Lauren Schenker
Managing Director @Truist Securities
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WORK HISTORY
Managing Director @Truist Securities
Head of Capital Markets Surveillance & Compliance Technology Built and maintains ownership of e-communications surveillance system monitoring 2,500 investment bankers, traders, and research teams across the US including development of lexicons, hierarchy and escalation, ensuring Truist compliance with SEC, CFTC, FINRA, and internal policies. Principal investigator for all potential regulatory and policy violations. Developer of primary controls to mitigate business regulatory, financial, and operational risk. Manages team responsible for all surveillance activities including fixed income trading, equity trading, employee personal trading, information barriers, marketing approvals, and research. Owner of technology management for all compliance systems for Truist Securities. Owner of all compliance surveillance and business surveillance procedures. Key figure during regulatory examinations, internal audits and remediation, and investigations/ inquiries from regulators such as FINRA, CFTC and the SEC. Manage data governance and risk of all Compliance owned technology systems Manage quality assurance of the surveillance team. Member of 1LOD Surveillance Leadership Network
EDUCATION
University of North Florida - College of Business Administration
Bachelor of Business Administration (BBA), Corporate Finance
ABOUT LAUREN SCHENKER
Seasoned industry expert and conference speaker, bringing innovation and problem-solving…
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