AI Governance for Financial Services
Navigate complex regulatory requirements while safely deploying AI. Expert managed services for SOX, PCI-DSS, SEC regulations, and emerging AI compliance frameworks.
Unique AI Challenges in Finance
Financial institutions face unprecedented complexity deploying AI while maintaining regulatory compliance
Regulatory Scrutiny
Multiple overlapping regulations: SOX, PCI-DSS, SEC, FINRA, plus emerging AI-specific rules from regulators.
- Model risk management requirements
- Algorithmic bias in lending/trading
- Explainability for auditors
Data Sensitivity
Financial data requires the highest security and privacy protections with strict access controls and audit trails.
- PII and financial data in prompts
- Third-party AI provider risks
- Cross-border data transfer
Model Risk
AI hallucinations and errors can result in financial losses, market manipulation, or regulatory penalties.
- Incorrect financial advice
- Trading algorithm errors
- Compliance calculation mistakes
Relevant Compliance Frameworks
We ensure your AI systems meet all financial services regulatory requirements
US Regulations
- SOX (Sarbanes-Oxley)
Financial reporting controls and data integrity
- PCI-DSS
Payment card data security standards
- SEC Regulations
Securities trading and disclosure requirements
- FINRA Guidelines
Broker-dealer compliance and supervision
International Standards
- EU AI Act
High-risk AI system requirements for finance
- ISO 42001
AI management system standards
- GDPR
Data protection for EU customers
- Basel III/IV
Operational risk and model governance
Managed Services for Financial Institutions
Industry-specific implementations of our AI governance platform
Model Risk Management
Comprehensive AI model validation, ongoing monitoring, and governance aligned with SR 11-7 and OCC guidelines.
- Model inventory and classification
- Ongoing performance monitoring
- Validation documentation
Financial Data Governance
Secure handling of sensitive financial data in AI systems with encryption, access controls, and audit trails.
- PII/PCI data masking
- Transaction data protection
- Third-party risk management
Real-Time Compliance Monitoring
Continuous monitoring for regulatory violations, bias, and errors in AI-driven financial processes.
- Fair lending compliance
- Trading algorithm oversight
- Automated alerts and remediation
Financial Services Audit Prep
Maintain audit-ready evidence for SOX, SEC, and regulatory examinations with automated documentation.
- SOX controls testing
- Regulatory exam support
- Continuous evidence collection
Model Change Control
Rigorous change management for AI model updates with validation, testing, and approval workflows.
- Impact analysis
- Staged rollouts
- Instant rollback capabilities
AI Spend Optimization
Track and optimize AI costs across business units, ensuring ROI while maintaining compliance.
- Department-level tracking
- Model optimization
- Budget controls and alerts
Pass SOX & SEC audits
Reduce time to market
Lower AI operational costs
Proactive risk mitigation
Ready to Deploy AI Safely in Your Financial Institution?
Let our experts handle compliance while you innovate. Schedule a consultation to discuss your specific regulatory requirements.