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

For decades, compliance leaders have talked about earning a strategic seat at the table: modeling emerging risks, training the firm, and shaping how the business behaves before problems surface. In practice, the review queues, attestations, and alert triage that fill a compliance calendar have crowded out much of that strategic work. AI and automation are now absorbing that execution layer, and the question is what the compliance function becomes when the processing work no longer defines it. This roundtable brings together sitting CCOs and policy leaders to work through an ambitious idea: that compliance can take ownership of the firm's overall integrity the way regulators own the integrity of markets. Setting standards, surfacing risk, and shaping firm behavior at a level the execution work never allowed. The panel will examine what that role looks like in practice, how CCOs keep freed capacity from being harvested as cost savings, and what it takes to own firm outcomes rather than individual tasks.

Speakers

Colleen Graham

Chief Legal, Compliance, and Risk Officer, AlTi Tiedemann Global

Robert Cole

Managing Director and Chief Compliance Officer, Citi Wealth

Robert Molinari

Chief Regulatory Affairs Officer and RIA CCO, Commonwealth Financial Network

Leonard DeFranco

Content Lead, Hadrius