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CFTE

Generative AI for Compliance in Financial Services

  • up to 6 weeks
  • Intermediate

This course is designed to help professionals in the financial sector understand and leverage the benefits of Generative AI to enhance compliance practices. By responsibly implementing Generative AI, you can streamline compliance processes, improve accuracy, and ensure regulatory adherence.

  • Generative AI fundamentals
  • Compliance landscape
  • AI applications in compliance
  • Risk assessment
  • Data management

Overview

The course provides a comprehensive understanding of Generative AI in compliance, covering its fundamentals, applications, and the current landscape. Participants will learn to use AI tools for compliance, understand the opportunities and risks, and drive AI strategy in their teams. The course includes hands-on projects, expert interviews, and real-world case studies to ensure practical learning.

  • Web Streamline Icon: https://streamlinehq.com
    Online
    course location
  • Layers 1 Streamline Icon: https://streamlinehq.com
    English
    course language
  • Professional Certification
    upon course completion
  • Self-paced
    course format
  • Live classes
    delivered online

Who is this course for?

Chief Compliance Officer (CCO)

Professionals responsible for overseeing and managing compliance within an organization, ensuring that the company adheres to legal standards and in-house policies.

Compliance Manager

Individuals who ensure that their organization complies with external regulations and internal policies.

AML Compliance Officer

Professionals focused on preventing money laundering and ensuring compliance with anti-money laundering regulations.

This course equips compliance professionals with the knowledge and skills to leverage Generative AI, enhancing productivity and ensuring regulatory adherence. It covers key topics such as AI applications, risk assessment, and ethical considerations, making it ideal for professionals in financial services looking to stay competitive and advance their careers.

Pre-Requisites

1 / 3

  • Basic understanding of compliance and regulatory frameworks in financial services

  • Familiarity with AI concepts and technologies

  • Experience in the financial services industry

What will you learn?

Week 1: Generative AI Fundamentals
This week explores the definition, the inner mechanisms, and the evolution of Generative AI.
Day 1: Definition of Generative AI
Understanding what Generative AI is and its core principles.
Day 2: Differences between traditional Machine Learning and Generative AI
Comparing traditional machine learning techniques with Generative AI.
Day 3: Transformers: a revolutionary breakthrough
Exploring the role of transformers in the advancement of AI.
Day 4: Scaling transformers
Understanding how transformers can be scaled for better performance.
Day 5: LLMs as a new human/machine interface
Learning about Large Language Models and their applications.
Week 2: The Landscape of Generative AI
This week discusses the Generative AI landscape and key players such as infrastructure providers, model providers and application providers.
Day 6: Model providers
Identifying key model providers in the Generative AI space.
Day 7: Infrastructure providers
Understanding the role of infrastructure providers in AI.
Day 8: Application providers
Exploring various application providers and their contributions.
Day 9: Hands-on project: Getting started with ChatGPT and Customer Personas
Practical project to get started with ChatGPT and create customer personas.
Day 10: Hands-on project: Analysing & extracting information from PDF Reports with AI
Using AI to analyze and extract information from PDF reports.
Week 3: Current landscape of Generative AI in Compliance
This week delves into the Compliance domain and compare traditional approaches with AI-driven methods.
Day 11: Introduction and background of Compliance
Understanding the basics and background of compliance.
Day 12: Challenges in Compliance
Identifying the key challenges faced in compliance.
Day 13: Traditional approaches vs AI-driven approaches in Compliance
Comparing traditional compliance methods with AI-driven approaches.
Day 14: Current landscape of Generative AI in Compliance
Exploring the current use of Generative AI in compliance.
Day 15: Expert interview: TBC
Interview with an expert in the field (To Be Confirmed).
Week 4: Applications and use cases of Generative AI in Compliance
This week discusses Generative AI applications and current initiatives and use cases in Compliance.
Day 16: Applications of Generative AI in Compliance (1/2)
Exploring various applications of Generative AI in compliance.
Day 17: Applications of Generative AI in Compliance (2/2)
Continuing the exploration of Generative AI applications in compliance.
Day 18: Case studies (1/2)
Reviewing case studies of Generative AI in compliance.
Day 19: Case studies (2/2)
Continuing the review of case studies in compliance.
Day 20: Expert interview (TBC)
Interview with an expert in the field (To Be Confirmed).
Week 5: From Theory to Practice: Practical Approach
This week focuses on practical applications of generative AI tools in Compliance.
Day 21: Navigate key Generative AI tools
Learning to navigate key Generative AI tools.
Day 22: Understanding the Prompt Engineering
Understanding the concept of prompt engineering in AI.
Day 23: Use case
Exploring a practical use case of Generative AI in compliance.
Day 24: Use case
Continuing the exploration of practical use cases.
Day 25: Use case
Further exploration of practical use cases.
Day 26: Use case
Final exploration of practical use cases.
Week 6: Opportunity and risk in Compliance
This week examines the advantages and key success factors of implementing AI in Compliance and teaches the privacy and data usage in Generative AI in Compliance.
Day 27: Advantages / Key Success Factors of AI implementation in Compliance
Understanding the advantages and key success factors of AI implementation.
Day 28: Impact and assessment
Assessing the impact of AI in compliance.
Day 29: Data, Risk, Privacy and Ethical considerations
Learning about data management, risk, privacy, and ethical considerations in AI.
Day 30: Changes in skills
Understanding the changes in skills required for AI in compliance.

What learners say about this course

  • “The content was really relevant. I really liked that it gave a lot of examples on how AI can be applied in the industry, the companies that are successful implementing AI and high level view on what AI is really about.”

    Magdalene Loh

    Senior Vice President and Head of Innovation at Prudential Singapore

  • “The interviews covered in the course introduced the insights that are very important from those with 20+ years experience professionals.”

    Priscilla Cournede

    Deputy Director at Life Reinsurance at Covéa

  • “Since I finished the course, I raised suggestions to my team to integrate different technologies and AI in the different parts of the organisation.”

    Goh Theng Kiat

    Chief Customer Officer at Prudential Singapore

Meet your instructors

  • Huy Nguyen Trieu

    Co-founder, CFTE

    Huy Nguyen Trieu is an entrepreneur, academic, investor, and banker. He is the co-founder of CFTE, a global Fintech education platform, and Venture Partner of Insurtech fund. Previously, he was MD at Citi, Associate Fellow at Oxford, and CEO of The Disruptive Group.

  • Ronnie Chung

    Head of Artificial Intelligence, Envisioned AI

    Ronnie Chung is a technology leader with expertise in artificial intelligence and strategic innovation. His professional background includes leading AI initiatives at Envisioned AI.

Upcoming cohorts

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£270