MASTER GENERATIVE AI FOR COMPLIANCE
Learn how Generative AI can save time, reduce errors, and help you stay ahead of changing regulations.
Programme Details
You can now have Intelligent Compliance processes with GenAI
The compliance landscape is changing fast, and keeping up with new regulations, large datasets, and operational risks can be overwhelming.
Generative AI is a powerful tool that can make work more efficient, define compliance boundaries and help your organisation stay compliant and ahead of regulations.
Learning Objectives
This course focuses a lot on case studies & is designed specifically for compliance professionals.
By the end, you’ll have the skills to make compliance faster, smarter, and more effective.
In this course, you will learn how Generative AI can be used to:
- Automate tasks like creating regulatory reports
- Detect risks before they become problems
- Adapt quickly to changing global regulations
- Build trust through ethical AI practices.
What you will learn
This course goes deep into how Generative AI can transform compliance. Each lesson is practical, focused, and directly applicable to your work. Here's a detailed look at what you will learn:
1. Automating Compliance Reports
- In minutes, you’ll learn how to use Generative AI to create accurate, regulator-ready reports.
- Understand how to extract data from multiple systems and format it to meet specific regulatory standards.
- You’ll learn how to draft reports that require minimal manual adjustments, saving you significant hours of work.
2. Risk Modelling and Scenario Analysis
- You’ll discover how AI can predict compliance risks using historical data and market conditions.
- Learn to simulate “what-if” scenarios to prepare for potential regulatory infractions or illicit activity.
- You’ll learn about using AI tools to strengthen internal controls and stay ahead of emerging risks.
3. Managing Regulatory Changes
- You’ll learn to stay updated on global regulatory changes with AI-powered monitoring tools.
- Learn to assess the impact of new laws on your organisation and update policies quickly.
- See how AI can reduce manual effort in tracking changes across multiple jurisdictions.
4. Enhancing Employee Training
- Understand how to create dynamic, scenario-based compliance training tailored to different roles.
- Understand how AI can be used to generate real-world simulations that improve employee engagement.
- Learn how personalised training can boost test scores and ensure better compliance across teams.
5. Audio Surveillance for Compliance Monitoring
- Understand how Generative AI transcribes and analyses audio conversations for compliance breaches.
- Explore some case studies of how AI tools detect risky language, mis-selling, or market manipulation.
- Learn the best approaches to implement AI-powered audio monitoring systems to improve transparency & trust.
6. Ethical Use of Generative AI
- Learn the principles of Responsible AI to ensure fairness, ethics, transparency, and accountability.
- Explore frameworks like Explainable AI (XAI) to defend AI-driven decisions to regulators and auditors.
- See how ethical AI practices enhance stakeholder confidence and reduce reputational risks.
This is not a generic programme
Unlike generic training programs, this course is built specifically for compliance professionals, addressing the unique challenges of navigating regulations, managing risks, and maintaining ethical practices in a fast-evolving world.
Designed for Compliance Professionals
This course speaks your language. Whether it’s automating regulatory reporting, managing complex risks, or understanding evolving laws, every lesson is tailored to your role and responsibilities.
Practical and Actionable
No dry theory or generic AI talk. This course focuses on real-world applications, with case studies that show you exactly how Generative AI is used in compliance tasks.
Keep Up with Regulations
With global regulations changing rapidly, staying compliant is more challenging than ever. This course equips you with the strategies to monitor and adapt to regulatory updates efficiently.
Ethical and Transparent AI Practices
Learn how to implement Responsible AI principles that not only meet regulatory requirements but also build trust with stakeholders and customers.
Community and Support
Join like-minded AI & compliance professionals. Share insights, tackle challenges together, and build a network of peers who understand the unique demands of your field.
This programme offers practical compliance value
- Focus on compliance-specific AI applications, not general AI knowledge.
- Step-by-step guidance to integrate AI into your workflows.
- Exclusive insights with real-world case studies & proven methods. This is as close to the industry as it gets.
- Immediate, practical value you can apply from Day 1. Learn today, implement tomorrow.
Programme Curriculum
Get the Foundations of Generative AI right and go much deeper into compliance
Chapter 1: Generative AI Fundamentals
Key Topics:
- Definition of Generative AI
- Differences between traditional Machine Learning and Generative AI
- Transformers: a revolutionary breakthrough
- Scaling transformers
- LLMs as a new human/machine interface
Chapter 2: The Landscape of Generative AI
Key Topics:
- Model providers
- Infrastructure providers
- Application providers
- Hands-on project: Getting started with ChatGPT and Customer Personas
- Hands-on project: Analysing & extracting information from PDF Reports with AI
Chapter 3: Compliance Overview & Managing Risks with Generative AI
Key Topics:
- AI Governance Frameworks:
- Defining roles and responsibilities for developing, monitoring, and validating AI models.
- Establishing compliance committees to oversee AI usage and guide strategic decisions.
- Model Validation and Risk Assessments:
- Conducting thorough impact assessments to identify potential compliance gaps and biases.
- Using historical and synthetic data to stress-test AI models under different scenarios.
- Balancing Automation with Human Judgment:
- Implementing “human-in-the-loop” systems to escalate complex compliance cases to experienced professionals.
- Learning how to balance AI efficiencies with expert oversight for critical decision-making.
Chapter 4: Navigating Generative AI Applications & Insights
Key Topics:
- Explainable AI (XAI) and FEAT Principles:
- Learn how XAI techniques provide clear reasoning for AI outputs to regulators and internal stakeholders.
- Incorporate fairness, accountability, and transparency principles into AI workflows.
- Ethical and Regulatory Standards:
- Mapping AI practices against evolving compliance regulations such as GDPR, DORA, and the EU AI Act.
- Ongoing Monitoring and Auditing:
- Setting up continuous monitoring systems to track AI accuracy and detect operational issues.
- Performing periodic audits of AI models and data pipelines to ensure compliance alignment.
Chapter 5: Generative AI Applications & use cases in Compliance
Key Topics:
- Audio Trade Surveillance:
- Explore how Generative AI transcribes and analyses trader communications to detect risky language and market manipulation.
- Use case studies to understand how AI flags compliance breaches in real-time.
- Detecting Misconduct in Financial Interactions:
- Discover how AI tools can identify mis-selling, non-compliant behavior, and fraudulent activity in customer interactions.
- Learn how Generative AI generates compliance scores and highlights risk patterns.
- Data Security and Access Controls:
- Implement strong data protection measures, including encryption and access restrictions, to safeguard sensitive information.
Chapter 6: Maximizing Impact & Managing Risks
Key Topics:
- Regulatory Change Management:
- You’ll learn how AI tools scan global regulatory updates and provide actionable recommendations.
- Adapting organisational policies quickly to align with new legal requirements.
- Future-Proofing Compliance Strategies:
- Reviewing AI models to ensure they adapt to emerging regulations and new threats.
- Collaborating with industry forums and regulators to stay ahead of compliance trends.
Become AI Literacy Compliant with CFTE’s Generative AI Programmes
CFTE’s Generative AI Programmes can help you and your organisation to stay compliant with AI literacy requirements under the EU AI Act.
While no single course can guarantee full compliance, CFTE’s Generative AI Programmes constitute a solid foundation to increase AI literacy across organisations, by offering structured, expert-led learning that allows participants to develop a deeper understanding of regulatory expectations, responsible AI practices, and risk management in an evolving AI landscape.
Source: EU AI Act
Designed for professionls in regulated industries
This course is for compliance professionals and those working in regulated industries who want to stay ahead with AI-powered solutions & strategies. This course is perfect for:
Compliance Officers or Risk Managers
Looking to automate processes, reduce errors, and improve efficiency.
AI Enthusiasts in Regulated Industries
Wanting to apply ethical AI to tackle real-world challenges in compliance.
Managers or Leaders in Compliance
Seeking tools to monitor risks, stay updated on regulations, and lead with confidence.
Finance Professionals
Eager to understand how AI can enhance regulatory compliance and reduce costs.
Policy Advisors or Legal Professionals
Interested in learning how AI is transforming regulatory landscapes and compliance practices.
Who should not take this course?
This course is not for everyone. It may not benefit you if you are:
Not involved in compliance: If your work doesn’t involve compliance, risk management, or regulatory tasks, this course may not suit your needs.
Looking for Basic AI Knowledge: This course is specific to applying Generative AI in compliance, not an introduction to AI concepts.
Not Ready to Adapt: If you are hesitant about incorporating new technologies into your work, you may find this course less beneficial.
Hoping for Overnight Results: While the course is practical, mastering AI in compliance requires ongoing application beyond just the duration of the course.
Looking to gain only technical AI knowledge: We briefly touch on the technicalities of AI but the larger breadth of this course focuses on how AI can be leveraged in compliance.
Meet Your Instructors
Huy Nguyen Trieu
Your Guide to Thriving in Finance amidst an increasingly Tech Landscape
Co-founder and Programme Director, CFTE; Former Managing Director, Citi; Author of The AI-fication of Jobs
Huy Nguyen Trieu is the Co-Founder of CFTE and CEO of The Disruptive Group, an advisory firm in innovation and finance. He is also a Venture Partner at Mundi Ventures, a VC fund in Fintech and Insurtech. Recognised as one of the earliest to analyse Fintech’s transformative impact, Huy co-created the Oxford Fintech Programme and pioneering courses at Hong Kong University and Imperial College London, equipping hundreds of thousands of professionals with the tools to navigate a wold of tech-driven finance.
Passionate about upskilling, Huy co-founded CFTE to help people improve their skills in a tech-driven world. Previously, he was a Managing Director at Citi, and held roles at Royal Bank of Scotland and Société Générale. Huy also led Ukibi, a VC-funded startup in the US.
Huy’s Unique Perspective
Huy has designed leading educational programmes in emerging technologies including in Generative AI, Blockchain and Payments, catered to empowering professionals in a world of finance.
Ronnie Chung
Your Guide to Generative AI in Compliance
With over 25 years of experience in compliance, technology, and ethical AI, Ronnie Chung brings unparalleled expertise to this course. His career spans some of the most respected institutions in the financial and regulatory sectors, making him uniquely qualified to teach compliance professionals how to leverage Generative AI.
Why Learn from Ronnie?
- Built AI Frameworks for Global Banks: At HSBC, Ronnie established the Responsible AI Framework, introducing ethical AI principles, governance models, and tools that are now industry benchmarks.
- Trained Thousands in AI Literacy: Ronnie led AI literacy programs that reached over 10,000 professionals worldwide, empowering teams to use AI effectively and responsibly.
- Hands-On Experience with Regulators: He has engaged directly with leading regulators, including the UK’s FCA and Singapore’s Monetary Authority, shaping how AI is adopted in compliance.
- Diverse Leadership Roles: From PwC and Barclays to HSBC and Centrica, Ronnie has managed compliance teams, regulatory dialogues, and large-scale AI implementations.
Ronnie’s Unique Perspective
Learn from A visionary
Ronnie Chung – Head of Responsible AI
Ronnie Chung, has over 25 years of experience leading compliance initiatives at major institutions like HSBC and Barclays. Ronnie developed HSBC’s Responsible AI Framework and has trained over 10,000+ professionals on AI in compliance.
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