In this episode, Chris Mohr sits down with Kelly Koscuiszka, co-chair of Schulte Roth & Zabel’s (now McDermott Will & Schulte) Investment Management Regulatory & Compliance Group, to explore how private fund firms are navigating the regulatory terrain of artificial intelligence, alternative data, and cybersecurity. Kelly discusses her unique journey from history major to legal expert and how that background informs her role advising on exam preparedness, emerging tech risks, and enforcement strategy.
Kelly has built her practice at the intersection of private fund regulation and emerging technology—handling SEC examinations, managing deficiency letters, and helping clients stay ahead with governance and compliance frameworks. She’s recognized as a leader in securities compliance and frequently presents on AI governance, valuation controls, and policy best practices across the fintech and investment adviser space.
In this conversation, you’ll hear:
How Kelly’s liberal arts background shaped her approach to tech regulation and compliance
Why compliance needs a meaningful seat at the table before AI is adopted firm-wide
Key exam considerations: documentation, training, governance committees, and showing your work
Common pitfalls in valuation controls, electronic communications, and emerging data use
How to approach AI washing, MNPI exposure, and fiduciary risk in private fund contexts
The importance of transparency, dialogue, and exam-focused governance in rapidly evolving technology environments
If you're advising or working at a private fund, or you're shaping compliance programs under new regulatory scrutiny, this episode cuts through the noise on AI and data governance with real-world clarity.
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