Regulatory Ramblings podcast

Humanizing Rules in Ethics and Compliance

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Christian Hunt is the founder of Human Risk and has nearly three decades of experience in financial services, spanning investment banking, asset management, and time spent at a family office. He is also the author of the new book 'Humanizing Rules: Bringing Behavioral Science to Ethics and Compliance.' His unique perspective comes from having held senior roles as both a risk and compliance officer, as well as a regulator.

While working for the Swiss banking giant UBS in London, he was a managing director & head of behavioral science. He was the global head of Compliance & Operational Risk at UBS Asset Management. On the other side of the fence, he was the chief operating officer at the UK's Prudential Regulation Authority.

His current mission is to help organizations swiftly improve their ethics and compliance programs to achieve better business outcomes by putting people at the center of their internal rule-making processes. You can learn more about him at his website:

He talks to Regulatory Ramblings' host Ajay Shamdasani about how employees aren't necessarily interested in endless rounds of training to test for recognition of rules and regulations, though that was somehow a proxy for fostering a sound compliance culture – be it in the financial sector or the corporate world more broadly. They also discuss how weeding out bad actors won't fix environmental factors when 'systemic rot' has set into an organization and how one of the worst ways to make employees turn against their employers is to send the message that the former are not trusted.

HKU FinTech is the leading fintech research and education in Asia. Learn more at

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