Tiffany Magri, Senior Regulatory Compliance Advisor for Smarsh, joined Keith Black, Managing Director of RIA Channel, to discuss how firms can effectively scale with AI in communications compliance without getting lost in the noise.
Smarsh is a leading communications data intelligence company focused on helping regulated firms identify and mitigate risk. The Smarsh Platform captures, stores, and monitors communications across mobile, voice, email, AI, video, and chat, enabling firms to manage compliance at scale.
As firms move from AI experimentation to implementation, Magri notes that compliance teams are facing a fundamental scaling challenge. She explains that keyword-based AI systems often lead to increased alert volumes and fail to understand context, resulting in alert fatigue among reviewers as they spend time on repetitive alerts while meaningful risks may be missed.
To shift from this reactive review loop to proactive risk identification, Magri suggests domain-adapted models that understand financial communications and regulation, proven deployments with measurable outcomes, and model risk management that ensures governance, explainability, and control. She points to Smarsh’s intelligent supervision capabilities as a solution.
Magri highlights that intelligent supervision provides accelerated AI-assisted review with summaries and insights into communications, noise reduction that removes low-value alerts before they reach reviewers, and misconduct detection that identifies higher-risk areas using context rather than just keywords. This enables compliance teams to focus on judgment calls, investigations, and escalated decisions.
WEBCAST REPLAY – Cost Effective Compliance for Growing RIAs
As RIAs grow, compliance expectations rise while teams and budgets often remain the same. Increasing scrutiny on communication oversight and supervisory controls puts added pressure on compliance programs that cannot scale with headcount alone.
Advisor communication channels and workflows continue to expand, and firms must maintain stronger oversight, produce clearer evidence, and manage risk with greater efficiency. Growth creates opportunity, but it also demands smarter, more scalable compliance solutions.
Join us to learn how RIAs can strengthen supervision, reduce risk, and improve efficiency with technology that delivers institutional quality oversight without unnecessary complexity. You will leave with clear guidance on how to streamline workflows and invest in compliance tools that grow with your firm.
We will cover:
- How to scale communication supervision without adding compliance staff
- Ways to strengthen supervision controls while improving efficiency
- What institutional quality oversight looks like for growing RIAs
- How to demonstrate ROI through reduced risk and simplified operations
- How to choose compliance technology that evolves with your firm
Accepted for 1 CFP / IWI / CFA CE Credit
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