A Watchful Eye: Regulators double down on AI in compliance
On Demand Webinar
From the new Chief of AI at the Department of Justice to the FCA’s recent AI guidance, regulators are just starting to leave breadcrumbs about what they expect from firms. But you need to understand the ramifications FAST.
Before you can explain to regulators how you’re using it, you need to understand it.
How does AI impact surveillance? What about data management? Most importantly, what does effective AI look like?
Our panel of experts dove deep into how AI dominated the conversation in surveillance and archiving functions. They explained how your team could leverage modern systems while maintaining good governance to mitigate real risks. This webinar was designed to provide you with actionable insights and strategies to stay ahead in the ever-evolving landscape of compliance.
The discussion explored:
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Understand the latest regulatory expectations and how they impact your compliance strategy.
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Learn how AI can enhance your data management and surveillance capabilities.
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Understand trends across model risk management and best practices for implementing AI-driven solutions in your compliance framework
- And much more…
About the Speakers:
Alex de Lucena
Shield Director of Product Strategy
Alex brings over a decade of experience in global finance and communications surveillance. Before joining Shield, Alex held senior positions at Macquarie Group. Alex’s expertise spans risk management, compliance, and data science, with a proven track record in overseeing and deploying communications surveillance programs.
Dr. Shlomit Labin
Shield VP Data Science
Shlomit has a B.Sc. in Physics and Computer Science, an M.Sc. in CS, and a Ph.D. in cognitive psychology. Her experience in the industry spans several decades in leading tech companies in Israel, both large and small. Previously, Shlomit served as the vice president of Research at medCPU, the vice president of Research at LawGeeks, and the head of research at Verint.
Lore Aguilar
Citi Director of Surveillance Design, Research, and Analytics
Lore is Director of Surveillance Design and Research within Independent Compliance and Risk Management at Citi. He is responsible for the global design of trade and communication surveillance, as well as the strategic adoption of advanced methodologies. Prior to joining Citi, Lore was director of surveillance design at FINRA’s Market Regulation Department. Lore holds a PhD in Economics from the University of Minnesota – Twin Cities.
Alvin Huang
AWS AI in Capital Markets SME
Alvin Huang is a Financial Services Specialist for Worldwide Business Development at Amazon Web Services with a focus on artificial intelligence and machine learning. He has over 20 years of experience in the financial services industry, and prior to joining AWS, he was an Executive Director at J.P. Morgan Chase & Co. where he managed the North America and Latin America transaction surveillance teams and led the development of global trade surveillance.
Speakers
Alex de Lucena
Shield Director of Product Strategy
Dr. Shlomit Labin
Shield VP Data Science
Lore Aguilar
Citi Director of Surveillance Design, Research, and Analytics
Alvin Huang
AWS AI in Capital Markets SME