Strategies for Compliance: Tools, Techniques and Challenges in Financial Services

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Alan Brener

Strategies for Compliance

Tools, Techniques and Challenges in Financial Services

Alan Brener

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Paperback

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English

Routledge
21 December 2020

Economics; Banking; Financial services industry; Jurisprudence & general issues; Banking law

Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond.

The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice.

An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.

By: Alan Brener
Imprint: Routledge
Country of Publication: United Kingdom
Dimensions: Height: 234mm, Width: 156mm,
Weight: 453g
ISBN: 9780367337575
ISBN 10: 0367337576
Pages: 264
Publication Date: 21 December 2020
Audience: College/higher education , Professional and scholarly , Primary , Undergraduate
Format: Paperback
Publisher's Status: Active

Alan Brener is a Teaching Fellow at University College London and Queen Mary University of London, UK. A qualified Chartered Accountant and member of the Institute of Chartered Accountants in England and Wales, Alan is also a Fellow of the Chartered Banker Institute, a professional body for bankers, and a member of its education and training Quality and Standards Committee. Alan has worked at a senior level in UK commercial banking for many years; most recently at Santander UK where he was responsible, at different times, for the compliance and retail legal departments and regulatory policy. Before joining Santander in 2005, from 1996, he headed the compliance departments for the retail banking divisions of Natwest and RBS banks. From 1989 to 1996 Alan was a senior prudential and conduct of business regulator for the insurance and collective investments sectors, having previously worked on aspects of public policy at the Department of Trade and Industry. Most recently, prior to starting his PhD, Alan was on secondment from Santander helping to set up the Banking Standards Board with the objective of improving standards of conduct and professionalism within the banking industry.