Creating A Superior Compliance Operation
Creating A Superior Compliance Operation
An ISITC Europe Roundtable Discussion
Kindly hosted by 
Wednesday 17th September 2025
Venue: Room 8.01, One Canada Square, London, E14 5AA
Time: 16:00 (Registration from – 15:30) Welcome/Opening Address followed by roundtable discussion
18:00 Close Followed by Networking drinks until 19:00 (Registration Form Below)
ISITC Europe is delighted to announce our next Compliance Forum roundtable discussion entitled “Creating a Superior Compliance Operation”, will be moderated by Dawd Haque, Head of Compliance at Deutsch Bank.
Our forum is focused on helping compliance officers, across capital markets, to increase their personal understanding and knowledge of all types of compliance challenges, now and in the future.
Our previous roundtable “Real-time Compliance for Real-time Processing” held on the 12th June highlighted a number of areas that Compliance officers need to consider and include in their oversight. *These are shown in the table below*. The roundtable also noted that T+1 solution costs and complexity will increase if they are addressed in isolation of these issues and if they addressed late or not at all.
- To improve Compliance effectiveness in helping the First Line – Front Office, Operations and IT – identify the risks inherent in their processes, assess the adequacy of their control environment, determine any residual risk and develop mitigation plans to address those residual risks where possible.
- While ensuring that the Compliance Risk Assessment and the business Risk Self-Assessment and Control processes are rationalised where possible.
Numbers are limited to enable participation by all attendees, so early registration is suggested to ensure your place, at what we are sure will be a fruitful and informative discussion.
Each roundtable will be conducted under the Chatham House Rule, where no individual or company will be named, to facilitate a free and frank exchange of views.
12 June ISITC roundtable “Real-time Compliance for Real-time Processing” post event report extract.
| Theme | Description |
| Compliance Strategy | The number, range and complexity of issues raised in the round table discussion shows that Compliance cannot be effective in helping the firm meet its regulatory obligations without a strategy that is aligned to the firm’s business strategy and covers the points below. Addressing obligations in isolation will not work and will add to costs and complexity. The cost of some elements will be covered by the business but for others Compliance will need its own budget. |
| Roles and Responsibilities | Roles and responsibilities need to be clearly understood, monitored, and enforced across the firm. This would mean fewer errors and better designed solutions, with better controls. |
| Speed | The move to near real-time data and processing supported by appropriate controls is difficult and expensive. Appropriate controls are essential for timely and accurate exception identification and to minimise the risk of losses and Fin Crime and other regulatory breaches. |
| Data Journeys | Solutions (processing and control) need to be based on a good understanding of data journeys to ensure efficiency and effective control, including up-front controls. |
| Business Case | Data is a critical component for near real-time processing and control. However business cases and solutions are usually designed and built to solve the specific business or regulatory requirement (MiFID, T+1, etc).
Building a business case for addressing data issues that cut across the firm is difficult. Information is often unavailable to understand the current and potential future costs resulting from poor data (eg the work done to avoid incurring transaction reporting penalties). |
| MI | MI is key. Data metrics reported to the Board need the right things measured in the right way, including thresholds. Controls can be a waste of time (eg if they show too many false positives). |
Creating A Superior Compliance Operation
Please use this form to register your interest in participating in Creating a superior Compliance Operation,
"*" indicates required fields
Creating A Superior Compliance Operation
Please use this form to register your interest in participating in Creating a superior Compliance Operation,
"*" indicates required fields
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