As I sit back and toast another New Year with my family and friends, I pause and think of this ever more important world of Compliance.
Regardless of administrations or industry sentiment, at the end of the day, we all need to remain vigilant and stand on a set of principles that allows us to protect ourselves, our firms and just as important, our clients.
While the world of Compliance is not the “attractive” side of Wall Street -it is the backbone. For every Trading Desk, Banking Department or Research Group, there is a group of dedicated Compliance Officers that day in and day out provide all these departments with an umbrella of protection that will allow them to continue along as the face of the firm and conduct business as usual, while Compliance plugs away and provides them with the security that they need.
So I propose this:
Let’s truly work together as a team.
Front, Middle and Back Offices.
Let’s make an effort to not only support each other in theory but also let’s do it through our actions. Let’s provide all parties with the respect, tools, and encouragement to enable us to work as a cohesive unit, with the same goals in mind and attitude to get there together.
“One hand washes the other, both wash the face.”
Happy New Year and may 2018 be a safe, healthy and prosperous year for us all.
About the Author:
Anthony is the Senior Sales and Account Manager for DbCom – EQube, a FinTech focused and Compliance solutions provider. Previously, Anthony worked as a Compliance Officer, Systems Manager, Relationship Manager, an Equity Trade Support Specialist, and a Municipal Bond Trade Support Specialist. To reach Anthony email him at email@example.com or visit DbCom website at www.dbcomsys.com/eqube