AI governance built for financial regulations
From analyst request to SEC examination. Replace spreadsheets and email chains with an auditable, automated workflow.
Employee Request Portal
Branded intake for AI tool requests. Captures vendor, use case, data classification (public, internal, client, MNPI), and business justification. Employees get responses in hours, not weeks.
Financial Risk Scoring
Auto-score tools against SOC 2, SOX, GLBA, FINRA, SEC guidance, and EU AI Act. Instantly flag tools that access client PII, portfolio data, or material nonpublic information.
Multi-Team Approval Workflows
Route reviews to compliance, legal, IT security, and risk based on data sensitivity. Parallel or sequential. Auto-approve low-risk tools. Committee review for high-risk.
Regulatory Framework Library
Pre-built assessment templates for every major financial regulation. Map controls to AI-specific risks. Add internal policies for firm-specific requirements.
AI Vendor Registry
Single source of truth for every approved, denied, and pending AI tool across the firm. Track owners, data access, certifications, and renewal dates.
Board & Examiner Reporting
Dashboard showing approval velocity, tools by risk tier, firm-wide adoption. One-click export for board presentations and SEC/FINRA examinations.
SEC-Ready Audit Trail
Every action logged — requests, reviews, approvals, denials, conditions. Timestamped with user attribution. Formatted for regulatory examiners.
Vendor Monitoring & Alerts
Get notified when approved vendors change terms, lose SOC 2 certification, suffer breaches, or get sanctioned. Continuous third-party risk monitoring.
Enterprise Integrations
Slack, Teams, Jira, ServiceNow, Okta. Connect to deal management platforms, portfolio systems, and existing GRC tools.