Artificial Intelligence

Services

- Translate financial regulations into machine-readable logic for integration into AI systems.

- Design, train, and test AI models with compliance applications.

- Review and validate model outputs for legal accuracy and audit readiness.

- Provide expert interpretive analysis of a variety of regulations to scope for model readiness including those from the SEC, FINRA, NAIC model code, US banking regulators, ESMA, FCA, and other foreign authorities.

- Recommend ongoing updates to AI models based on regulatory changes and performance testing.

- Utilize expertise to automate manual tasks to AI.

- Increase overall operative efficiency and reduce costs.

Client Experience

As a partner with Saifr being incubated within Fidelity Labs, SCA collaborated on subject matter expert initiatives to support the development of natural language processing models that detect regulatory marketing compliance issues in financial communications. Our work has included:

- Defining regulatory logic for model design and data labeling.

- Evaluating model outputs against FINRA Rule 2210 and SEC marketing standards.

- Researching a myriad of other financial regulations in the US and abroad as well as marketing regulations in the pharmaceutical industry to scope for broader applications of the model.

Publications Overview

Featured
Three takeaways from Compliance Week’s AI and Compliance Summit
Three takeaways from Compliance Week’s AI and Compliance Summit

I recently attended Compliance Week’s AI and Compliance Summit in Boston where compliance professionals gathered to discuss the current and future states of AI compliance, ethics, regulation, and governance. Complexity was the foremost concern on the minds of the conference attendees. As AI grows increasingly complex, so too do the compliance concerns surrounding it. AI introduces new opportunities and challenges for compliance professionals seeking to establish AI policies, governance committees, and codes of ethics within their organizations.

Seven elements of ethical AI to guide its implementation by compliance
Seven elements of ethical AI to guide its implementation by compliance

Learn about the EU's seven principles of ethical AI and how they can help compliance officers responsibly implement AI tools and systems.

Lessons learned in AI risk management from Compliance Week 2024
Lessons learned in AI risk management from Compliance Week 2024

Here are some of my takeaways for compliance officers regarding AI risks and recommended steps on how to mitigate them.