Banks, investment firms, and financial services companies are deploying AI across credit decisioning, compliance monitoring, and operations — but governance frameworks are lagging. SEC, OCC, and CFPB examiners are asking questions your teams can't answer yet.
Financial services AI deployments are outpacing the governance programs needed to protect them. Examiners, auditors, and enforcement agencies are catching up fast.
AI models in credit decisioning, fraud detection, and customer risk scoring require SR 11-7-level model risk management. Most firms have model inventories — few have AI-specific governance overlays.
AI-driven underwriting and pricing decisions create disparate impact risk under ECOA, Fair Housing Act, and UDAP. Without explainability and bias audit programs, you're exposed in every examination.
Vendor AI embedded in your operations — KYC tools, AML platforms, robo-advisors — creates governance responsibility you can't discharge by pointing at the vendor's SOC 2.
Altiri's framework applies proven GRC methodology to AI governance — incorporating NIST CSF 2.0 cybersecurity controls alongside NIST AI RMF — giving your risk, compliance, and technology teams a defensible program that holds up under examination.
GRC is the bridge between cybersecurity risk and business compliance decisions. Read: GRC & Cybersecurity — NIST CSF Guide →
Catalog all AI and ML models across your organization. Classify by risk tier, regulatory exposure, and data sensitivity — aligned to SR 11-7 and NIST AI RMF.
Map your AI programs against current and emerging regulatory expectations across OCC, CFPB, SEC, and Federal Reserve guidance. Identify priority gaps before examiners do.
Build AI governance policies, model risk management overlays, explainability requirements, and third-party AI vendor due diligence frameworks.
Fractional Chief AI Officer providing executive-level AI governance leadership — board briefings, examiner preparation, and regulatory horizon scanning.
"Financial services AI risk isn't hypothetical anymore — examiners are asking direct questions about model inventories, explainability, and third-party AI risk. The institutions that have defensible answers today built their governance programs before the exam, not during it."
Built SaaS products for hedge fund and private equity fund administration — deep familiarity with the compliance, reporting, and risk management requirements of alternative investment firms.
Executive operating background brings financial services governance from a business perspective — not just a technical one. Understands board risk appetite, audit committee expectations, and examiner relationships.
Built governance, risk, and compliance programs for financial services clients across banking, investment management, and fintech. Translated complex regulatory requirements into operational frameworks.
Start with a free AI Readiness Assessment — understand your current governance posture, highest-risk AI models, and priority remediation path before an examiner asks for it first.
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