“Control and patrol” roles— jobs in compliance, risk, audit and the regulators - are important, never more so than after the 2007-08 crisis. So why is there often that mixture of self-deprecation, humour and — yes — weariness by the good folk doing them? Having worked in regulatory and compliance roles for well over a decade, I’ve given this a good deal of thought and often chatted about it with contacts of mine who also do these jobs. DerivSource published my article which gives four reasons why I believe control and patrol roles throw up some specific challenges, but why it’s far from all bad. Find the link below.
Read my article “Control & Patrol Roles: It ain’t always easy being a compliance officer” on DerivSource. I’m keen to hear whether the challenges and upsides I cover in this article resonate with your own experience? If you have any comments, email me at email@example.com (all comments treated in confidence).
DerivSource is an independent information source and online community for OTC derivatives professionals globally. If you’ve not done so already, I recommend checking it out – they have some great content!
Never miss an article. Sign up for the Moxie Rules email newsletter here.
Financial services regulatory consultancy, specialising in MiFID II: resources, training & tips