Measuring Culture and Creating a Healthy Culture of Compliance

In order, to protect the business and achieve long-term success, firms have to prioritise their people and culture. Regulators are issuing warnings so that organizations can take the opportunity to change for the better, improve employee compliance and effectively monitor conflicts of interest.

The process of changing and improving culture is slow, but if firms start now they will become stronger in the future. A culture of compliance can allow firms to maintain their values and principles intact during unexpected events and crisis.

Register to watch this webinar with the Mizen Group specialists Patrick Kelly, President & CEO, Deepa Keswani, Director & Compliance Advisory. This webcast is a chance for you to understand the regulatory focus on culture and how you can measure culture in your firm with the use of effective surveys and technology tools with real examples. 

The agenda includes:

  • The Importance of Compliance Culture
  • US Regulatory Expectations
  • What is Culture?
  • Characteristics of a Healthy Compliance Culture
  • Identifying Healthy Culture
  • Measuring Culture to Obtain Outcomes
  • Compliance Culture Survey and real examples results
  • Key Takeaways
  • Q&A Session

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Patrick Kelly
President & CEO

Patrick is co-founder of The Mizen Group, with more than 25 years experience in developing and managing complex top tier global banking, securities and insurance projects.  He has developed business strategies for a number of companies in the technology arena for securities settlement applications, compliance, on-line training and development, data analytics and integration services.  Among his accomplishments, he led a technology review and assessment related to the Office of Foreign Assets Control (OFAC) and Anti-Money Laundering (AML) capabilities for a global bank under regulatory review, and implemented a data analytics capability to detect anomalies in USD clearing for Correspondent Banks.

For Patrick Kelly's full bio, visit The Mizen Group website.

Director, Advisory Services
Deepa Keswani is a Partner and Director, Compliance Advisory at The Mizen Group. She has over 20 years experience in the compliance space and leverages her years in compliance management to offer clients quality advice on AML and other related practices.

Deepa began her consulting career in 2015, partnering with firms to offer subject matter expertise and AML project execution to financial institutions. Her specialty is offering advisory / hands-on support on compliance programs and processes and partners with professionals to offer subject matter expertise, project management and managerial support.

Formerly, as a senior compliance executive at Commerzbank, she managed the New York Branch’s Compliance department for six years before leading an expanded AML, Anti-Fraud & Sanctions department in New York as Head of Financial Crimes in 2009. In 2014, she took on the role of Head of Regulatory Compliance managing the Branch’s regulatory relationships and working with the authorities on the coordination, organization and management of various exams and reviews.

For Deepa Keswani's full bio, visit The Mizen Group website.