Compliance Time
Compliance Time
Nov 25, 2020
Understanding Financial Regulations
Play • 52 min

Guest in the Episode is Alexander Dill - a Chicago-based scholar, university and in-house instructor, and advisor specializing in financial regulation, model risk management, and general risk management and compliance. He teaches at top US universities: at UCLA, in the School of Law and Anderson School of Management, and in the University of Chicago’s Financial Mathematics Program. His courses span a broad range of areas involving the financial markets – banking and capital markets regulation, corporate governance and risk management, model risk management, and compliance in financial institutions. He provides in-house instruction to and advises financial firms on trends in financial regulation and issues specific to their business.

As a compliance officer at Moody's Investors Service, Alexander designed their ratings compliance function in 2003 following the Enron and other accounting scandals that had resulted in multi-notch downgrades. With professional experience in Moody's and the SEC, the Securities and Exchange Commission in the US, Alexadnder's research and writing focus is on the intersection of the capital markets and the banking system and their regulatory and supervisory frameworks from an economic perspective.

Resources which were discussed in the episode:

Link to Bank Regulation, Risk Management, and Compliance: Theory, Practice, and Key Problem Areas (Practical Finance and Banking Guides) - https://amzn.to/3fn6kOe

Alexander's website: http://financialmarketreg.com

Alexander's LinkedIn page: https://www.linkedin.com/in/alexanderdill

A free chapter from Alexander's book: https://tandfbis.s3-us-west-2.amazonaws.com/rt-files/docs/Open+Access+Chapters/9780367367497_oachapter6.pdf

Financial Times Op Ed article: https://www.ft.com/content/cf30bc50-1c2c-11ea-81f0-0c253907d3e0

The Goldman's 1MDB scandal reflects highly skewed priorities and norms in tone at the top article: https://www.linkedin.com/pulse/goldmans-1mdb-scandal-reflects-highly-skewed-priorities-dill/?trackingId=97RG3A3lTL63ou%2Biz3XPuQ%3D%3D

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