Events

Qomply and Kroll Host Breakfast Roundtable

Name: Qomply and Kroll Host Breakfast Roundtable
Start: 2023-10-19T08:30:00.000+01:00
End: 2023-10-19T10:30:00.000+01:00
Location: The Shard

This event has passed

Event Details

Date:	Thursday, 19th October 2023
Time:	8:30am – 10:30am BST
Venue:	The Shard

Topics

With the recent increase in regulatory activity around transaction reporting, Kroll and Qomply's Roundtable will discuss:

Common errors made by firms across the industry
Managing remediation projects and interaction with the FCA
Horizon scanning: possible future changes

Agenda

8.30am to 9.00am - Registration and Breakfast
9.00am to 10.00am - Panel discussion
10.00am to 10.30am - Networking

If you cannot see a registration form, please send an email to info@qomply.co.uk.

Places are extremely limited, and we request that you only reserve a space if you are certain you are able to intend.

Venue

The Shard

32 London Bridge Street

London

SE1 9SG

United Kingdom

Qomply helps financial firms achieve accurate, compliant transaction reporting across global regulatory regimes, while streamlining the operational and audit demands of regulatory reporting.

Our proprietary technology combines AI, automation and advanced data analytics to deliver scalable, audit-ready reporting intelligence. Through forensic-level quality assurance and streamlined reconciliation, Qomply helps firms strengthen data quality and reporting accuracy, automate controls, simplify audit processes and lower overall reporting costs.

Our technology provides greater oversight and operational efficiency while reducing the demands on internal teams.

For firms seeking to outsource their regulatory reporting operations, Qomply also offers a fully managed service. Combining our technology with deep regulatory expertise, Qomply Managed Services operates as an extension of, or alternative to, an in-house reporting function. This flexible model enables firms to outsource reporting operations while retaining the option to bring activities in-house as their own capabilities and resources evolve.

Request a tailored demo

European UnionUnited KingdomMiFIR/MiFID II/MiFID III

Event Hosts

Zach Johnson
Director Financial Services Compliance and Regulation, Kroll

Zach has over 20 years of experience working in the Financial Services sector across various roles in compliance and professional services. Prior to joining Kroll (formerly Duff & Phelps, and Kinetic Partners) in 2010, Zach worked at UBS and in the FCA’s Transaction Monitoring Unit. At Kroll, Zach has managed an extensive range of trade and transaction reporting reviews, consulting assignments and remediation projects for clients across a variety of investment firms including asset managers, investment banks, wealth management firms, brokers, inter-dealer brokers and CFD/spread betting firms.
Judy Leung
Snr VP, Financial Services Compliance and Regulation, Kroll
Judy has over 20 years of Compliance experience covering Front Office Compliance Advisory, Compliance Monitoring and Operational Regulatory Compliance.

During her time with Kroll, Judy has worked with a number of firms including asset managers, broker dealers and investment banks and exchanges to design, build, review and enhance compliance processes, workflow controls, procedures and documentation mainly in the Markets and Regulatory Reporting space.
Alex Chow
Investment Operations Policy Lead, The Investment Association
Alex leads policy on investment operations for the IA’s 270 members, notably on the post-trade and trade and transaction reporting workflows. The workstreams in these areas include engagement and advocacy with regulators and working with membership discussion forums and other market stakeholders to establish industry wide best practice and guidance.

Alex has 10 years’ experience in the industry having previously worked with BNY Mellon and Goldman Sachs.
Michelle Zak
Managing Director
Michelle Zak is Co-Founder and Managing Director of Qomply. She leads the firm’s global strategy and operations, overseeing the development and delivery of Qomply’s regulatory intelligence platform for transaction reporting accuracy and reconciliation to more than 100 financial institutions worldwide.

Michelle currently sits on the FCA and Bank of England Transaction and Post-Trade Reporting Taskforce leading her expertise in shaping the future of transaction reporting for the UK.

Before joining Qomply, Michelle was Chief Operating Officer at Kyte Broking and Market Securities, a global, mid-size financial firm where Michelle drove transaction reporting implementation within the firm.

Over the course of her career, Michelle held various senior leadership positions within investment banking and has over 15 years experience working on the Trading Floors of UBS and BNP Paribas.