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Simplifying US state-level obligations to help achieve compliance certainty
Journal of Financial Compliance,
7
(1),
75-81
(2023)
Abstract
This paper provides key insights into how expert augmented intelligence helps simplify and refine state compliance obligation management with dynamic technology. Learn strategies to help financial institutions overcome four unique pain points of achieving complete compliance confidence. Readers will learn how top banks are able to reduce reliance on third-party legal firms, connect various components of regulatory change management together and gain a strategic perspective on how that impact is realised.
Keywords: state obligation management; regulatory change; regulatory compliance; artificial intelligence; state-level legal and regulatory compliance
The full article is available to subscribers to the journal.
Author's Biography
Kris Stewart is a senior director of regulatory compliance analysis at Wolters Kluwer. She brings more than 27 years of experience as an attorney and leader, where she uses her industry knowledge and legal expertise to help develop strategies and solutions that meet the risk management and business needs of financial institutions. For over 18 years, she has worked directly with financial institutions to implement automated compliance solutions while developing and delivering complementary services to assist the organisations with compliance programme management.
Elaine F. Duffus is a senior specialised consultant with the Financial Services Compliance Programme Management solutions team at Wolters Kluwer. She brings more than 20 years of professional expertise to her role, including several as Chief Compliance Officer in the insurance, securities and banking industries. Elaine has expertise in engagements relating to regulatory insight, regulatory change management, compliance and ethics governance, risk and controls assessments, compliance testing, complaint management and exam and inquiry management. Her work includes helping clients assess, understand and manage their regulatory content needs.
