Carousel: Leveraging Regulatory Lulls to Modernize Policies and Controls

02 Dec 2026

This highly interactive carousel session is focused on a core compliance challenge—collaborating with peers to brainstorm best practices, creative solutions, and innovative ideas. Working in small groups, you’ll build on one another’s insights, contribute to evolving flip‑chart lists, and ultimately surface the top takeaways your table will share with the full room. It’s fast‑paced, hands‑on, and designed to generate practical, real‑world solutions you can bring back to your firm.

  • AI in Action  - Real Use Cases, Tools, and Prompting Techniques for Compliance Teams how compliance teams are actually using AI today — from ChatGPT and Claude prompts that automate reviews, to specialized software for surveillance, reporting, and workflow automation
  • Exam Readiness - Best practices for testing programs, mock exams, cross‑functional coordination, and translating exam priorities into day‑to‑day operational discipline.
  • Strengthening Data & Control Infrastructure — Cleaning up data sources, improving mapping, validating reporting pipelines, and streamlining outdated workflows so policies, procedures, and controls align with actual business practices and support accurate, audit‑ready reporting.