Recorded Webinar: How to leverage Generative AI and Large Language Models for regulatory compliance
Generative AI (GenAI) and Large Language Models (LLMs) offer huge potential for change across capital markets, not least in regulatory compliance where they have the capability to help firms understand and interpret regulations, automate compliance, monitor transactions in real time, and flag anomalies in the same timeframe. They also present challenges including explainability, responsibility, model drift, hallucination and bias.
This webinar will consider how GenAI and LLMs can be used for regulatory compliance, the challenges they present, and how these can be addressed. It will also provide practical guidance on selecting, implementing and optimising the technologies, and review the benefits they can deliver. Finally, it will take a longer-term look at the roles of GenAI and LLMs in regulatory compliance.
Listen to the webinar to find out more about:
- The potential of GenAI and LLMs in regulatory compliance
- Challenges raised by the technologies and best practice solutions
- Practical guidance on selection, implementation and optimisation
- Benefits of getting it right, penalties of getting it wrong
- Where next for GenAI and LLMs in regulatory compliance
Speakers:
More about our speakers:
Nicola Poole
Former Global Head of Client Experience and KYC Onboarding
Citi
Nicola Poole, most recently the Global Head of KYC Onboarding and Client Experience at Citibank, has extensive experience in Executive Client Lifecycle Management (CLM) roles across various global Financial Institutions. Leading large and diverse teams, she has driven initiatives in CLM Transformation and 1st line Operations, particularly in areas such as KYC, AML Monitoring, and Pre/Post trade Client Services.
Marili Anderson
Chief Compliance Officer, UK and Europe
William Blair International Ltd
Marili Anderson is the Chief Compliance Officer for the UK and Europe at William Blair International Ltd, William Blair’s London-based affiliate. Marili holds the Senior Management Controlled functions: SMF 16 (Compliance Officer) and SMF 17 (Money Laundering Reporting Officer). Marili has held several senior compliance roles in both the sell-side and the buy-side within the UK and Europe. She joined William Blair in August 2021 from Natixs Investment Managers, where she was a MD, Project Leader for the Enterprise Compliance Program and the CIB Global Head of Private Side Compliance.
Brandon Carl
Executive Vice President of Product Strategy
Smarsh
Brandon Carl is Executive Vice President of Product Strategy at Smarsh, where he oversees the company’s competitive and commercial strategy across the Enterprise product portfolio. Brandon previously served as Digital Reasoning’s Chief Product Officer and Head of Engineering, where he conceived and brought to market Cognition, the company’s acclaimed AI Platform, co-created their Applied Machine Learning team, and led the Applied Research team. He spent the first half of his career working in the capital markets, initially in interest rate derivative sales at Bank of America before moving to global macroeconomics and trend forecasting at Nomura Securities.
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