About the event

Join us at King’s College London for a discussion on the principles established by UK as well as EU financial regulation for compliance functions in the financial services industry and their application. The core concept of such tasks and processes with regards to regulatory compliance, securities compliance and anti-financial crime compliance is to prevent rule breaches and to bind the entire organisation, including its board. The event aims to explore the regulatory and governance challenges compliance leaders at second management below the board are facing.

The issues to be discussed will be "How do I report findings and eventually sanction a management level I am reporting to?" and "How do I structure a compliance function at a fintech enterprise?"

The event will be held in panel format with Professor Kern Alexander, University of Zurich, three chief compliance officers (CCOs): of a bank, fund and fintech and a team from the Dickson Poon School of Law, King's College London with Prof Michael Schillig delivering the introduction, and Dr Michael Meissner and Dr Aleksandra Jordanoska moderating the panel discussion. After the panel discussion there will be time for questions from the audience. There will be opportunity for further discussion during the drinks reception.

The event will be held under Chatham House rules.

Schedule:

17:00 – 17:30 Registration
17:30-17:40 Welcome and Introduction
17:40 - 19:00 Panel discussion
19:00 - 20:00 Drinks reception

Panellists will include:

• Professor Kern Alexander, Univerisity of Zurich
• Mark Compton, Senior Compliance Consultant, Charles Russell Speechlys LLP
• Marta Lia Requeijo, Interim UK Chief Risk & Compliance Officer, ClearBank

Biographies

Professor Kern Alexander, Univerisity of Zurich

Kern Alexander is Professor of |International Financial Law and Banking Regulation at the University of Zurich Faculty of Law. He is the author of many research articles and books, including Principles of Banking Regulation (Cambridge University Press, 2019), Brexit and Financial Service (co-author, Bloomsbury, 2018), Global Governance of Financial Systems (co-author, Oxford Univ Press 2006), and Economic Sanctions: Law and Public Policy (Macmillan 2009). His path breaking report, Stability and Sustainability in Banking Reform: Are Environmental Risks Missing in Basel III was the first study of the interrelationship between banking regulation, environmental sustainability, and climate change. His report has been widely cited and has spawned a growing area of research that analyses the relationship between law/regulation, finance, and sustainability. He directs professional training programmes for bank board members and is Co-Director of the Oxford Bank Governance Programme at the Said Business School. His public service includes serving as Member of the Expert Panel on Financial Services for the European Parliament and Subject Matter Expert in Banking Regulation and Resolution for the European Court of Auditors. His academic work and parliamentary evidence are cited extensively in British and European Parliamentary reports. He comments regularly for the BBC, Bloomberg and CNN on UK, European and US corporate, banking and financial regulation issues. He is a Member of the English and Florida Bars.

Mark Compton, Senior Compliance Consultant, Charles Russell Speechlys LLP

Mark is a qualified Solicitor and former financial services regulatory and financial crime Partner at a major global law firm and will shortly be taking the role of Director of Compliance at a law firm in the City. Mark has been a Head of Compliance, SMF 16, at an FCA and PRA authorised bank and a broker dealer and also held the and Head of Financial Crime, SMF 17 role. Prior to that, he has worked in-house in regulatory legal roles and in Enforcement and General Counsel’s Divisions at the FSA. Mark has over 25 years’ experience in financial services regulation and enforcement, ethics, conduct and financial crime.

Marta Lia Requeijo Interim UK Chief Risk & Compliance Officer, ClearBank

Marta Lia Requeijo is a C-level risk and compliance executive with nearly 20 years of leadership experience in anti-money laundering, financial crime prevention, compliance, assurance, governance, and organisational change. She has a proven track record in both fintech companies and top-tier global organizations, successfully building teams from the ground up and leading large, cross-jurisdictional teams.

A former regulator, Marta held the UK SMF17 control function (Money Laundering Reporting Officer) and currently tutors for the International Compliance Association’s (ICA) Professional Postgraduate Diploma in Financial Crime Compliance. She is also a frequent industry panellist at prominent events, including the FinTech FinCrime Exchange, Dark Money Files Conference, ACAMS, ICA, and AML Forum conferences and webinars.