AI-Enabled Compliance Implementation
The engagement arm where digital compliance officers sit inside your workflow, drafting under human sign-off.
The operating layer of the firm. Digital compliance officers — named agents that sit inside your workflow and carry cited reasoning into every step — shoulder recurring compliance work while partners remain accountable. Evidence is captured where the work already happens.
Outcomes we deliver
Each outcome is a signed, dated artifact your regulator, your auditor and your board can read — and that your practitioners can keep working with long after we walk away.
Compliance agents in this pillar
Each agent is bounded, instrumented and auditable. Our specialists direct, review and sign off; the agents do the mechanical work at a multiple of the pace of traditional firms.
Maps your existing controls clause by clause against the frameworks your portfolio answers to, with gap analysis and evidence routing.
Assembles regulator-readable evidence packs: PDF, Excel, JSON. Signed, dated, tamper-evident and portable across supervisors.
Routes HITL decisions — tiering, validation sign-off, deployment gates, exception approval — to named owners with audit trail.
Orchestrates the intake of new AI use cases: scoping interview, use-case classification, risk triage against your tiering rubric, routing to the right pillar.
Produces the attestation artifacts your second line signs: control design documentation, operating effectiveness evidence, exception register entries, management assertions.
Frameworks we cover in this pillar
One control library, mapped clause by clause across the regimes below. Answer many supervisors with one artifact set.
AI Management System Standard
Published December 2023The certifiable AI management system standard. Plan, Do, Check, Act across the AI lifecycle.
Open framework →Information Security Management System
2022 revisionThe ISMS baseline every regulated AI deployment is expected to sit on top of.
Open framework →Model Risk Management Guideline
Effective May 1, 2027The 17-field Appendix A model inventory. Applies to FRFIs across all model types — traditional, generative, agentic.
Open framework →Regulation (EU) 2024/1689
High-risk regime live August 2, 2026Risk-tiered obligations, Article 15 accuracy/robustness/cybersecurity, Annex IV technical file, GPAI model rules.
Open framework →AI Risk Management Framework
Published January 2023 · GenAI Profile July 2024Govern / Map / Measure / Manage. Profileable to any jurisdictional overlay.
Open framework →Digital Operational Resilience Act
Effective January 17, 2025ICT risk management, incident reporting, third-party oversight including AI service providers.
Open framework →Recommended playbooks
Each playbook walks from first discovery through artifact. Phases, controls, evidence. Agents assist the mechanical steps; specialists own the sign-off.
OSFI E-23 Readiness Playbook
Stand up the 17-field Appendix A model inventory, map controls to the six principles, and produce the artifact set your supervisor will read before the meeting.
Read the playbook →EU AI Act · AssessmentEU AI Act High-Risk System Playbook
Classify use cases against Annex III, build the Article 9 risk management system, and compile the Annex IV technical file your conformity assessment will depend on.
Read the playbook →ISO/IEC 42001 · ControlsISO/IEC 42001 AIMS Stand-Up Playbook
Build a certifiable AI Management System: scope, policy, objectives, risk, controls, audit. Mapped to your portfolio.
Read the playbook →Cross-jurisdiction · DocumentationSR 11-7 → OSFI E-23 Crosswalk Playbook
For firms operating across US and Canadian supervisory perimeters, one validation file that answers both.
Read the playbook →NIST AI RMF 1.0 · AssessmentNIST AI RMF Profile Playbook
Govern / Map / Measure / Manage — profiled to your sector, your use cases and the frameworks your regulators read.
Read the playbook →Cross-framework · ControlsAgentic AI Governance Playbook
Multi-step autonomous agents, tool-calling chains, and the oversight these systems demand. Agent cards, action budgets, kill switches.
Read the playbook →Cross-framework · DocumentationRAG Assurance Playbook
Retrieval-augmented generation has its own attack surface — source provenance, index drift, poisoning risk. Control it.
Read the playbook →Cross-framework · VendorFoundation Model Due Diligence Playbook
Bringing a GPAI, Claude, GPT, Gemini, Llama or sovereign model into scope — the diligence a regulated deployer is now expected to perform.
Read the playbook →Cross-framework · MonitoringContinuous Control Monitoring Playbook
Drift, performance, outcome and complaint monitoring in one pipeline — outputs a supervisor can act on.
Read the playbook →DORA · ControlsDORA for AI Systems Playbook
ICT risk management and incident reporting where AI is in the critical path — for EU-facing financial entities.
Read the playbook →Stand up ai-enabled compliance implementation on an artifact your regulator will read.
Tell us where your portfolio sits today. We will map the frameworks, deploy the compliance agents, and put our specialists beside your second line.