AI to Improve Regulatory Compliance, Governance & Auditing. How AI identifies and prevents risks, above and beyond traditional methods. Techniques and analytics that protect customers and firms from cyber-attacks and fraud. Using AI to quickly and efficiently provide evidence for auditing requests.
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[Ai in finance] AI in regulatory compliance, risk management, and auditing
1. AI in Finance:
Regulatory Compliance, Risk Management, and Auditing
Natalino Busa - Head of Data Science
https://en.wikipedia.org/wiki/File:DTI-sagittal-fibers.jpg
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Head of Applied Data Science at
Teradata
On most networks:
@natbusa
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What’s in the next hour?
Machine learning and cognitive computing for :
• Regulatory Compliance
• Process and Financial Audit
• Operational Risk Management
• Data Management
Discussion
• Q&A
• Ideas, use cases
Recommendations
• Data computing systems
• Tools, and Skills
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What is NLP? Transforming free text into
structured data and back
Computer Science + Linguistic
Based on Algorithms,
Machine Learning and Statistics
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What problems does NLP solve?
Question Answering
Machine Translation
Text Summarization
Topic Extraction
Semantic Search
Spelling correction
Sentiment Analysis
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Unknown unknowns in ORM
Looking for something
we don’t know we should be looking for
• Unexpected Services Failing
• Suspicious Access schemes
• Fraudulent Transactions
Looking for Patterns,
Looking for Anomalies
IT Risk
Model Risk
Legal Risk
CyberSecurity
Fraud Risk
Conduct Risk
Money Laundry
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Network Intrusion detection
http://billsdata.net/?p=105
It contains 130 million flow records involving
12,027 distinct computers over 36 days (not
the full 58 days claimed for the entire data
release).
Each record consists of: time (to nearest
second), duration, source and destination
computer ids, source and destination ports,
protocol, number of packets and number of
bytes
Techniques: TDA, Dimensionality Reduction
https://en.wikipedia.org/wiki/Nonlinear_dimensionality_reduction
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AI based solutions: Enterprises
http://www.shivonzilis.com/machineintelligence
https://www.oreilly.com/ideas/the-current-state-of-machine-intelligence-3-
0
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AI based solutions: Industries
http://www.shivonzilis.com/machineintelligence
https://www.oreilly.com/ideas/the-current-state-of-machine-intelligence-3-
0
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AI based solutions
AI Tools: Exist but may be too narrow in scope
Data + Libraries + Scientists: Still the way to go for customization
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Hype it right.
Understand the limitations of current systems
Google’s Self-Driving Car Program Odometer Reaches 2 Million Miles
http://www.wsj.com/articles/googles-self-driving-car-program-odometer-reaches-2-million-miles-1475683321
Deep learning as a tool for increased accuracy and efficiency of histopathological diagnosis
http://www.nature.com/articles/srep26286
Why is AI so difficult?
http://waitbutwhy.com/2015/01/artificial-intelligence-revolution-1.html
http://www.forbes.com/sites/gilpress/2016/10/31/12-observations-about-artificial-intelligence-from-the-oreilly-ai-conference/
http://www.tor.com/2011/06/21/norvig-vs-chomsky-and-the-fight-for-the-future-of-ai/
https://www.safaribooksonline.com/library/view/oreilly-ai-conference/9781491973912/video260721.html
Down the rabbit hole.
https://youtu.be/_1Cyyt-4-n8
https://youtu.be/u6aEYuemt0M
https://youtu.be/bEUX_56Lojc