Finance Resources
AI Implementation Roadmap - Financial Services Edition
Proven 120-day implementation playbook for deploying AI in regulated financial services environments. Addresses SR 11-7 model validation requirements, fair lending testing and documentation, regulatory examination readiness, and third-party vendor management. Three-phase approach: Foundation (Days 1-30), Development & Validation (Days 31-75), Deployment (Days 76-120). Includes MRM integration, budget planning, and success metrics. Built for banks, asset managers, insurers, and fintech companies.
AI Ethics Guidelines - Financial Services Edition
Comprehensive AI ethics framework for financial institutions addressing the moral responsibilities beyond legal compliance. Covers fair lending ethics (preventing discrimination in credit decisions), algorithmic trading ethics (market fairness, stability), consumer protection ethics (suitability, transparency), and financial inclusion. Includes ethics review framework, bias detection methodologies, explainability requirements, and case studies from financial AI.
AI Security Blueprint - Financial Services Edition
Enterprise AI security architecture for banks, trading firms, and financial institutions. Comprehensive framework covering model security, trading system AI protection, fraud and AML AI security, data protection, and regulatory compliance (FFIEC, OCC, SEC). Addresses financial-specific threats including market manipulation, model theft for competitive advantage, and attacks on algorithmic trading. Aligned with SR 11-7 model risk requirements and financial services cybersecurity standards.
AI Risk Assessment Matrix - Financial Services Edition
Comprehensive AI risk assessment framework for financial institutions aligned with SR 11-7 model risk management and fair lending requirements. Covers model risk assessment (conceptual, implementation, data, performance), fair lending risk (disparate impact, proxy discrimination), algorithmic trading risk, and third-party AI vendor assessment. Includes risk scoring methodology, mitigation strategies, risk register template, and monitoring procedures. Built for banks, asset managers, and fintech.
AI Governance Framework - Financial Services Edition
Comprehensive AI governance framework for financial institutions including banks, asset managers, insurers, and fintech companies. Addresses SR 11-7 model risk management integration, fair lending requirements (ECOA, FCRA), SEC and FINRA compliance, and fiduciary responsibilities. Covers organizational structure with three lines of defense, financial services policy templates, model risk management alignment, and governance maturity model. Built for CROs, CAIOs, and compliance leaders.