Full course coming soon

AI Governance and Control Documentation for Financial Services

7 chapters · 31 lessons

1. 1. AI Inventory and Risk Classification Systems

   4 lessons

   Learn to identify, catalog, and classify AI use cases using risk-based frameworks that align with financial regulation.

2. 2. Governance File Construction and Evidence Packaging

   5 lessons

   Build comprehensive documentation packages that prove ownership, approval, and control for each AI system.

3. 3. Control Design and Human Oversight Structures

   4 lessons

   Design operational controls that define who reviews outputs, when overrides occur, and how exceptions escalate.

4. 4. Monitoring Loops and Drift Detection Procedures

   5 lessons

   Establish ongoing monitoring that tracks model behavior, data quality, and operational performance over time.

5. 5. Third Party AI and Vendor Risk Management

   5 lessons

   Structure contracts and oversight processes that ensure visibility, control, and audit rights for external AI providers.

6. 6. Domain Specific Compliance Patterns

   4 lessons

   Apply governance frameworks to credit, fraud, trading, and risk modeling use cases with domain specific requirements.

7. 7. Audit Preparation and Regulatory Interaction

   4 lessons

   Prepare evidence packages for supervisory review and respond effectively to regulatory inquiries about AI systems.