Trading and Investment Compliance with AI – Interactive Webinar

Artificial Intelligence (AI) is rapidly transforming the trading and investment landscape, offering unprecedented speed, precision, and analytical power. Yet, these advancements come with significant compliance and governance challenges that firms cannot afford to ignore. This interactive webinar goes beyond theory to provide practical insights into how AI is reshaping decision-making, operational efficiency, and regulatory expectations in financial markets.

Key Objectives

• Understanding what AI is from an Investment Mgmt. point of view
• Understanding how AI can help with Trading  
• Understanding how AI can help with Compliance Monitoring
• Identify the risks, issues and challenges that firms will encounter (and how they can be managed)
• Identify the regulatory impacts and how they can be managed

Welcome & Objectives

• Trainer introduction and session goals
• Quick poll: “How is your firm currently using AI?”
• Overview of session flow

1. AI in Modern Trading & Investments

• Goal: Understand how AI is transforming investment decision-making.
• Topics:
• AI applications in finance: algo-trading, portfolio analytics, sentiment models
• Benefits vs. risks: speed, accuracy, but also opacity and bias
• AI’s role in operational efficiency and compliance risk exposure
• Interactive: → Mini case: “An AI trading model executes off-market trades — what compliance questions arise?”

2. Regulatory Landscape & Compliance Challenges

• Goal: Recognise the regulatory expectations surrounding AI use in trading.
• Topics:
• Overview: SEC, FCA, ESMA, MAS, and EU AI Act positions
• Algorithmic accountability and model governance
• Key compliance risks:
• Market manipulation and best execution
• Data ethics and privacy
• Explainability and auditability
• “AI as a regulated entity” — what’s changing
• Activity -> Quick group discussion: Identify the top 3 AI compliance risks in your firm.

3. AI for Compliance Enhancement

• Goal: Show how AI tools can support compliance teams.
• Topics:
• Surveillance and monitoring powered by AI
• NLP for communication review (chat/email monitoring)
• Predictive analytics for fraud or insider risk detection
• Integrating human oversight (“human-in-the-loop” controls)
• Demo / Example:→ Walk-through of an AI-driven compliance dashboard (real or simulated).

4. Building “Compliant AI” in Trading

• Goal: Apply governance and ethics principles to AI model design.
• Topics:
• Responsible AI framework: fairness, transparency, accountability
• Model validation, testing, and documentation best practices
• AI governance roles — collaboration between compliance, IT, and data science
• “Compliance-by-design” in algorithmic strategies
• Exercise:→ Team activity: Draft a short “AI compliance checklist” for a trading algorithm.

Paul Taylor

Senior advisor, Chair and Non-Executive Director with over 35 years of cross-sector experience in financial services, technology, education and the third sector. Serves as a board member and strategic advisor to fintech, education and wellbeing-focused organisations, contributing to governance, commercial direction, and digital innovation. A published author, speaker and Open University Associate Lecturer in technology Management.

Ada Jabaru

Director and Founder of Nistad, boasts 17 years of experience in regulatory compliance, audit and risk assessment within finance. A skilled strategist, she excels in bridging commercial objectives with technical requirements and communicating across stakeholder groups. Ada offers valuable expertise across governance, asset management and financial services that are easily transferable to other business contexts.  

- Compliance officers

- Legal Counsel

- Risk Managers

- Portfolio Managers

- Traders

- Technology

£95.00 + VAT

Pay using a credit card online, or if you wish to be invoiced please email your full details to: Training@theia.org

PLEASE NOTE: Full payment for the course must be made prior to the course commencement date.

• Any cancellation must be made in writing.
• For all cancellation received 15-30 days prior to the course start date, 50% of the course fee is still payable.
• No refund is given for a cancellation made 14 days or less prior to the commencement of a course.
• Transferring from one course to another is treated as a cancellation.
• You can substitute one delegate for another at no additional cost. In this instance, please give two business days’ notice.