Lead sponsors

Accenture solves our clients’ toughest challenges by providing unmatched services in strategy, consulting, digital, technology and operations. We partner with more than three-quarters of the Fortune Global 500, driving innovation to improve the way the world works and lives. With expertise across more than 40 industries and all business functions, we deliver transformational outcomes for a demanding new digital world.

www.accenture.com

Galvanize provides a data-driven governance solution which is simple to use, quick to implement and designed for the 1st line. It supports with the implementation, monitoring and remediation of the risk and control framework and makes use of unique data analytics technology to provide continuous assurance that control processes are working as expected.

wegalvanize.com

Norton Rose Fulbright is a global law firm with over 7,000 staff based in more than 50 cities across Europe, the United States, Canada, Latin America, Asia, Australia, Africa, the Middle East and Central Asia.

Our regulatory compliance consulting practice provides risk and compliance advisory, assurance and remediation services to financial services clients across the world. We offer a range of services, including assisting with the development, operation and enhancement of compliance and risk programmes, frameworks and infrastructures; undertaking collaborative or independent assurance activities; and providing a full service remediation offering. We also undertake controls testing and help clients prepare and discharge their responses to regulators.

Our methodologies and solutions are tailored to the needs of each assignment and client. We consider the regulatory environment and the client’s business model, commercial aspirations, risk appetite and internal governance. We offer our services on a project or ongoing relationship basis, whether in one jurisdiction or internationally.

www.nortonrosefulbright.com

PARTNER SPONSORS

Digital Reasoning is a global leader in artificial intelligence that understands human intentions and behaviors. Our award-winning conduct surveillance solution is used by global banks to identify conduct risk and defend reputations.

Digital Reasoning pioneered the application of AI-enabled communications analytics to first and second line controls among the world’s leading investment banks. Continual investment in our conduct surveillance solution is enabling our clients to evolve their surveillance capabilities and meet the challenges of a regulatory environment in which only a combined analysis of behaviours, intentions, and emotions can deliver the human-centric insights that accurately describe conduct risk.

www.digitalreasoning.com

OneTick Surveillance supports intra-day and T+1 examination of orders and transactions data. It features an alerts review dashboard with advanced visualizations, alert statistics, parameter tuning, static report-generation, trade reconstruction, and integrated case management. The system has the capacity and performance to process millions of orders, updates, and transactions per day, and to review years of history. OneTick Surveillance is complemented by TickData™ Cloud, our vast collection of reference data and market data history, covering global equities, futures, options, Forex, and corporate news. Subscribers may elect to use our market data or their own, or mix and match as desired. The system is currently in use by a global bank to satisfy MAR and the FCA’s Forex remediation requirements across multiple desks. It is used by the world’s largest options broker, the world’s largest algo operator, and by a major US clearing broker to meet CFTC surveillance requirements.

https://www.onetick.com

John Baskott

Welcome to 1LoD's Global Benchmarking Survey and Annual Report 2019, the largest and most comprehensive survey ever conducted on the front office control sector. This year's report was answered by over 30 of the world’s largest financial institutions. We hope you enjoy reading the findings and thank you to everyone who contributed to making it a success. To find out more about upcoming events, our careers hub or other content from 1LoD just visit www.1lod.com

John Baskott, Co-Founder, 1LoD

Lead sponsors

Accenture

Galvanize

NortonRose2

Partner sponsors

Digital Reasoning

OneTick

Researched and published by

1loD