Description:

From technology to processing to managing risk up and down the enterprise, a head trader's responsibilities are becoming more complex.  Against this backdrop, it is key that compliance officers and risk mangers have a working knowledge of trading desk operations and successfully interface with traders on a real time basis.

Where are they focusing most of their energies in monitoring trading operations and what keeps them up at night?

For whom:

Chief Compliance Officers and others working in the compliance area, legal counsel, managers

Learning Objectives:

A head trader will walk you through daily trading desk operations and provide insights into the ongoing challenges and concerns that are encountered in managing a trading desk. This open and interactive forum will also feature panelists with backgrounds in compliance and risk management who will offer perspectives on effective steps to create an open dialogue between compliance and traders and ensure adequate transparency and accountability. The panel will also provide insights regarding trading desk topics such as client guideline compliance, aggregation and allocation of trades, surveillance systems, errors and corrections, risk areas (rogue traders) and best practice standards.
 

Pre-requisites for participation:

No prerequisites are required.