AI governance for financial services
AI you can evidence to your regulator, auditors and clients.
Financial services firms are adopting AI across advice, operations and client service. We help you use it well and keep the evidence your regulator, auditors and clients now ask for.
Where AI is arriving
AI is already working across your firm, often without a plan.
Client service
Assistants drafting client communications, summarising calls and answering routine queries.
Advice and research
Research, suitability notes and portfolio commentary drafted with AI support.
Operations
Copilots in Microsoft 365, and AI switched on inside your CRM and platform software.
Risk and compliance
AI reading documents, monitoring communications and flagging exceptions.
What others expect of you
Your clients and regulator will want to see how AI is controlled.
- Decisions involving AI that you can explain and evidence
- Good outcomes for clients, shown rather than asserted
- Oversight of the third parties whose AI you rely on
- Client data kept where it should be
For banks, lenders, wealth and advice firms, we help you use AI to give each adviser more time with clients, and keep evidence that supports your Consumer Duty outcomes monitoring, including how you look after customers in vulnerable circumstances. We also help you show how responsibility for your use of AI sits with your senior managers under the Senior Managers and Certification Regime, and how you oversee the third parties whose AI you rely on. Bring the latest AI question from your auditor, regulator or a corporate client to the walkthrough, and we will show you how we would answer it.
The questions to start with
Three questions for your board and senior managers.
AI helps your people work
Which tools are advisers and staff using, and what client data can they see?
AI does the work
Who owns each agent in operations and client service, and how would you know it had gone wrong?
AI becomes your business
Do you own the AI that shapes your proposition, and could you prove it to clients and investors?
Know what AI is running in your firm, and keep it governed.
Start with a 45-minute walkthrough on the framework and where your AI sits today, and agree the right first step with us.