Rise Presents: Regulating AI

With technology being released at such a rapid pace, how can regulators and law makers create policy and regulation fast enough to ensure the right guard rails are in place. No really…. How are they doing it?

We’ll sit down with industry leaders and find out:

• What are some of the key current regulations and regulatory frameworks?
• How is AI regulation being created? What are regulators doing & expecting of those they regulate?
• What are the implications for the way technology companies are now building solutions w AI?
• How does this change the way banks think about, buy and build with AI?

Executive Deputy Superintendent of Research and Innovation, New York Department of Financial Services

Kaitin is responsible for economic research, innovation policy, and virtual currency licensing and supervision. Prior to joining DFS, Kaitlin served as a Senior Policy Advisor within the Federal Reserve System specializing in fintech, data governance and management, data privacy, and artificial intelligence. She is a recognized leader in financial services innovation and policy design with experience in entity supervision and research design. Kaitlin has authored multiple papers and books on data policy, including an evaluation of data protection and data rights in the United States, and a review of Open Banking. Kaitlin received her Master of Public Policy from the University of Chicago and her BA from Stanford University.

VC/PE Investor at Tenfore, Board Observer at various AI Tech Firms, Faculty at UC Berkeley

Joyce's technical expertise centers around emerging technologies, machine learning & AI, data economy, and cybersecurity. With significant cross-functional experience that span venture capital/private equity investing, technology M&A, corporate finance/CFO, corporate strategy, technology and product innovation, operations, and go-to-market. Joyce has also published books on technology and innovation and is a patent holder. Joyce was the Global Managing Director in the Office of the CTO responsible for emerging technology strategy, startup partnerships, and venture investments at Thomson Reuters. Prior to Thomson Reuters, Joyce was the founding Chief Financial Officer & Chief Operating Officer of IBM Cloud Platform responsible for a multi-billion P&L. Before that, Joyce led finance, operations, and acquisition integration of the $1 billion Collaboration and HR SaaS software business. She started her career in IBM M&A Corporate Development closing acquisitions over $6 billion in cloud, data management, and security. Joyce received two bachelor's degrees in Statistics and Economics from The University of Chicago and an MBA with concentrations in Quantitative Finance, Entrepreneurship, and Strategy from The University of Chicago Booth School of Business.

Senior Vice President of Regulatory Operations Program Delivery at FINRA

Sarah Wallis is Senior Vice President of Regulatory Operations (RegOps) Program Delivery. In this role, she supports FINRA’s efforts to continue strengthening and integrating its regulatory operations. To that end, Ms. Wallis oversees initiatives that advance an integrated operating model for RegOps and establish the standards, best practices, and infrastructure required to drive consistent delivery and transparency. Ms. Wallis is also actively engaged in leveraging FINRA’s Advanced Analytics capabilities across RegOps, and more recently in examining new opportunities to leverage partnerships and Generative Artificial Intelligence and Large Language Models to further improve regulatory outcomes.

Ms. Wallis joined FINRA in 2020 as Vice President of Strategic Technology Programs for Enforcement, where she led the adoption of technology and data analytics solutions for the department and designed and built its data analytics team.

Ms. Wallis has spent over 20 years in the financial services industry in various roles related to strategic change, technology, regulatory compliance, risk management, operations, and innovation. Immediately prior to joining FINRA, she was a Director at Credit Suisse, serving as the strategic change lead for Global Market Risk, including both regulatory compliance programs and the innovation portfolio. Ms. Wallis was previously a consultant with Ernst & Young in their Financial Services Risk Management practice.

Ms. Wallis received her bachelor's degree in Operations Research and Industrial Engineering from Cornell University.

Global Head of Model Risk Management at Barclays

Women in RegTech New York (WIRTNY) was founded in 2022 by a small team keen to meet and support other women in their RegTech pursuits. Activity centers around informal in-person events on a quarterly basis. Technologists, Regulators, Bankers, Marketers, Consultants, Business Developers, Entrepreneurs, SMEs and Allies all participate! WIRTNY is volunteer run, we rely on the support of our wonderful partners to help promote, provide venues and contribute.

Event Venue & Nearby Stays

Rise New York, 43 West 23rd Street, New York, United States