You can watch replay of session or download the resources by clicking the button below.
You can watch replay of session or download the resources by clicking the button below.
This is the next instalment of our masterclass series, on how risk and compliance teams can build AI agents that execute repeatable workflows safely with the right controls in place. This time, we're tackling controls, with this event focused on compliance monitoring.
Joining us a special guest is Joel Viney, Compliance Director at Lloyds Wealth and previously at Schroders Wealth. Joel works these problems day to day, and will share the hands-on view from inside an elite firm. This session is designed for practitioners, and run in partnership with the ICA.
Every regulated firm has controls in place to manage risk: rules about what needs approval before it goes out, processes that flag unusual activity, requirements that staff complete training before performing certain roles. Compliance monitoring is how you verify those controls are actually working in practice.
The problem is that testing and monitoring controls at scale is labour-intensive. It often relies on sampling, periodic reviews, and manual evidence collection, which means gaps can go undetected between cycles.
This session will explore how AI agents can support the assessment of control design against regulatory requirements, help surface potential gaps and overlaps across control frameworks, and provide evidence to streamline control design reviews at scale.
What you will learn in this session:
Be it financial promotions or client presentations, compliance teams are often tasked to review large volumes of content, interpret regulatory requirements, and ensure alignment with internal policies, all under tight deadlines. These reviews are often time-consuming, inconsistent, and difficult to scale when done manually.
This session will demonstrate how AI agents can streamline and standardise this process, helping teams review content more efficiently while maintaining control and auditability.
Use cases include, but are not limited to:
Compliance professionals, MLROs, risk and assurance professionals, audit teams, as well as business partners in marketing, sales and investor relations. From senior leaders to frontline practitioners, attendees at all levels should find practical insights to take away.
This is the second installation of our masterclass series, on how risk and compliance teams can build AI agents that execute repeatable workflows safely with the right controls in place. This time, we're tackling review agents.
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