Brian Alexander

PRESENTATION: Reduce Compliance Risks with Trustworthy AI

Increasing complexity in the regulatory environment, rates of regulatory change and need for accountability are driving new compliance risks for financial services companies. Trustworthy AI reduces compliance risks while balancing human control and oversight with accountability. AI can automatically identify relevant regulatory changes and predict the impact to the organization (e.g., business units, policies, controls, products/services, contracts). Regulatory changes can be routed to impacted business units with compliance risk indicators/ratings and impact predictions. The AI solution can predict and automatically take actions necessary to maintain compliance, which can be accepted or overridden by the business unit.

ROUNDTABLE: Defining a Governance Framework Covering the Appropriate Level of Automation/Human Control

Points of Discussion: Defining compliance and regulatory risks Identifying and rating regulatory/organizational changes Defining compliance risk treatment strategies Including user feedback to improve the AI-enabled compliance management

Brian is responsible for the strategy and management of Omina Technologies US. He has a B.S. Mech. Eng. and a J.D. Brian has spent the last 25 years working with technology companies and new technologies in capacities ranging from legal advisor to executive to investor. While working in private law practice, Brian represented technology organizations in intellectual property, regulatory and litigation matters. Brian also has advised technology, financial services, energy/utilities and healthcare companies regarding corporate risk and compliance. Prior to joining Omina, Brian worked for C2C with responsibilities including internal legal advisory, corporate strategy and software development, as well as client management on numerous projects covering diverse risk/compliance matters such as information/cybersecurity and data privacy.

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