October 22 | 8:30–10:00 am | Micro Strategies, Parsippany, NJ

AI is starting to participate in processes that once required human review. Due diligence. Client communications. Operational workflows. Even approvals that previously required an employee’s signoff.

Here’s the question that catches most firms off guard: when a regulator, auditor, or client asks why the AI agent reached a conclusion, what do they say? And how do they know?

Presented in partnership with the Morris County Chamber of Commerce.

Why It Matters Now

Every AI action leaves a trail. Compliance teams call it “digital exhaust.” Whatever you call it, regulators are starting to ask for it. Firms that can’t produce it face longer audits, harder questions, and greater scrutiny.

The risk isn’t the AI agent itself. It’s the gap around it. No documentation. No clear owner. No audit trail. No answer ready when someone asks how a decision was made.

We know how to audit the work people do. As AI agents take on more responsibility, firms need to be able to audit the work they do too. That’s where the real exposure begins.

What You’ll Get From This Session

We’re here to walk through what regulated firms need to have in place before AI adoption becomes a liability instead of an asset.

You’ll leave with:

• What AI explainability means in practice and why it matters during audits and examinations
• The questions regulators are beginning to ask firms using AI and how to prepare for them
• How to document AI-driven decisions so you’re ready before someone asks
• A starting framework for an AI governance plan your compliance team can defend

Who Should Attend

• Compliance and risk officers
• CIOs and CISOs
• Operations leaders at wealth and asset management firms
• Anyone who may be asked to explain, defend, or document an AI-driven decision