How Leading Firms Are Deploying AI Without Compliance Risk

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The race to adopt AI tools like Microsoft Copilot and ChatGPT is on, reshaping how financial professionals work, communicate and serve clients. But with new platforms emerging and constant updates to existing tools, the landscape is evolving fast. At the same time, firms face an urgent challenge: understanding what data is being shared, stored and exposed, and what that means for compliance and supervision.

In a highly regulated industry, moving fast without the right guardrails can lead to reputational damage, regulatory scrutiny or worse. This webcast will demonstrate how leading financial services firms successfully balance innovation with governance, deploying next-gen AI tools without compromising oversight.

By attending this webcast, you’ll learn how to: • Confidently scale AI across your enterprise while meeting SEC and FINRA expectations • Monitor and supervise AI-generated communications across dynamic platforms • Automate policies and controls to keep pace with evolving AI use cases

Whether you're just beginning to explore AI or already testing Copilot internally, you’ll leave with actionable insights to strengthen policies, improve supervision and implement compliance solutions with confidence.

Featured Speakers:

Tiffany Magri | Senior Regulatory Advisor | Smarsh

As a Regulatory Advisor at Smarsh, Tiffany Magri monitors, evaluates and consults on the financial services regulatory landscape. Tiffany has 15 years of experience facilitating compliance with laws and regulations, policies, and risk management. Prior to joining Smarsh, Tiffany was a Senior Associate at Benefit Street Partners and a Compliance Officer at Broadstone and Manning & Napier Advisors.

Kasey Schaefer | Senior Manager of Regulatory Compliance | IQ-EQ

Kasey Schaefer is a Senior Manager for IQ-EQ in the regulatory and compliance department. Kasey joined IQ-EQ in 2022 as a senior associate and was promoted to Manager in 2024. Prior to joining IQ-EQ, Kasey worked at a boutique compliance consulting firm and worked in-house for a dually registered wealth advisor as the director of operations. Kasey has over seven and a half years of financial services experience and over five and a half years of financial compliance experience ranging from in house compliance work to client engagements in the private equity, hedge fund, wealth advisor, and broker dealer space. Kasey obtained her Bachelor of Business Administration from the University of Texas San Antonio.

Kevin Davenport | Senior Associate, Regulatory Compliance | IQ-EQ

Kevin Davenport is a Senior Associate for IQ-EQ in the regulatory and compliance department. Kevin joined IQ-EQ in late 2023 as an associate and was promoted to Senior Associate in the summer of 2024. Before IQ-EQ, Kevin worked in consumer privacy litigation, which included data privacy litigation. Kevin has multiple years of experience working with and assessing data privacy laws and regulations and is now approaching two years of experience focusing on SEC compliance with a wide range of client engagements. Kevin obtained his Bachelor of Political Science from Western Illinois University, and his Juris Doctor from Southern Illinois University. Kevin is a licensed attorney in the State of Illinois.

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