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Managing trade and communications surveillance in the new world of work
Journal of Financial Compliance,
6
(1),
6-16
(2022)
Abstract
The COVID-19 pandemic has introduced changes in technology and the working environment which have ultimately changed the risk profile and risk manifestation within financial organisations. Alongside the ever-increasing conduct-focused regulations globally, surveillance has never been so important. As a control, surveillance frameworks and programmes must adapt to stay effective and relevant to the changing times. This paper describes the challenges and steps that can be taken to uplift surveillance practices in response to regulatory scrutiny, technology advancements and culture shifts as firms embrace hybrid and remote working set-ups.
Keywords: surveillance; trade reconstructions; hybrid working; market abuse; conduct rules
The full article is available to subscribers to the journal.
Author's Biography
Yasmine Li is the Head of EMEA Surveillance, and the Global Head of Commodities Surveillance, at Macquarie Group. She leads the surveillance capability across detection and investigations of potential incidents spanning market abuse and conduct concerns, and strategic enhancements to ensure an effective and efficient programme. She is an experienced surveillance lead within the financial industry and energy markets, with expertise spanning the development of surveillance strategies, business and operating model transformations, market abuse risk assessments and delivery of technology enablers. Prior to this role, she was the Global Surveillance Delivery Lead at the broker TP ICAP, transforming its surveillance architecture and infrastructure through a major merger and MiFID II. She also has over ten years' experience as a consultant serving leading financial institutions, oil, power and gas organisations in both the retail and wholesale trading sectors. Yasmine has an engineering and computer science degree from the University of Oxford.
