EventsUpcoming
The Compliance Table
WealthAi - The Compliance Table: Guardrails first. Governing AI before it scales.
When AI does part of the work, who is accountable for it? A lunch for compliance industry leaders to share their insights and views, with Charles Kerrigan.
Plenty of compliance leaders are in the same spot right now. Someone in the business wants to use AI, and you're the person asked whether it's safe to say yes.
AI adoption is accelerating in the industry, with wealth businesses consulting on cuts to their staff of financial advisors whilst expanding their AI-driven services. Whatever the final outcome may be, firms are asking AI to do more of this work, and the questions about oversight lands on compliance first.
Guardrails First is a one-hour lunch for compliance leaders to compare notes on setting the rules before widespread AI adoption across a firm.
What we'll talk about
- Shadow AI. What people are already using without a policy, and what to do about it.
- Accountability. Who owns the risk when AI-assisted work goes wrong.
- Evidence. What a regulator will want to see: the sources, the review and the reasoning.
- Getting ahead of it. Setting the controls once, before every team has its own use case.
- Who will be attending
- Heads of compliance, CCOs, and risk and governance leads at wealth managers, advisers, EAMs and family offices, at all stages of AI adoption.
- What you'll take away
- A one-page governance checklist, and a few new people and industry leaders to compare notes with.
How the hour runs
- 12:30Lunch and hellos
- 12:40Charles Kerrigan: Partner in Finance and Digital Assets at CMS, AI Lawyer of the Year in 2023 and founding member of the UK Parliament’s AI advisory group.
- 12:55How firms are doing it in practice
- 13:10Open conversation
- 13:25What we're taking away
- 13:30Optional demo. A hands-on look at how AI can help with a real compliance task, until 14:00. Stay if you're curious, head off if you're not.