Human Out of the Loop - Which Compliance Work Is Automation-Proof?
How compliance leaders are deciding what AI can handle, what people still need to own, and what SEC and FINRA will expect them to prove
Description
In the evolving landscape of compliance, the integration of AI is reshaping the way compliance leaders allocate responsibilities. This event will explore how industry leaders are defining the boundaries between human oversight and AI capabilities, particularly in the realm of compliance work. Participants will gain insights into how AI is being leveraged to streamline processes while maintaining the integrity and accountability required by regulatory bodies such as the SEC and FINRA. Join us for a compelling discussion on the future of compliance and the role of human oversight in an increasingly automated world.
Background
As financial regulations become more complex, compliance teams are turning to AI for efficiency and accuracy. However, determining which tasks can safely be automated and which require human judgment remains a critical challenge. This conversation is timely, given recent regulatory updates and the increasing scrutiny on AI's role in compliance. Understanding the expectations of regulators like the…
Time (ET): 6:50 PM EDT, Jul 21, 2026
Time (Local): 10:50 PM UTC, Jul 21, 2026
Agenda:
- Introduction and welcome (5 minutes)
- Opening remarks by each speaker (15 minutes)
- Panel discussion on AI in compliance (20 minutes)
- Audience Q&A (15 minutes)
- Closing statements (5 minutes)
Location: REMOTE
Relevant Topics
Speakers
Kevin Ehrlich
Managing Director and Associate General Counsel, Asset Management Group, SIFMA
Panelist
Lior Keshet
Partner, General Counsel & Chief Compliance Officer, IEQ Capital
Panelist
Erin Preston
SVP, Chief Compliance Officer & AMLCO, Wedbush Securities
Panelist
Mark Happe
Chief Compliance Officer, MAI Capital Management
Guided Questions
Kevin Ehrlich
How is SIFMA's Asset Management Group approaching the integration of AI in compliance, and what challenges have you encountered?
Kevin Ehrlich
In what ways can compliance teams align AI-driven processes with SEC expectations for asset management?
Lior Keshet
From your perspective at IEQ Capital, how do you balance AI efficiency with the need for human oversight in compliance?
Lior Keshet
What unique compliance challenges does AI present for wealth management firms, and how are you addressing them?
Erin Preston
As Chief Compliance Officer at Wedbush Securities, how do you assess the risks and benefits of AI in your compliance strategy?
Erin Preston
What strategies do you employ to ensure AML compliance while integrating AI technologies at Wedbush Securities?