Annual Virtual Event

In an era of behavioral risk and regulatory scrutiny, today’s CCOs are transforming monitoring into a lens on firm culture, ethics, and accountability. Join this panel of forward-thinking compliance leaders as they reveal how employee activity data is driving smarter risk assessments, real-time policy updates, and firmwide change.

It’s not just what happened — it’s how you caught it, what it revealed, and how your firm responded. In this session, discover how CCOs are moving from reactive oversight to connected case management strategies that detect risk early, surface patterns across employee activity, and fuel continuous program improvement. Learn how to close the loop on conflicts, map risks to controls, and build a defensible program regulators can trust.

Regulators aren’t asking to see your policies — they’re asking to see proof they work. In this session, top CCOs share how they’ve built compliance programs that move beyond documentation to real oversight, using COMPLY Program Management to connect risk assessments, certifications, and annual reviews into one seamless, regulator-ready system.

You’re tracking automation rates. You’re capturing metrics. But are you using them to shape your strategy — or just to check a box? 

In this session, we’ll unpack what your automation metrics actually reveal about the health of your compliance program. From trade preclearance auto-approvals to broker feed coverage, we’ll show how leading firms interpret their data, identify trade-offs, and make smart decisions about what to automate — and what to leave manual. 

You’ll learn: 

·      How to evaluate your metrics against meaningful benchmarks 

·      Why 100% automation isn’t the goal — and what to aim for instead 

·      Where automation creates ROI — and where it can introduce risk 

·      How COMPLY helps clients find (and fix) performance gaps hiding in their data 

·      This isn’t just a metrics review. It’s a mindset shift — from tracking performance to optimizing it.