AI Governance & Compliance for Financial Services
Financial services is where AI governance is non-negotiable. You answer to SOC 2 auditors, the SEC and FINRA in the US, and OSFI in Canada, all while running KYC and AML programs that must show their work. Model risk governance under frameworks like SR 11-7 demands that every model be inventoried, validated, and monitored, and AI models are now squarely in scope. Examiners want auditability: who approved a model, what data trained it, how it is monitored, and what happens when it drifts. Ungoverned AI is an exam finding waiting to happen. We deliver the policies, controls, and evidence that let you adopt AI fast and still pass scrutiny.
AI Governance & Compliance, built for financial services
We stand up a model inventory covering every AI system, with documented purpose, owner, validation status, and risk tier aligned to SR 11-7 style model risk governance.
We map controls to SOC 2, SEC, FINRA, and OSFI expectations, then wire evidence collection into the deployment so audit artifacts generate themselves.
We build independent validation and challenger testing into the lifecycle, plus monitoring that catches drift and bias before it affects KYC, AML, or trading decisions.
We produce regulator-ready documentation: model cards, validation reports, and decision logs your second line and examiners can review directly.
Where it pays off in financial services
Model Risk Inventory
A living register of every AI model with risk tier, validation history, and owner, ready for examiners and internal audit at any time.
KYC/AML Explainability
Govern alert-generating models so every flag carries a documented rationale, satisfying both AML examiners and dispute reviews.
SOC 2 Evidence
Automated capture of access, change, and monitoring logs so AI systems pass SOC 2 audits without manual evidence gathering.
OSFI Alignment
Map AI controls to OSFI model risk and technology expectations for Canadian operations, with documentation in the language reviewers use.
Model validation and exam preparation that previously consumed quarters of analyst time compresses into a standing evidence pipeline that is always exam-ready.
Financial Services AI, answered
Yes. We inventory every AI model, assign risk tiers, run independent validation and challenger testing, and monitor for drift. The documentation and lifecycle controls are built to map onto SR 11-7 style expectations that your model risk function and examiners already apply.
We wire evidence collection directly into the AI deployment, so access logs, change records, and monitoring output are captured continuously. When a SOC 2 audit or regulatory exam arrives, the artifacts already exist instead of being assembled under deadline pressure.
It can. We map the same control set to SEC and FINRA expectations in the US and OSFI expectations in Canada. You maintain one governance program that produces documentation framed for whichever regulator is reviewing.
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Bring AI Governance & Compliance to your financial services team
Book a free consultation. We'll show you the highest-leverage place to start and exactly how we'd ship it.