AI Governance & Compliance Advisor
Sector-based AI policy management
Finance
Objective
Ensure all AI systems are governed through a structured lifecycle framework enabling transparency, accountability, and regulatory compliance.
Controls
- Maintain centralized AI system inventory with versioning and ownership
- Classify models based on financial risk exposure
- Implement approval workflows prior to deployment
- Ensure audit logging of all model decisions
Evidence
- Model documentation and architecture design
- Training dataset lineage reports
- Approval records and governance sign-offs
- System audit logs
Ownership
Chief Risk Officer, AI Governance Committee
Review Cycle
Quarterly and upon major model changes
Regulatory Mapping
- EU AI Act (High Risk Systems)
- GDPR Article 22
- Basel Model Risk Guidelines
Objective
Identify, assess, and mitigate risks associated with AI-driven financial decisions.
Controls
- Perform quarterly AI risk assessments
- Implement model validation frameworks
- Define incident escalation procedures
Evidence
- Risk assessment reports
- Validation test results
- Incident logs and response records
Ownership
Risk Management Team
Review Cycle
Quarterly
Regulatory Mapping
- Basel III
- EU AI Act Risk Management Requirements
Healthcare
Objective
Protect patient data integrity, confidentiality, and traceability across AI systems.
Controls
- Encrypt all patient data in transit and at rest
- Implement role-based access control
- Maintain full audit trails for data usage
Evidence
- Access control logs
- Encryption standards documentation
- Audit trail reports
Ownership
Chief Data Officer
Review Cycle
Semi-annually
Regulatory Mapping
- HIPAA
- GDPR
Objective
Ensure medical AI decisions are accurate, explainable, and clinically safe.
Controls
- Validate models using clinical datasets
- Implement explainability tools
- Conduct bias testing across demographics
Evidence
- Validation reports
- Explainability outputs
- Bias testing documentation
Ownership
Clinical AI Review Board
Review Cycle
Before deployment and annually
Regulatory Mapping
- EU AI Act
- Medical Device Regulations
Retail
Objective
Ensure customers are informed about AI-driven decisions and interactions.
Controls
- Disclose AI usage in customer interactions
- Provide explanations for recommendations
- Maintain decision logs
Evidence
- Customer disclosures
- Recommendation logs
- UX documentation
Ownership
Customer Experience Team
Review Cycle
Annually
Regulatory Mapping
- GDPR Transparency Principles
Objective
Ensure third-party AI vendors comply with security and regulatory requirements.
Controls
- Conduct vendor risk assessments
- Require contractual compliance clauses
- Monitor vendor performance
Evidence
- Vendor contracts
- Assessment reports
- Security certifications
Ownership
Procurement and Risk Team
Review Cycle
Annually
Regulatory Mapping
- GDPR
- EU AI Act
Manufacturing
Objective
Protect AI systems from unauthorized access and cyber threats.
Controls
- Implement multi-factor authentication
- Monitor system access logs
- Segment AI infrastructure
Evidence
- Access logs
- Security audit reports
- Network architecture diagrams
Ownership
IT Security Team
Review Cycle
Quarterly
Regulatory Mapping
- ISO 27001
Objective
Detect and respond to AI system failures in real time.
Controls
- Implement monitoring dashboards
- Define incident response workflows
- Log all system anomalies
Evidence
- Incident reports
- Monitoring logs
- Response timelines
Ownership
Operations Team
Review Cycle
Monthly
Regulatory Mapping
- ISO 22301
Public Sector
Objective
Ensure full traceability and accountability of AI systems used in public services.
Controls
- Maintain complete documentation of AI systems
- Conduct regular compliance audits
Evidence
- Audit reports
- System documentation
Ownership
Government Oversight Body
Review Cycle
Annually
Regulatory Mapping
- EU AI Act
- Public Accountability Laws
Objective
Ensure public visibility into AI decision-making processes.
Controls
- Publish transparency reports
- Provide explainable outputs
Evidence
- Public reports
- Decision explanations
Ownership
Public Communications Office
Review Cycle
Annually
Regulatory Mapping
- Freedom of Information Regulations