla Gaudoin

Head of Risk & Compliance

In a career spanning 27 years, Priscilla has worked as a consultant, CCO and MLRO providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.

Her dual role also encompasses the oversight of risk management at Ruleguard.

She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.

Matthew Bruce

Matthew Bruce

Platform Director

Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform.  He has 15+ years of experience in software development and has worked on Ruleguard since its launch.​

Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.