Booking options
€140 - €280
Course Images
Regulation as a System: Financial Compliance and AI Implementation
Dates
View Dates Hide Dates
- Delivered Online• to
- Delivered Online• to
Highlights
Live Online
7 CPD Units | 7 Hours
HRDA Subsidised
The EIMF Live Online Learning Experience
Participants will receive access to the recorded sessions of the course.
EIMF subject-matter experts deliver engaging and interactive courses across a broad spectrum of areas, that can be enjoyed in the comfort of your own chosen environment. Read more
Course Overview
This seminar introduces participants to a systems-oriented approach to financial regulation and compliance. It examines how legal and regulatory requirements are translated into controls, processes, data structures and operational decision pathways across functions within financial institutions and other regulated entities.
Participants learn why fragmented expertise, inherited complexity and information loss can make financial compliance systems inefficient and difficult to manage, and how AI can support more coherent cross-functional analysis when used with appropriate governance and expert judgment.
The seminar uses regulatory examples in particular from CARF, CRS and FATCA (may also include DORA, MiCA, AML/CFT requirements depending on participants) and AI-related regulatory developments to illustrate the methodology in practice.
Training Objectives
Describe a compliance system as an end-to-end chain from legal text to decision logic, controls, processes, data, technology, evidence and review.
Identify how regulatory requirements are translated into operational ownership, hand-offs and documentation requirements.
Recognise common sources of fragmentation, inherited complexity and information loss in mature compliance environments.
Apply three diagnostic principles (operational proximity, necessity review and traceability before simplification) to a selected regulatory or compliance process.
Map basic obligations, actors, interfaces, data dependencies and evidence requirements in a compliance architecture.
Assess where AI can support regulatory analysis and where human judgment, accountability and governance remain essential.
Identify friction points, ownership gaps and weak traceability in cross-functional regulatory implementation.
Participate more effectively in discussions between legal, compliance, operations, risk, data and technology teams.
Training Outline
Introduction and Course Framing
Why regulation should be analysed as a system, not only as a set of rules.
The Structural Problem
Why compliance systems become inefficient over time.
Fragmented expertise across legal, tax, compliance, operational and technology functions.
Nominal vs. substantive ownership.
Information loss across the implementation chain.
Illustrative examples from CARF, CRS, FATCA, DORA, MiCA and AI-related regulatory frameworks.
Participant discussion: where similar problems arise in practice.
The Diagnostic Framework
Regulation as a system: obligations, actors, interfaces and evidence.
Operational proximity: locating where a regulatory decision actually becomes operational.
Necessity review: distinguishing necessary controls from inherited complexity.
Traceability before simplification: why simplification without provenance can increase risk.
Obligation mapping and compliance architecture.
Application to CARF as the primary lead case, with comparative references to CRS, FATCA, DORA, MiCA, AML/CFT or AI-related regulatory frameworks where useful.
AI-Lab: Practical Analytical Application
Where AI can support regulatory analysis.
Where AI cannot replace legal, compliance and management judgment.
Hands-on AI-supported analysis of a regulatory text or implementation problem.
Comparison between AI output and expert judgment.
Identifying cross-functional tensions and implementation implications.
Governance points for responsible use of AI in compliance analysis.
Solutions and Discussion
What more coherent compliance systems begin to look like.
Where organisations should start: mapping, ownership, evidence and review.
Participant discussion of institutional cases and practical next steps.
How to maintain traceability when regulations, systems and teams change over time.
Translation of the discussion into practical analytical outputs: system maps, ownership/evidence maps, decision pathways and initial implementation blueprints.
Wrap-up and Evaluation
Key takeaways and final questions.
Suggested next steps for applying the methodology internally.
Who Should Attend
Compliance Officers, Compliance Managers and Regulatory Affairs professionals.
Legal Counsel and Tax Compliance / Regulatory Reporting professionals.
Risk, Internal Control and Governance professionals.
Operations, Process and Change Management professionals involved in regulatory implementation.
Data, Reporting and Technology professionals supporting compliance processes, controls and regulatory reporting.
Managers and senior specialists in financial services, fintech, payments, digital assets and other regulated sectors.
Decision-makers responsible for regulatory strategy, implementation architecture, control design or AI-supported compliance transformation.
Training Style
The programme combines short expert lectures, structured discussion, practical case examples and analytical exercises. Participants work with regulatory implementation scenarios and are encouraged to connect the framework to their own functions, institutions and cross-functional compliance challenges.
CPD Recognition
This programme may be approved for up to 7 CPD units in Financial Regulation & Risk. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
This training course may be approved as an external activity under the new ACAMS recertification category ''non-ACAMS credits'' for up to 7 CPD units. Eligibility criteria and CPD Units are verified directly by the Association of Anti-Money Laundering Specialists (ACAMS). To read more about the non-ACAMS credits policies and eligibility criteria please click here.
In-house Training
For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.
Facilitators
Niko Sievert
Dr. Niko Sievert is a specialist in tax transparency, cross-border reporting and compliance architecture. His work focuses on the practical implementation of international reporting regimes, including CRS, FATCA, QI and CARF, with particular attention to the translation of regulatory frameworks into due diligence, documentation, governance and operational structures. He has worked on cross-border reporting questions in both financial-institution and advisory settings, including early-stage CARF scope assessment and implementation structuring in the context of a major financial institution. His approach combines legal and regulatory analysis with a strong focus on how reporting obligations operate in practice — across classification, data, controls, documentation and organisational ownership. Dr. Sievert holds a PhD from the University of London and an LL.M. from The American University in Cairo. He is the founder of Sievert Consulting FZCO, a specialist advisory firm focused on international tax transparency and reporting-related implementation questions.