Roy Kirby

Roy Kirby is Senior Product Manager at SIX Financial Information and has been with the company since 2015. In this role, he is responsible for identifying and responding to market trends and customer requirements across all financial markets globally. The product team for which Roy is responsible is currently focused on the areas of regulation, asset servicing and corporate actions. A core responsibility of his team is to provide thought leadership and expertise to define solutions that mitigate clients’ risks, improve profitability and improve efficiency. Some notable topics include MiFID II, FATCA, IRS 871(m), Solvency2, cross border taxation, security master files and corporate action workflow. Prior to joining SIX Financial Information, Roy spent 18 years in various roles within the financial markets.

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Why "Minimal Viable Compliance" Can’t Be the Goal Major regulatory deadlines often lead firms to settle for minimum viable compliance – taking whatever action is needed to avoid regulatory scrutiny, regardless of the cost. But this approach inevitably leads to an inefficient, patchwork approach to compliance, where new procedures are created for each new regulation. As firms move past the MiFID II...

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A raft of new, far-reaching regulations is making it necessary for financial institutions to rethink their compliance procedures from the ground up. With many of these new regulations drawing from the same data sets, the old approach of having siloed compliance teams pull the necessary statistics for each directive in isolation no longer makes sense. Instead, institutions need streamlined data processes that allow...

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Compliance Job Interview Q&A
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