ShieldAIShieldAI
Built for Financial Services Compliance Teams

Your Team Is Using AI Tools.
Does Compliance Know?

Analysts are pasting deal data into ChatGPT. Associates are uploading client financials to AI tools. ShieldAI gives your compliance team one system to evaluate, approve, and monitor every AI vendor -- before they touch regulated data.

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No credit card required · Free 14-day trial · SOC 2 compliant

Banks & Credit Unions
GLBA, SOX, BSA/AML compliance for AI tools
PE & Asset Management
SEC, FINRA, MNPI controls for AI adoption
Insurance
State insurance regs, NAIC model laws for AI
Fintech & Payments
PCI DSS, state licensing, data protection
The Problem

Shadow AI in financial services is a regulatory time bomb

0%

of financial services employees use AI tools compliance hasn’t vetted

$0M

average cost of a data breach in financial services (highest of any industry)

SEC

has named AI governance a 2026 examination priority for registered firms

Platform

AI governance built for financial regulations

From analyst request to SEC examination. Replace spreadsheets, email chains, and hope.

Intake & Request Portal

Analysts, traders, and ops staff submit AI tool requests through a branded portal. Every request captures the vendor, use case, data classification, and client exposure automatically.

Financial Risk Assessment

Auto-score AI tools against SOC 2, SOX, GLBA, FINRA, SEC guidance, and EU AI Act. Flag tools that touch client PII, portfolio data, or material nonpublic information.

Multi-Team Review Workflows

Route approvals through compliance, legal, IT security, and risk in parallel or sequence. Custom workflows per risk tier -- fast-track low-risk, committee-review high-risk.

AI Vendor Registry

One system of record for every AI tool across the firm. Track approvals, denials, data access, vendor certifications, renewal dates, and compliance status.

Audit-Ready Reporting

Export full audit trails as PDF or CSV -- formatted for SEC and FINRA examiners. Every action logged with timestamps, users, and rationale.

Process

From request to decision in hours, not weeks

Replace the 6-week manual vendor review with an automated, auditable workflow.

STEP 01

Employee Submits Request

An analyst wants to use an AI research tool. They submit a request -- ShieldAI auto-enriches vendor data, certifications, and known risks.

STEP 02

Automated Risk Scoring

ShieldAI scores the tool against your firm's compliance framework. Does it touch client data? MNPI? Is the vendor SOC 2 certified? Results in minutes.

STEP 03

Approve, Deny, or Condition

CCO approves with conditions ('no client PII'), denies with rationale, or escalates to committee. Full audit trail for SEC examiners.

Pricing

Costs less than one regulatory finding

One unapproved AI tool leaking client data costs more than a lifetime of ShieldAI.

Starter

For RIAs and small firms getting AI governance started.

$499 /mo
  • Up to 50 AI tool reviews/mo
  • 3 reviewer seats
  • SOC 2, SOX & GLBA frameworks
  • Basic risk scoring
  • Email notifications
  • Audit log export
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MOST POPULAR

Professional

For PE firms and asset managers scaling AI adoption.

$1,499 /mo
  • Unlimited reviews
  • 15 reviewer seats
  • All financial compliance frameworks
  • Custom workflows
  • Slack & Teams integration
  • API access
  • Priority support
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Enterprise

For banks and institutions with complex regulatory needs.

Custom
  • Unlimited everything
  • SSO / SAML
  • Custom integrations
  • Dedicated CSM
  • On-prem deployment option
  • SLA guarantee
  • FINRA & SEC exam support
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FAQ

Frequently asked questions

Compliance officers, CISOs, and GCs at financial services firms -- banks, PE firms, hedge funds, RIAs, insurance companies, and fintechs. Anyone responsible for vetting AI tools that touch client data or regulated information.

SOC 2, SOX, GLBA, FINRA rules (3110, 3120), SEC guidance on AI use, CCPA, GDPR, and the EU AI Act. Enterprise plans support custom frameworks for internal policies and state regulations.

Yes. Every action is logged with timestamps, users, and rationale. Export full audit trails as PDF or CSV -- formatted for SEC and FINRA examiners.

ShieldAI flags any AI tool that could access or process MNPI. Tools with MNPI exposure are auto-escalated to high-risk review with mandatory compliance officer sign-off.

Professional plans include Slack, Microsoft Teams, Jira, and ServiceNow integrations. Enterprise plans get API access for connecting to internal compliance systems, deal management platforms, and portfolio tools.

ShieldAI auto-enriches vendor data -- SOC 2 reports, data residency, sub-processors, breach history, and terms of service analysis. Replaces the manual DDQ process for AI vendors.

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The SEC is watching. Are you ready?

Get AI governance in place before your next examination. Free 14-day trial.

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