Financial Services
AI Governance for Banks, Investment Firms & Fintech. Scale AI confidently while maintaining compliance with SEC, FINRA, OCC, CFPB, and EU AI Act requirements.
The Challenge
Financial services organizations face unprecedented pressure to deploy AI while navigating a complex web of regulatory requirements. A single non-compliant communication can trigger SEC enforcement actions, FINRA fines, or CFPB investigations—with penalties reaching into the millions.
Regulatory Complexity
5+ regulatory bodies with overlapping and sometimes conflicting requirements
Scale Challenge
100,000+ AI-generated communications daily requiring compliance review
Competitive Pressure
Fintech disruptors deploying AI faster while incumbents struggle with compliance
Proven Results
A leading financial services organization achieved within the first year of EthiCompass deployment:
7-Dimensional Compliance Analysis
Every AI output is evaluated across seven critical dimensions for financial services compliance.
Accuracy
Factual correctness of financial information
Bias
Fair treatment across demographics
Harmlessness
Prevention of harmful recommendations
Privacy
PII and account data protection
Transparency
Clear disclosure and explainability
Coherence
Logical consistency in advice
Robustness
Resilience against manipulation
Critical Use Cases
Deep dive into how EthiCompass protects financial services AI across key applications.
- Suitability violationsSEC enforcement, client losses
- Disclosure failuresForm ADV violations, regulatory action
- Performance misrepresentationAdvertising rule breaches
- Fiduciary duty breachesClient lawsuits, license revocation
- Real-time suitability scoring against client risk profiles
- Automated disclosure verification and gap detection
- Performance claim validation against actual returns
- Fiduciary language analysis and documentation
Multi-Regulatory Coverage
Financial services face overlapping regulatory requirements. EthiCompass provides unified compliance across all major regulators.
Implementation Roadmap
Typical 12-week implementation for enterprise financial services organizations.
Phase 1: Foundation
Weeks 1-4- Integration with existing AI systems and workflows
- Regulatory rule engine configuration
- Baseline compliance assessment
- Stakeholder training and onboarding
Phase 2: Optimization
Weeks 5-8- Custom threshold calibration by business line
- Escalation workflow refinement
- Dashboard and reporting customization
- Compliance team workflow integration
Phase 3: Scale
Weeks 9-12- Enterprise-wide rollout
- Advanced analytics and trending
- Regulatory examination preparation
- Continuous improvement protocols
Enterprise Security & Compliance
Built for the most demanding financial services security requirements.
SOC 2 Type II
Annual certification
ISO 27001
Information security
GDPR Ready
Data protection compliant
Audit Trail
Complete logging
Ready to Strengthen Your AI Governance?
Schedule a confidential executive briefing to understand how EthiCompass can strengthen your AI governance posture and prepare your organization for regulatory examination.