About this event
This is the next instalment of our masterclass series, on how risk and compliance teams can build AI agents that execute repeatable workflows safely with the right controls in place. This time, we're tackling controls, with this event focused on compliance monitoring.
Joining us a special guest is Joel Viney, Compliance Director at Lloyds Wealth and previously at Schroders Wealth. Joel works these problems day to day, and will share the hands-on view from inside an elite firm. This session is designed for practitioners, and run in partnership with the ICA.
What is compliance monitoring?
Every regulated firm has controls in place to manage risk: rules about what needs approval before it goes out, processes that flag unusual activity, requirements that staff complete training before performing certain roles. Compliance monitoring is how you verify those controls are actually working in practice.
The problem is that testing and monitoring controls at scale is labour-intensive. It often relies on sampling, periodic reviews, and manual evidence collection, which means gaps can go undetected between cycles.
Why build monitoring agents?
This session will explore how AI agents can support the assessment of control design against regulatory requirements, help surface potential gaps and overlaps across control frameworks, and provide evidence to streamline control design reviews at scale.
What you will learn in this session:
- Approaches for understanding the impact of regulatory change on control environments
- Techniques for identifying potential gaps, inconsistencies, and areas for enhancement within control frameworks
- Methods for assessing how controls align to underlying regulatory obligations
- Ways to uncover overlapping or duplicative controls and opportunities to simplify control frameworks
- Building stronger traceability between regulatory requirements, risks, and controls
About Zango AI
Zango is the AI compliance layer for financial services. Its platform uses AI agents trained in financial regulation to support compliance teams in horizon scanning, regulatory change management, policy and control gap analysis, and reviewing marketing and product launches against regulatory requirements, combining AI technology with in-house regulatory expertise. For more information, visit www.zango.ai.
