AI & Technology in Financial Services

The practical guide to AI in financial services. From robo-advisors and algorithmic underwriting to compliance automation and regulatory guidance — understand what AI can and cannot do for your practice.

6 Units

Early Units (Foundation)

Building Skills

Advanced Concepts

Capstone/Synthesis

AI in Financial Services: Capabilities and Limitations

A practical overview of artificial intelligence capabilities and limitations for insurance producers, investment adviser representatives, and financial planners — separating genuine utility from marketing hype.

20 minutes

Robo-Advisors, Algorithm-Driven Underwriting, and Client-Facing AI

An examination of client-facing AI applications — robo-advisors, algorithmic underwriting, and automated client service tools — and the regulatory framework governing their use.

20 minutes

Using AI for Compliance, Research, and Client Communication

Practical guidance on deploying AI for compliance monitoring, tax and regulatory research, and client communications — including verification protocols and supervisory requirements.

20 minutes

Regulatory Response: SEC, NAIC, and State Guidance on AI

A comprehensive review of the regulatory landscape governing AI in financial services — from SEC enforcement actions to the NAIC Model Bulletin to state-level AI legislation — and what each means for practicing professionals.

20 minutes

Ethical Considerations: Bias, Transparency, and Fiduciary Duty

An examination of the ethical dimensions of AI in financial services — algorithmic bias, transparency obligations, data privacy, and the intersection of AI capabilities with fiduciary and suitability duties.

20 minutes

Future-Proofing Your Practice: Strategic AI Adoption

A strategic framework for adopting AI in financial services practice — from vendor evaluation to governance policies to ongoing compliance monitoring — designed for practitioners who want to use AI responsibly and effectively.

20 minutes

Learning Progression

This course is designed to be taken sequentially. Earlier units establish foundational concepts that later units build upon. While you can explore units in any order, following the numbered sequence provides the most coherent learning experience.