NO TRAVEL NEEDED

NO TRAVEL NEEDED

Participate online from everywhere.

GUEST EXPERTS

BREAKOUT SESSIONS

Share best practices and discuss regulatory trends.

LEARN & NETWORK

LEARN & NETWORK

Make new connections in the BFSI industry.

About This Event

The Expert-In-The-Loop Forum by Compliance.ai is the industry’s only event specific to Regulatory Change Management for the BFSI industry. The event brings together risk and compliance management executives and leaders from regulatory agencies that focus on regulatory concerns of Banking, Insurance, FinTechs, Asset Managers, and other Financial Services firms.

The EITL Forum provides an opportunity to make new connections, share best practices, and discuss regulatory directions and trends. Hear from industry experts about expected developments in regulations that affect the BFSI industry and how technology is helping legal, risk, and compliance teams to manage regulatory change.

Visit the Compliance.ai website to view the EITL Forum 2022 sessions on demand.

Speakers 

Asif Alam

CEO
Compliance.ai

Kayvan Alikhani

Co-Founder & Chief Product/Strategy Officer
Compliance.ai

Donna Bales

RegTech & Innovation Leader
Info-Tech Research Group

Jo Ann Barefoot

CEO & Founder
Alliance for Innovative Regulation

Dr. Iris Liliana Bleck

Chief Executive Officer
FintechX

Sebastián Bravo Söhrens

Senior Content Consultant
Compliance.ai

Hugh Cadden

Senior Consultant
OnPoint Analytics, Inc.


Corey Carpenter

Senior Manager, Product Management
Archer Integrated Risk Management

Carla Carriveau

Chief Legal Officer & General Counsel
CoinList

John Caruthers

Executive VP, CISO
Triden Group

Carliss Chatman

Associate Professor
Washington and Lee University School of Law

Dr. Brent Crider

Chief Compliance Officer
MoonPay

Michael Delune

General Counsel
Manufacturers Bank

Maria Devassy

Head of Partnerships
Compliance.ai

Richard Dupree

CEO and Founder
RISKliance

Nirvana Farhadi

Compliance Advisor

Ravin Galgotia

Head of Content
Compliance.ai

Doreen Ghusar

Head of Compliance
Onbo by Stilt

Dr. Marsha Ershaghi Hames

Partner
Tapestry Networks

Loren Johnson

Senior Director, Product Marketing
MetricStream

Peter Mancuso

Head of Customer Success
Compliance.ai

Jerry Markham

Professor of Law
Florida International University


Peter Matushin

Senior Account Manager
Compliance.ai


Ruth McKenzie

Head of Product Management
Compliance.ai

Marty Mitchell

Managing Director
ProBank Austin

James Phillips

Regulatory Reporting Strategy Advisor
VERMEG


Gary Preysner

Insurance Practice Lead
Strategic Risk Associates


Suneel Sahi

Vice President, Marketing
MetricStream


Brian Shaw

Director
Mirato


Brent Smith

Strategic Account Manager
Compliance.ai


Jeffrey Smith

Founder
LawVisory


Christian Thaure

Manager, Customer Success & Support
Compliance.ai


David Van Bruwaene

CEO and Co-Founder
Fairly.ai

Brian Waters

President, COO & Co-Founder
findCRA

Florian Wimber

Director, Advocacy, Communications and Public Affairs
Insurance Ireland

Karol Wojtczak

Tribe Lead
ING Hubs Poland

Gene Yoshida

Global Head of Risk and Compliance
Ponto

Stuart Cook

Chief Product Officer
Valley Bank

Kevin Vance

VP & Chief Risk Officer
Rockingham Insurance

Joseph Ng

VP, Head of Corporate Strategy and Development,
Early Warning (Zelle)

Kevin Jacques

Partner
Cota FinTech Ventures

Agenda

 7:30 AM
PST

Welcome & Opening Remarks

Kayvan Alikhani
Co-Founder & Chief Product/Strategy Officer
Compliance.ai
Asif Alam
CEO
Compliance.ai
 8:00 AM
PST

Keynote - Compliance Motivation: Who's Driving?

John Caruthers
Executive VP, CISO
Triden Group

Compliance is no longer in the back seat when organizations discuss standard operating models and information security mapping; it is an equal part of the conversation and an important force behind company actions. John Caruthers, Executive VP, Chief Information Security Officer for Triden Group, and former FBI Special Agent and Cybersecurity expert, will open the 2022 EITL Forum with a keynote on what motivates compliance and the role governance plays for firms in financial services and other industries. Drawing from his 27+ years of experience with the FBI and as a security executive advisor in the private sector, John will highlight the key driving forces behind companies’ impetus for compliance and how it motivates decision making.

 9:00 AM
PST

Managing Regulations: A Global Perspective

Nirvana Farhadi
Compliance Advisor
Marty Mitchell
Managing Director
ProBank Austin
Karol WojtczakTribe Lead
ING Hubs Poland

This session will take a global look at the regulatory landscape and the state of regtech from various regions, including the USA, UK and Europe. Covering topics such as post-pandemic shifts and Russian sanctions to how regulators are solving for challenges in today’s world, this panel will discuss the current environment and the burden of regulations in each global region.

Future Directions for Compliance.ai (Compliance.ai Customers Only)

Ruth McKenzie
Head of Product Management
Compliance.ai
Ravin Galgotia
Head of Content
Compliance.ai
Want to see where we are going? In this session, we’ll share a sneak peek into web, API, and content-related updates coming soon and also provide insights into our longer-term plans. This session is for current Compliance.ai Customers only.
 10:00 AM
PST

Networking break to explore the virtual event

 10:30 AM
PST

Privacy within FinTech: Building Compliance Programs and Operations

Kayvan Alikhani
Co-Founder & Chief Product/Strategy Officer
Compliance.ai
Doreen Ghusar
Head of Compliance
Onbo by Stilt

This session will discuss insights and perspectives surrounding privacy issues and regulations in the current landscape, addressing what is privacy and why it is important in the FinTech industry. Our speakers Kayvan Alikhani and Doreen Ghusar will explore common privacy-related compliance challenges and best practices for how businesses are building and managing their compliance processes in response to the growing restrictions and regulations.

Solving Real-World Challenges by Using Compliance.ai Workflow

Ruth McKenzie
Head of Product Management
Compliance.ai
Christian Thaure
Manager, Customer Success & Support
Compliance.ai

Having the right workflow can simplify your work life. Come see how the Compliance.ai product and client services teams have helped clients implement their own workflows and have taken them to the next level within the Compliance.ai platform.
11:30 AM
PST

Are You the ESG You Say You Are? Understanding Organizational Impact, Challenges and Best Practices

Dr. Marsha Ershaghi Hames
Partner
Tapestry Networks
Dr. Iris Liliana Bleck
Chief Executive Officer
FintechX
Brian Shaw
Director
Mirato

During this panel discussion, our expert speakers will take a multi-industry view at what is driving ESG and why this topic is of central importance now. The panelists will take a deep dive into key ESG considerations, organizational impact and challenges from a US, European and board room perspective, and cover how firms and boards are addressing these challenges and shifting their focus on social responsibility, human capital and sustainability.

Solving Real-World Challenges Using Compliance.ai Integrations

Kayvan Alikhani
Co-Founder & Chief Product/Strategy Officer
Compliance.ai
Peter Mancuso
Head of Customer Success
Compliance.ai
Christian Thaure
Manager, Customer Success & Support
Compliance.ai

Learn how the Compliance.ai client services and products teams have helped customers configure a complete End-to-End Regulatory Change Management Solution. In this session, see how customers add on to their Compliance.ai platform implementation using our pre-built APIs and Service Connectors, as well as integrations with GRCs to streamline activities.
12:30 PM
PST

Networking break to explore the virtual event

1:00 PM
PST

Compliance.ai Product Features You May Not Know About

Ruth McKenzie
Head of Product Management
Compliance.ai
Christian Thaure
Manager, Customer Success & Support
Compliance.ai

Compliance.ai is a comprehensive RegTech platform including web, API and content. Whether you’re a new client or a seasoned user, we’re here to introduce you to features you may not yet be familiar with and help you leverage all of our product functionality to its full potential.

What’s Driving the Increased Regulatory Focus on Operational Resilience?

Loren Johnson
Senior Director, Product Marketing
MetricStream
Suneel Sahi
Vice President, Marketing
MetricStream

The concept of operational resilience is not new to banks and financial institutions. They have been managing some aspects of it—albeit in silos. However, since the COVID-19 outbreak, there is an increased focus on operational and business resilience. So, what is causing regulators across the globe to shift their focus on operational resilience? What do these frameworks and policies mandate or guide organizations to do? Join the session to hear our experts answer these questions and more.
2:00 PM
PST

Managing AI and the Associated Risks in a Regulatory Environment

Richard Dupree
CEO and Founder
RISKliance
Donna Bales
Regtech and Innovation Leader
Info-Tech Research Group
David Van Bruwaene
CEO and Co-Founder
Fairly.ai

Artificial Intelligence (AI) is a tool that can be used both to manage risks in financial services as well as poses some risks by itself. This expert panel will discuss AI yesterday versus AI today, focusing on how AI has evolved and developed from simple automation to complex decisioning. Our experts will cover AI regulatory trends globally and in the US, best practices in risk and compliance management, and complementing technologies that can be utilized to counter new and emerging AI risks.

The Compliance.ai Contributor Network Program. Experts, Sign Up Here!

Sebastian Bravo Söhrens
Senior Content Consultant
Compliance.ai
Ravin Galgotia
Head of Content
Compliance.ai

The Compliance.ai platform leverages a crowdsourced, expert-in-the-loop methodology to automatically track, classify, summarize and prioritize financial regulatory content across jurisdictions and topic areas.
As a Contributor, you put the “expert” in “expert-in-the-loop.” During this session, learn what our contributor network is, how to join, what activities you’ll engage in, and why it’s a great opportunity for experts in the BFSI industry. Plus, see an example of how Compliance.ai uses its content engine to ingest regulatory documents.
If you have a laptop and internet access, you can become a contributor - all levels of expertise are welcome!
 
3:00 PM
PST 

Advisor Roundtable: Community Reinvestment Act

Marty Mitchell
Managing Director
ProBank Austin
Brian Waters
President, COO & Co-Founder
findCRA

Visit the lounge to join the Advisor roundtable topic that most interests you and participate in the discussion.

Agile Innovation Requires Agile Compliance

Kevin JacquesPartner
Cota FinTech Ventures
Kayvan Alikhani
Co-Founder & Chief Product/Strategy Officer
Compliance.ai

Stuart Cook
Chief Product Officer
Valley Bank

Joseph Ng
Head of Corporate Strategy & Development
Early Warning (Zelle)

In order to attract customers, banks of all sizes have been ramping up investment into new technologies. Bank innovation and product leaders, however, often find that a key limiting factor in their delivery of new digital financial services isn't recruiting talent, or the time taken to write and test new code. Instead, it can be the time spent seeking approval from their internal regulatory and compliance approvals. Rapid innovation requires agile compliance. Join us to hear the firsthand experience of two leading bank product innovators.

Advisor Roundtable: CFTC, SEC and DOJ Enforcement Initiatives

Hugh CaddenSenior Consultant
OnPoint Analytics, Inc.
Jerry MarkhamProfessor of Law
Florida International University

Visit the lounge to join the Advisor roundtable topic that most interests you and participate in the discussion.
4:00 PM
PST

Day 1 Concludes

08:00 AM
PST

Keynote - How Technology is Transforming Banking: An Interview with Jo Ann Barefoot

Jo Ann Barefoot
CEO & Founder
Alliance for Innovative Regulation
Kayvan Alikhani
Co-Founder & Chief Product/Strategy Officer
Compliance.ai

The regulatory system has changed a lot in a year, and a decade from now, compliance and financial regulation will look vastly different. The technology transformation of the industry is continuing to accelate, which affects the regulators’ response and need for better tools, and in turn influences financial institutions and their new compliance expectations. Compliance innovation expert, Jo Ann Barefoot, CEO & Co-Founder, Alliance for Innovative Regulation, will explore the latest on how compliance technology continues to evolve in this digital age and the role it will play in banking and regulatory supervision. In this fireside chat, Jo Ann will discuss what the regulatory landscape looks like going forward and share what she sees as essential skills for the compliance officer of the future.
09:00 AM
PST

Compliance.ai Customer Advisory Council: What's New (Compliance.ai Customers Only)

Peter Mancuso
Head of Customer Success
Compliance.ai
Peter Matushin
Senior Account Manager
Compliance.ai
Brent Smith
Strategic Account Manager
Compliance.ai

At Compliance.ai, we love client feedback. We’re introducing the Customer Advisory Council to give you a forum to share insights with Compliance.ai and help shape our future direction. In this session, we’ll discuss expectations for the council, provide information on how you can participate, and review exciting updates for the Training Center and Customer Portal. This session is for current Compliance.ai Customers only.

Navigating the Regulatory Landscape in an Age of Growth, Change and Scrutiny

Carliss Chatman
Associate Professor
Washington and Lee University School of Law
Michael Delune
General Counsel
Manufacturers Bank

The world continues to change, and each year brings new risks, rules and regulations for BFSI organizations to consider. This panel will discuss best practices for staying competitive in a time of uncertainty and growth, addressing how firms can proactively navigate and manage regulatory changes in the areas of privacy, ESG, third party vendor management, and more. Our expert advisors will cover trends, case studies and how you can prepare to manage regulations as we head into 2023.

10:00 AM
PST

Networking break to explore the virtual event

10:30 AM
PST

Innovation in Regulatory Change: Bringing Compliance.ai Together with Policy Change Management

Ruth McKenzie
Head of Product Management
Compliance.ai
Maria Devassy
Head of Partnerships
Compliance.ai

Regulatory intelligence doesn’t live in a vacuum. To bridge the gap between regulatory change and policies, Compliance.ai is introducing Bring Your Own Content, a new product that allows you to see and understand your own content, including policies, legal guidance, remediation plans and audit findings in context with the regulatory changes you already access within Compliance.ai. Learn how you can start using Compliance.ai’s Bring Your Own Content to round out your regulatory change workflow.

Cryptocurrency Regulations, Views, and Trends

Carla Carriveau
Chief Legal Officer & General Counsel
CoinList
Jeffrey Smith
Founder
LawVisory
Gene Yoshida
Global Head of Risk and Compliance
Ponto

The rapidly-evolving state of regulations and cryptocurrency - why is this important and what does this mean for your organization? In this session, our expert panel will discuss perspectives on the economic, market and political environment surrounding cryptocurrency and share their views on government regulations, managing crypto risks, and a comparison of US vs. global regions in regards to crypto adoption and framework.

11:30 AM
PST

Bridging Compliance.ai RCM and Archer GRC to Boost Compliance & Risk Programs

Corey Carpenter
Senior Manager, Product Management
Archer Integrated Risk Management
Maria Devassy
Head of Partnerships
Compliance.ai
Kayvan Alikhani
Co-Founder & Chief Product/Strategy Officer
Compliance.ai
Ruth McKenzie
Head of Product Management
Compliance.ai

Organizations achieve their objectives by taking risks. Archer is a leader in the risk management space, helping companies look at the relationship of strategies, objectives, products, policies, and regulatory obligations. Compliance.ai’s mission is to transform how regulated organizations specifically within the BFSI industries address compliance and regulatory risk. In this session, learn how Compliance.ai and Archer bridge the gap to enable best of breed RCM with GRC by connecting regulatory changes to risk controls, policies and procedures.

Cyber Resiliency and Insurance: Immutability, Requirements, and What You Need to Know

Nirvana Farhadi
Compliance Advisor
Florian Wimber
Director, Advocacy, Communications and Public Affairs
Insurance Ireland

Cyber risks in the insurance sector are particularly dynamic, and it’s essential for organizations to stay in tune with the latest developments and thinking. In this panel session, our expert speakers will discuss the growing challenges and lay the landscape of cyber insurance, potential limits, and trends. The conversation will cover new and evolving risks of cybersecurity, data availability, and differences between US vs. Europe.

12:30 PM
PST

Networking break to explore the virtual event

01:00 PM
PST

Benchmarking: How Does Your RCM Program Stack Up?

Dr. Brent Crider
Chief Compliance Officer
MoonPay
Kayvan Alikhani
Co-Founder & Chief Product/Strategy Officer
Compliance.ai

The process of benchmarking is necessary to compare your organization’s compliance program elements, structure and processes to the external practices of your peers and the industry. In this discussion, our expert speakers will review the benefits of benchmarking, how to accomplish it, and what it means to run a successful RCM program.

Trials & Tribulations – Insights from Implementing Insurance ERM

Gary Preysner
Insurance Practice Lead
Strategic Risk Associates
Kevin Vance
VP & Chief Risk Officer
Rockingham Insurance

Although many organizations have tried (often diligently) to embed ERM as part of the corporate DNA, the results have largely been disappointing. Few organizations have made the journey from Reactive to Proactive Risk Management. This session offers insights and examples into what has prevented a company’s successful transition. ERM maturity follows three distinct stages: Hindsight Culture, Insight Culture, and Foresight Culture. Each requires its own set of tools/maturities, and each stage must be achieved before organizations can mature and advance forward. Using our experience, we lay out the milestones of the process phase, what is required to transition to each next phase, and specific challenges to avoid.

02:00 PM
PST

Regulatory Change Management & How It Differs by Region; EITL Forum Closing Remarks

Peter Mancuso
Head of Customer Success
Compliance.ai
Donna Bales
Regtech and Innovation Leader
Info-Tech Research Group
Richard Dupree
Chief Risk Officer
RISKliance
James Phillips
Regulatory Reporting Strategy Advisor
VERMEG

Our panel of expert advisors will cover the topic of Regulatory Change Management and how this differs by jurisdiction. They will review this topic across several geographic regions, including Europe, Canada and the USA, and cover reporting requirements to both internal constituents (management, committees and audit) and external regulators, answering the question of why is this important to me and my organization.

03:00 PM
PST

Best Practices Breakout Discussion Groups


An open discussion with our Compliance.ai and advisor experts on some of the hot topics covered during the 2022 EITL Forum. Join the breakout group that most interests you for more in-depth Q&A and to participate in the discussion.
1. Regulatory Change Management
2. Compliance.ai Workflows
3. Integrations
04:00 PM
PST

EITL Forum Concludes

Sponsors

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Frequently Asked Questions

Yes, you will need to register here with your name and email address to participate in the EITL Virtual Forum on September 7-8.
No. You do not need to download or install any software to participate. You only need to have access to the internet.
Your login details will be emailed to you ahead of the event. You can use these details to access the online event.
We understand your schedule may not allow you to attend all of the live sessions of the event. The event will remain open 24/7 for 30 days. Therefore, you can attend whenever it’s convenient for you during this period of time.
This is an online event. You do not have to travel to any specific location. You can participate anywhere that you have Internet access. The event is accessible from desktop, mobile and tablet devices and the event times are in Pacific Time Zone.
Dring this two-day event, watch online presentations and interactive panels with risk and compliance management executives and leaders who focus on regulatory concerns of Banking, Insurance, FinTechs, Asset Managers, and other Financial Services firms.
Make new connections, share best practices and chat live with industry experts, BFSI leaders and the Compliance.ai team.
Yes. All documents available during the event, such as session downloads or sponsor materials, can be added to the online swag bag in your account and then email them to yourself.
Yes! Please invite your colleagues and industry connections to join the event with you.