Industry
AI Governance for Financial Services
AI governance is a regulatory imperative in financial services. The cost of getting it wrong is measured in penalties, reputational damage, and lost institutional trust.
The Challenge
Navigating AI risk in Financial Services.
01
Model risk without governance
AI-driven models in credit, trading, fraud detection, and customer service create significant model risk when deployed without proper documentation, validation, or oversight frameworks.
02
Shadow AI across the organization
Employees and business units are deploying AI tools in underwriting, research, and customer analytics outside of IT and compliance visibility. Most institutions cannot inventory what is running.
03
Regulatory pressure from multiple directions
SEC guidance on AI in investment advice, OCC model risk management expectations, FFIEC examination procedures, and FINRA oversight are converging. Examiners are asking questions organizations cannot yet answer.
How We Help
Discover. Govern. Operate.
We inventory every AI system across your institution, from vendor-supplied models to internally built tools. We classify each by risk tier, data sensitivity, and regulatory exposure under applicable financial services frameworks.
We build the model risk management policies, AI use standards, and control frameworks your institution needs. Aligned to OCC SR 11-7 model risk guidance, SEC AI requirements, FFIEC expectations, and FINRA standards. We establish data governance controls that govern how AI systems access customer financial data, trading information, and proprietary models.
We run your ongoing AI governance program, including model validation oversight, vendor AI assessments, regulatory examination preparation, and board-level reporting on AI risk.
Regulatory Landscape
Frameworks that apply to you.
SEC AI Guidance
Staff bulletins and examination priorities addressing AI use in investment advisory, trading, and client communications.
OCC / SR 11-7
Model risk management guidance covering model development, validation, and ongoing monitoring requirements for regulated institutions.
FFIEC
Interagency examination guidance on technology risk and model governance applicable across banking regulators.
FINRA
Rules and guidance on supervisory systems, algorithmic trading, and AI-assisted customer communications.
ISO 42001
International standard for AI management systems providing a certifiable governance framework.
Get Started
Ready to govern AI responsibly?
Book a complimentary 30-minute discovery call.
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