Executive Director, Product Management
Ryan Sheridan is the Executive Director of Product Management at StarCompliance, where he plays a pivotal role in advancing and enhancing the company’s product offerings to bolster regulatory compliance excellence. With more than two decades of experience in compliance and the financial services sector, Ryan has held significant positions at firms including Barclays Investment Bank, Capital One Financial Corp, and JP Morgan. Throughout his career, he has led surveillance teams specializing in code of ethics monitoring, covering personal account dealings, employee certifications, and control room related activities. Ryan’s extensive background in global Regtech compliance management aligns seamlessly with StarCompliance’s expanding international presence. He holds a Bachelor of Science degree from Mount Saint Mary’s University and resides in New Jersey.
Posts By Author
Sometimes The Grass Is Actually Greener
Choosing the right compliance partner can make all the difference In today’s complex regulatory landscape, maintaining compliance is not just a legal obligation but…
FINRA Gift Rules and Monitoring
Gift-giving and entertaining—commonly known as “wining and dining”—have long been integral to business practices, serving to build relationships and facilitate negotiations.
Personal Account Dealing Policy and Compliance
What the FCA has to say about personal account dealing, and how StarCompliance can help.
Navigating Employee Compliance: 12 Best Practices and Strategies
Effective employee compliance programs are vital for safeguarding a company’s reputation and reducing legal risks, as well as risks to employees themselves.
“Doing More With Less: Simple Ways To Reduce Workload While Remaining Compliant” – 3 Key Webinar Takeaways
Find out these 3 key takeaways from our recent webinar delving into the impact of this reality on firms' operations and explores strategies they can use to strengthen their compliance program
Is Your Compliance Training Changing Behaviors?
Behavior-based training enables organizations to realize their compliance program goals by implementing best practices in modern training design.
Financial Advisor Compliance Checklist
Financial advisors play a pivotal role in maintaining compliance within the financial services industry while managing their client portfolio.
What Drives Regulatory Change? And How Can Corporate Markets Prepare?
Compliance officers find themselves under growing pressure to stay ahead of the game.
Insider Trading and Compliance: Are Corporate Issuers Playing Catch-up?
Regulated firms in financial services are subject to very prescriptive anti-market abuse regimes and, collectively, are highly experienced in protecting themselves against threats and…
Get the Most Out of Your Compliance Monitoring Software
Understanding what compliance solutions best fit your company can help you take full advantage of its compliance management and monitoring features, and maximize the…
Insider Trading: Without Effective Employee Compliance Monitoring, Where Does the Buck Stop?
Failure to comply with market-abuse regulations can lead to severe punishments for both firms and individuals.
Mind the Employee Compliance Readiness Gap
Greater scrutiny from regulators, a new hybrid work environment, and other rapidly changing variables have increased the complexity of doing business; raising the risk…
Employee Political Donations: How To Monitor For This Risky Activity
The US midterm elections are shaping up to be the busiest and most contentious yet.
Our Popular Guide To Global Compliance Regulation Just Got Better
One of the most downloaded e-books in the Star library, Surfing The Tsunami Of Regulation has just been revised: updated with all the latest regs…
Changing The Way Political Contributions Are Monitored
In an era of constant campaigning—and constant contributing—firms need to keep a closer eye than ever on their employees in this conflicts of interest…
3 Ways To Optimize Compliance Training & Compliance Software
Are you concerned your employees aren’t getting the most utility from their compliance software, as a result making them less likely to use it…
3 Wege zur Optimierung von Compliance-Schulungen und Compliance-Software
Sind Sie besorgt, dass Ihre Mitarbeiter nicht den größtmöglichen Nutzen aus ihrer Compliance-Software ziehen, was dazu führt, dass sie sie weniger häufig nutzen und…
3 Wege zur Optimierung von Compliance-Schulungen und Compliance-Software
Sind Sie besorgt, dass Ihre Mitarbeiter nicht den größtmöglichen Nutzen aus ihrer Compliance-Software ziehen, was dazu führt, dass sie sie weniger häufig nutzen und…
3 Wege zur Optimierung von Compliance-Schulungen und Compliance-Software
Sind Sie besorgt, dass Ihre Mitarbeiter nicht den größtmöglichen Nutzen aus ihrer Compliance-Software ziehen, was dazu führt, dass sie sie weniger häufig nutzen und…
3 façons d’optimiser les formations et les logiciels de conformité
Vous craignez que vos employés ne tirent pas le meilleur parti de leur logiciel de conformité, ce qui les rend moins enclins à l’utiliser…
3 façons d’optimiser la formation à la conformité et les logiciels de conformité
Craignez-vous que vos employés ne tirent pas le meilleur parti de leur logiciel de conformité, ce qui les rend moins susceptibles de l’utiliser et…
3 Ways To Optimize Compliance Training & Compliance Software
Are you concerned your employees aren’t getting the most utility from their compliance software, as a result making them less likely to use it and putting the firm at…
The Return To Work: What It May Look Like And How Compliance Can Prepare
Compliance’s world is about to change, again, as people return to the office in fits and starts and the hybrid work model potentially becomes…
Are You Relying on Manual Means to Detect Insider Trading? Here’s How StarCompliance Can Help
Digging through the data to detect insider activity doesn’t have to be this hard or this inefficient.
Is Wining And Dining Back On The Firm Menu? How To Monitor Gifts And Entertainment
The future may be unwritten, but there’s enough writing on the wall to begin thinking about what firm risk might soon look like, post…
Employee Political Donations: How Compliance Software Can Help You Track Them
Personal political donations are on the rise in America.
Compliance As A Trusted Brand: 5 More Tips On Certs From The LSE’s Head Of Central Compliance
Nobody is above the cert. Let your tech do the heavy lifting.
More Than Ticking The Box: 5 Tips On Certifications From The LSE’s Head Of Central Compliance
There’s no perfect solution. 100% completion means 100%.
Certifications: Getting The Heart Of The Compliance Process Right
The case can be made that certs are where compliance starts.
Tipper X: 5 More Takeaways On Insider Trading From A Former Inside Trader
Part two of a two-part blog series built around the keynote speech given at the 2020 Star Fall Forum by Tom Hardin, a.k.a.
Tipper X: 5 Takeaways On Insider Trading From A Former Inside Trader
Part one of a two-part blog series built around the keynote speech given at the 2020 Star Fall Forum by Tom Hardin, a.k.a.
5 étapes pour un processus de certification plus simple et plus facile
Les organismes de réglementation utilisent les taux d’achèvement des certificats comme une mesure approximative de la santé du programme de conformité global d’une entreprise.
5 Steps To A Simpler & Easier Certifications Process
Regulators use certs completion rates as a rough gauge of the health of a firm’s overall compliance program.
5 Steps To A Simpler & Easier Certifications Process
Regulators use certs completion rates as a rough gauge of the health of a firm’s overall compliance program.
5 Schritte zu einem einfacheren und leichteren Zertifizierungsprozess
Die Aufsichtsbehörden verwenden die Abschlussquoten von Zertifikaten als groben Maßstab für die Gesundheit des gesamten Compliance-Programms eines Unternehmens.
5 Schritte zu einem einfacheren und leichteren Zertifizierungsprozess
Die Aufsichtsbehörden verwenden die Abschlussquoten von Zertifikaten als groben Maßstab für den Zustand des gesamten Compliance-Programms eines Unternehmens.
5 Schritte zu einem einfacheren und leichteren Zertifizierungsprozess
Die Aufsichtsbehörden verwenden die Abschlussquoten von Zertifikaten als groben Maßstab für den Zustand des gesamten Compliance-Programms eines Unternehmens.
5 étapes pour simplifier le processus de certification
Les régulateurs utilisent les taux d’obtention des certificats comme un indicateur approximatif de la santé du programme global de conformité d’une entreprise.
10+ Strategies To Improve Your Employee Compliance Training Program
Embrace change. Don’t lose the forest for the trees. One size rarely fits all.
3 Ways To Keep Employees Engaged With Compliance, Wherever They’re Working From
With many, or maybe all, of your employees now working remotely, ensuring engagement with your compliance program is more important than ever
Three Financial Compliance Dashboards You Can’t Live Without
Gifts, Entertainment, and Certifications—why they’re Star’s first dashboards and what possibilities they offer for the financial compliance function
Compliance Dashboards: Pushing Data To The First Line Of Defense
Embedded analytics are coming to the rescue of increasingly overstretched compliance departments
New Compliance Software? Here Are 5 More Ways To Help Ensure Complete Adoption
A new year, and a new decade, calls for new thinking.
New Compliance Software? Here Are 5 Ways To Help Ensure Complete Adoption
A new year, and a new decade, calls for new thinking.
Product Spotlight: Doing Away With Manual Statement Data Entry Forever
Is the bane of your professional existence dealing with paper and email broker-dealer statements? An ingenious new product from Star can help
ESMA Reaffirms The Importance Of Insider Lists
Per a recent ESMA Consultation Paper, insider lists aren’t going anywhere, but StarCompliance can ease the burden of maintaining and managing them
Three Ways Rugby Is Like Modern Compliance
Who knew so many lessons could be drawn from the Rugby World Cup? The importance of data, communications, and team play in both realms…
Confessions Of A Lifelong Compliance Officer: Part Two
How risk can make the job of a compliance officer easier, and other counterintuitive lessons learned from a lifetime spent in compliance
Confessions Of A Lifelong Compliance Officer: Part One
Time flies when you’re solving problems.
Compliance Tech Is Table Stakes Now, Part Two: The Why And How Of Working With Vendors
Why regulators don’t care, why flaky now means flaky later, and why the fine print isn’t always so fine
Compliance Tech Is Table Stakes Now, Part One: The Why And How Of Working With Vendors
Why compliance tech is table stakes now and why tech doesn’t reduce headcount
How FINRA Rules Get Made: 8 Big Insights And Takeaways
The inside scoop on FINRA rulemaking, with insights by the people who make the rules and the people who have to live with them
FINRA Rule 3110: 10 Ways To Create Effective Supervision Structures
At the recent FINRA Annual Conference, the mother-of-all broker-dealer rules was inspected at close range.
Compliance Control Room: An Origin Story
A behind-the-scenes look at how Star’s control room compliance solution came to be and the unexpected emotional response it generates
Turning Your Code Of Ethics Into Code
Getting the most out of your automated compliance software means getting the most out of this highly specialized translation
Preparing For An External Audit: Part Two
The step-by-step of what to expect in an external exam and how best to prepare
Preparing For An External Audit: Part One
What triggers an audit, what regulators are looking for, and regulatory remits
Compliance Leaders: What To Do In Your First 90 Days
The first three months on the job are critical in so many ways.
Building The Financial Compliance Dream Team
The second of two blogs exploring qualities to look for and roles to fill when pulling together a compliance team
The Modern Compliance Officer’s Ideal Skillset
The first of two blogs exploring qualities to look for and roles to fill when building a compliance team
4 Ways Compliance Leaders Get The Most From Their Compliance Programs
PwC’s State Of Compliance Study shows what separates the best from the rest
The Compliance Program Of The Future: Part Two
A veteran compliance officer talks at length and in-depth about the radical changes coming to financial compliance
The Compliance Program Of The Future: Part One
A veteran compliance officer talks at length and in-depth about the radical changes coming to financial compliance
How Do I Manage Private Investments?
A guide for compliance officers in enterprise financial firms
Australia Update: The Royal Commission On Financial Services Has Its Say
And what it has to say is encouraging, seen in the right light
Determined Fraudsters And The Compliance Renaissance
Five key takeaways from the Star US User Conference
South Africa: Twin Peaks Is Up And Running
The country’s new regulators are in place and represent a decisive shift in regulatory approach
How Do I Manage Outside Business Activities?
A guide for compliance officers in enterprise financial firms
How Do I Manage Personal Trading?
A guide for compliance officers in enterprise financial firms
How Do I Manage Gifts And Entertainment?
A guide for compliance officers in enterprise financial firms
How Do I Manage Political Donations?
A guide for compliance teams operating in enterprise financial institutions
Optimizing Your Certifications Process
From prep-work to software, five steps to a more efficient and more effective process
Part 2: E&C Techniques To Instill, Inspire, And Strengthen Ethical Behavior
Ethics at the company level begin with ethics at the employee level
Part 1: Unethical Employee Behavior: How To Catch It Before It Happens
Push people into a financial corner and they can justify all kinds of conduct they might not otherwise
Third-Party Risk: How To Assess It And Manage It
The best laid plans of mice and men can go out the window when it’s not your mice and men
Rethinking ROI And Compliance
Whether it’s people or tech, a hard number is hardly the only way to think about compliance spending
Pay-to-Play Compliance Requirements [Rule 206(4)-5]
For The Record: 17a-4 Data Storage Regulation
Taking up the Rule 17a-4 data-storage challenge with people, process, and WORM tape
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