Compliance Begins with People: A Case Study from a Leading Financial Institution

Presented by

Stephen Fulton, Proofpoint, Dennis Sullivan, Vice President, Senior Compliance Officer, PIMCO; Brandon Dunlap, Moderator

About this talk

Do you know who in your organisation has the most significant exposure to compliance risk? Are they at risk because of their actions, or are they targets? How do you build a complete picture of their risk profile identifying potential risky behaviour? Join Proofpoint, (ISC)2 and Dennis Sullivan, Vice President, Senior Compliance Officer of Industry Leading Pimco, to listen to a case study on how they achieved world-class Supervision, from implementation, optimisation in production and how to look ahead to apply practical AI machine learning. On November 16, 2021 at 1:00p.m. GMT you’ll discover how big data analytics and ML can be brought to bear in the fight against misconduct by building an effective people-centric view, promoting a culture to protect your people from compliance violations, whilst safeguarding the whole organisation. Learn the practical steps now and how to scale into the future.

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