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The Human Capital podcast brings you the latest on the people who are helping to shape the financial services regulatory landscape, be they lawmakers, attorneys, industry officials or lobbyists. We'll get inside views from the movers and shakers on how various policy matters are impacting the advisory industry. Hosted by Melanie Waddell, Washington Bureau Chief for Investment Advisor Magazine and, this bi-weekly podcast complements the weekly Human Capital briefing. 

Jul 24, 2020

In this episode of Human Capital, we talk with Iain Duke-Richardet, compliance strategy principal at Hearsay Systems.

Duke-Richardet, an original member of the Financial Industry Regulatory Authority’s Social Media Task Force, joined Hearsay Systems in late June from Accenture. He has also served in senior compliance roles at RBC Capital Markets, Lehman Brothers, Barclays Capital and Goldman Sachs.

Says Duke-Richardet: “As a former compliance officer at a large global bank, I have seen firsthand that regulatory compliance is one of the most challenging aspects of digital transformation for financial services organizations.”

Pushed forward by COVID-19 and Regulation Best Interest, “firms must rapidly adapt to new digital client engagement models, yet time and resources especially in compliance groups are stretched thin.”

Listen in as Duke-Richardet talks about the important role compliance plays at Hearsay Systems, which helps financial services firms engage on a number of social media messaging platforms, and also gives a heads-up on some upcoming FINRA guidance.