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Recorded Webinar: Leveraging NLP for regulatory compliance

14 June 2022

As regulatory compliance becomes more complex, requires larger volumes of data – both structured and unstructured, and comes under greater scrutiny by regulators, financial institutions are looking for RegTech solutions that can help them increase efficiency, reduce costs, and improve the accuracy of regulatory data.

One such solution is natural language processing (NLP), which can help compliance teams not only question regulatory texts and updates, but also manage and automate vast quantities of unstructured data.

This webinar will consider the potential of NLP in regulatory compliance, how best it can be deployed, useful RegTech tools, and the benefits it can deliver. It will also present case studies of NLP in compliance, and review its future potential.

Listen to the webinar to find out about:

  • Progress on the use of NLP in regulatory compliance
  • The potential of NLP to drive automation
  • Best practice approaches to implementation
  • Challenges presented by the use of NLP in compliance
  • Case studies of successful implementations

Speakers:

Melanie Williams Senior Regulatory Change Manager
Revolut
Dr. Selja Seppälä Lecturer
University College Cork
Kai Schrimpf Transaction Monitoring Product Owner
UBS
Dr Yin Lu Head of Product – RegAI
CUBE
Moderator: Sarah Underwood Editor
A-Team Group

More about our speakers:

Melanie Williams

Senior Regulatory Change Manager

Revolut

Melanie is a Senior Regulatory Change Manager at Revolut where she is responsible for developing and implementing the Horizon Scanning and Regulatory Mapping processes supported by RegTech and NLP. She is a New York qualified lawyer and has an MBA in Finance with 8 years of experience working in the regulatory and legal space in New York, Zürich, Luxembourg and London.

Dr. Selja Seppälä

Lecturer

University College Cork

Selja is a Lecturer at the Department of Business Information Systems, University College Cork (UCC), where she recently completed a Marie Curie Career-FIT Fellowship investigating natural language processing (NLP) methods to develop a computer-assisted definition authoring and formalisation system for legal experts (RegDef). She has conducted research in the areas of NLP for regulatory technologies in the financial industry at the Governance, Risk and Compliance Technology Centre (GRCTC) at UCC, and of applied ontology and biomedical informatics at the University of Florida and the State University of New York at Buffalo, where her research was funded by the Swiss National Science Foundation. Selja has published in the fields of NLP, terminology, and applied ontology.

Kai Schrimpf

Transaction Monitoring Product Owner

UBS

Kai has been working in the Financial Crimes area for multiple international Banks for the last 20+ years. In his current role as Transaction Monitoring Head for Credit Suisse he is responsible for the operations and transformation of TM Risk mitigation. This includes overseeing the development of a next generation Transaction Monitoring solution that holistically identifies risk across the entire footprint of the bank. Prior to this Kai has been responsible for forensic investigations as part of a rapid response to FCC topics as well as involvement in strategic transformation of all pillars of the FCC world.

Dr Yin Lu

Head of Product – RegAI

CUBE

Yin is the Head of Product (RegAI) at CUBE, a market-leading regtech that transforms regulatory data into regulatory intelligence. Working closely with CUBE’s AI teams, she oversees all ML and NLP-driven use cases, from content capture and enrichment to platform-level enhancements that accelerate every step of the compliance workflow.

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