Modern communication and AI tools like Zoom, Microsoft Teams, Webex, RingCentral, Copilot and Zoom AI Companion have transformed how financial services firms operate—but they also create new challenges for compliance, legal, and risk management teams.
Theta Lake’s multi-award-winning, cloud-native platform empowers firms to identify regulatory risk and provide oversight across modern communications with intelligent recordkeeping, accurate supervision, ML/NLP-driven risk detection, and deep integrations with the tools your business relies on.
Built specifically for the needs of the financial services industry to understand behavior and intent, our platform helps you meet FINRA, SEC, CFTC, and global regulatory obligations—while improving efficiency and collaboration across compliance, IT, and legal teams.
In the Gartner®️ 2025 Critical Capabilities Report for the new Digital Communications Governance and Archiving category, Theta Lake was ranked #1 in the Regulatory Compliance, Investigations, and Internal Analytics & Insights Use Cases.
Marc Gilman brings a unique perspective on Digital Communications Governance and Archiving. As General Counsel and VP of Compliance at Theta Lake, Marc provides strategic guidance on regulatory issues, manages commercial engagement and the intellectual property portfolio, and advises on product innovation. He also serves as an adjunct professor at Fordham University School of Law, where he teaches on compliance, technology, and financial services.
With previous legal and compliance roles at Morgan Stanley and experience as a litigation associate at Schiff Hardin LLP, Marc speaks regularly at industry events on topics like the use of AI for compliance oversight, cybersecurity, cloud telephony and voice recording risk management, and regulatory trends. Don’t miss the opportunity to connect with him in person at the conference.
Stacey English is Director of Regulatory Intelligence for Theta Lake, a recognized leader in Digital Communications Governance. She has over 25 years' experience in financial services compliance and technology as both a regulator for the now FCA and practitioner in global banks and insurers. Stacey led Regulatory Intelligence for Thomson Reuters for more than a decade providing regulatory insight and industry research for financial services firms worldwide. She’s also a qualified accountant, a published author on conduct and accountability and provides expert guidance to the Cambridge Centre For Alternative Finance as an Honorary Fellow.
Matthew Carey is a product leader at Theta Lake, specializing in voice surveillance and compliance controls. With over two decades of experience in Capital Markets and Investment Banking technology at TD Bank and Mizuho Capital Markets, he has led global infrastructure initiatives focused on Unified Communications, Compliance, and Trading Floor Voice solutions. His work has centered on enabling secure, compliant, and high-performance communication environments that empower users and strengthen operational resilience across leading financial institutions.
Speaking Sessions You Won't Want to Miss
🕙 Tuesday, Nov. 11 | 10:35 AM
Roundtable with Stacey English, Director of Regulatory Intelligence
Ensuring surveillance strategies manage ever evolving ecomms
🕙 Tuesday, Nov. 11 | 11:30 AM
Streamed Keynote Address by Devin Redmond, CEO & Co-Founder
Track: NFR Innovation & Technology
🕙 Wednesday, Nov. 12 | 2:45 PM
Streamed Panel Discussion with Matthew Carey, Product Management Leader
Rethinking Voice Surveillance as a Strategic, Scalable, and AI-Enabled Function
Meet with us at XLoD to see how we help firms:
✅ Identify and mitigate communication risks across voice, video, chat, and email
✅ Streamline supervision and eComms, aComms, and vComms review workflows
✅ Prepare for regulatory inquiries with full context, search and explainability
✅ Stay compliant with our patented, AI technology that scales as you grow
Learn how Theta Lake’s modern technology helps identify compliance risks with built-in reconciliation and data health checks, ensuring you avoid costly recordkeeping fines and penalties.
Explore how financial firms can improve compliance outcomes, reduce resource drains, and evidence risk reduction with more complete investigations, more effective detections, and more efficient reviews
Have a discussion with our experts and discover how our technology seamlessly integrates with your existing compliance and communication tools to optimize your workflows.
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