Capital markets compliance – From confidence to consistency

About this webinar

Compliance confidence is rising across capital markets firms. Yet beneath that confidence, operational fragmentation and manual processes continue to create risk. The next phase of maturity isn't about doing more: It's about connecting what already exists so compliance works end to end, produces evidence by design and keeps pace as regulatory expectations evolve.

In this TechTalks™ session, Edel Brophy, Kyle Gardner and Leith Dennis examine the forces reshaping capital markets compliance today – and what it takes for firms to move beyond fragmented, tool-by-tool approaches toward connected, evidence-native compliance models. Together, they map out how a centralized control framework – built on consistent rules, automated evidence generation and full audit traceability – is becoming the foundation for sustainable, explainable compliance.

Speakers

• Edel Brophy, Lifecycle, Regulatory and Policy Affairs, FIS
• Kyle Gardner, SVP, Trading and Compliance, FIS
• Leith Dennis, Chief Product Officer, FIS (formerly Droit)

Duration

40 minutes

What you'll learn

• Why high confidence in compliance maturity doesn't always translate into consistent, automated execution across the front-to-back office.
• How siloed systems and disconnected workflows create operational risk, reduce visibility and increase audit vulnerabilities.
• Why financial crime continues to rank as a primary concern for compliance leaders across global capital markets.
• The strategic case for shifting left by embedding compliance earlier in the trade lifecycle to drive better outcomes by design.
• How orchestrated workflows and integrated controls create a more consistent, audit-ready compliance environment.
• How AI and modern compliance technology enable firms to build scalable, explainable and evidence-native operations.