A Day in the Life: Working Behind the Scenes of Investment Monitoring at Confluence

Introduction

In today’s evolving regulatory landscape, investment firms face mounting pressure to adapt to shifting disclosure rules, market reforms, and global obligations. At Confluence, our team works to stay ahead of these changes, translating complexity into clarity and helping clients manage operational challenges with confidence.

To shed light on the expertise and collaborative approach that support our clients, we sat down with Aspasia Latsi, International Regulatory Analyst, and Mike Marmo, VP of Regulatory Reporting Product, for a candid conversation about what it takes to stay ahead in investment monitoring and compliance.

Listen to the interview below:

What does a typical day look like for you at Confluence?

Aspasia Latsi – International Regulatory Analyst:

No two days are the same, and that’s exactly what I love about it. I start my morning reviewing regulatory developments from global markets and prioritising updates that could affect disclosure thresholds, position limits, or filing obligations. A large part of my day involves translating those updates into operational guidance for both clients and internal teams. It’s about sifting through the regulatory noise. Together, in collaboration with the product team, we translate complex regulatory requirements into actionable rules to implement updates thoughtfully and efficiently.

Mike Marmo – VP, Regulatory Reporting Product:

My days combine strategic planning with close collaboration across teams. I work with regulatory analysts, product managers, and engineers to evolve our solutions in line with regulatory developments and client expectations. I also spend time speaking with clients to understand their challenges and to gather insights that shape our roadmap. Staying connected to both the changing regulatory environment and the operational realities of our clients helps us remain responsive and relevant.

What Does “Regulatory Insight” Mean to You, and How Does Confluence Deliver It for Clients?

Aspasia Latsi, International Regulatory Analyst:

Regulatory insight, to me, is about transforming complex, evolving rules into practical, reliable guidance that our clients can act on with confidence. It’s not just about tracking regulatory headlines—it’s about understanding the real-world implications for each client’s portfolio, operations, and risk profile.

We share timely updates and expert analysis through resources like the Confluence RegTech Report, which distils the latest regulatory developments and trends.

This insight is embedded directly into our solutions, such as Signal, through tailored alerts and actionable tools.

Our goal is to ensure clients are always prepared for what’s next—not just aware of what’s changed.

Mike Marmo – VP, Regulatory Reporting Product:

For me, regulatory insight means the ability to anticipate, interpret, and operationalize regulatory change in a way that empowers our clients to act strategically.

At Confluence, we don’t just update our platform when new rules emerge—we help clients understand the impact on their business and adapt their compliance processes efficiently. Our global team of experts, combined with advanced analytics and industry partnerships, enables us to deliver actionable intelligence, not just information.

How does your team work with clients to solve their most complex compliance challenges?

Aspasia Latsi, International Regulatory Analyst:

We aim to be collaborative and responsive. When clients face unfamiliar rules or unusual portfolio structures, we work together to interpret requirements and support tailored configurations. Our managed services teams offer operational assistance from onboarding through ongoing support, helping clients navigate challenges with greater confidence.

Mike Marmo – VP, Regulatory Reporting Product:

We treat client challenges as shared challenges. Whether a firm is entering a new market or adapting to updated thresholds, we bring together our regulatory and product teams to support a workable solution. That might involve customised configurations or guidance on using platform features more effectively. Our aim is to provide practical support that fits each client’s compliance model.

What do you think sets Confluence apart when it comes to regulatory insight?

Aspasia Latsi, International Regulatory Analyst:

Our team brings hands-on experience and works closely with legal content providers and global partners. Our platforms are built to be adaptable, helping clients respond to jurisdiction-specific rules, evolving formats, and filing expectations. We also support transparency across teams, helping clients make informed compliance decisions based on current developments.

Mike Marmo – VP, Regulatory Reporting Product:

We pair strong internal expertise with a collaborative product development model. Our analysts are involved throughout the design process, which allows us to embed practical guidance into the platform. We also benefit from regular dialogue with clients, legal partners, and regulatory stakeholders. That helps us maintain relevance and continuously evolve our solutions in line with changing requirements—while focusing on real operational value.

What advice would you give to firms trying to stay ahead of regulatory change?

Aspasia Latsi, International Regulatory Analyst:

Be proactive. Regulatory change often happens quickly, so building internal awareness and dedicating time to upcoming developments across markets is important. Leverage technology to streamline processes and maintain access to knowledgeable resources who can help interpret and operationalise new requirements. And don’t underestimate the value of peer learning, sources like our Confluence RegTech Report, industry forums, and shared experiences can offer early insights and context.

Mike Marmo – VP, Regulatory Reporting Product:

Build flexibility into your compliance operations. Periodically assess your systems and processes to identify areas that may need adjustment. Make sure there’s strong alignment between compliance, operations, and product teams. Use data and workflow tools that provide visibility into your disclosure obligations and support timely action. And above all, treat compliance as a core function that helps build resilience, not just a reactive requirement.

The content provided by Confluence Technologies, Inc. is for general informational purposes only and does not constitute legal, regulatory, financial, investment, or other professional advice. It should not be relied upon as a substitute for specific advice tailored to particular circumstances. Recipients should seek guidance from appropriately qualified professionals before making any decisions based on this content.  

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About Confluence

Confluence is a global leader in enterprise data and software solutions for regulatory, analytics, and investor communications. Our best-of-breed solutions make it easy and fast to create, share, and operationalize mission-critical reporting and actionable insights essential to the investment management industry. Trusted for over 30 years by the largest asset service providers, asset managers, asset owners, and investment consultants worldwide, our global team of regulatory and analytics experts delivers forward-looking innovations and market-leading solutions, adding efficiency, speed, and accuracy to everything we do. Headquartered in Pittsburgh, PA, with 700+ employees across North America, the United Kingdom, Europe, South Africa, and Australia, Confluence services over 1,000 clients in more than 40 countries.

For more information, visit confluence.com