📊 AI in Financial Regulation and Compliance

AI is changing how financial institutions manage compliance and how regulators oversee financial markets. It can help teams analyse large volumes of information, identify suspicious activity and prepare regulatory reports. Effective use requires reliable data, clear controls and informed professional judgement.

Across ten lessons, this course explores AI in compliance monitoring, anti-money laundering, audit, regulatory reporting, market surveillance, prudential supervision and cross-border coordination. You will examine how machine learning, generative AI, large language models and emerging agentic systems support these activities, alongside their limitations and risks.

The course also examines model risk management, explainability, fairness, privacy, cybersecurity and operational resilience. Practical examples show how organisations can assess AI outputs, investigate alerts, maintain traceable evidence and provide meaningful human oversight. It distinguishes technological capabilities from legal obligations, recognising that regulatory requirements differ across jurisdictions.

Designed for compliance professionals, auditors, risk managers, regulators, governance specialists and financial services leaders, this course provides a practical foundation for evaluating and overseeing AI in regulated environments. By the end, you will understand where AI can support financial regulation and compliance, how to assess its effectiveness, and why accountability remains essential as systems become more capable.