AI Compliance and Setup Strategy for Financial Advisors
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AI Compliance and Setup Strategy for Financial Advisors
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How you prepare your organization to use AI determines whether it becomes a productivity tool or another piece of abandoned software. Join host Kirsten Schlumbohm, Vice President and Head of Annuity Sales at C2P, as she sits down with Luke Ripienski, CFP®, Chief Compliance Officer, and Dustin Anaas, Compliance Analyst, to explore how advisory firms can adopt AI without creating unnecessary risk. Learn how to identify high-value use cases in your practice, establish governance frameworks that work, and train AI to become a productive team member. From review processes to data exposure pitfalls, this episode provides the practical roadmap advisors need to implement AI with confidence.
Resources:
- AI Platforms Referenced: ChatGPT, Gemini, Perplexity, Microsoft Copilot
- Software referenced: Zoom AI Companion, Zocks
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