Governance Frameworks

AI Governance Frameworks That Regulators Expect

Deploying AI without governance is deploying risk without controls. We design governance frameworks that give your organization structure, accountability, and examiner-defensible documentation from day one.

Request a Governance Assessment

The Problem

Most organizations treating AI governance as an afterthought—or delegating it entirely to IT—are creating regulatory exposure. Without formal policies, defined roles, and documented processes, there is no defensible position when regulators ask "how do you govern AI?"

OCC, FFIEC, SEC, and state regulators increasingly expect AI governance structures comparable to existing model risk management and information security programs.

Four Pillars of AI Governance

Our governance frameworks are built on four interconnected pillars that create a complete, auditable system.

Policy Architecture

Acceptable use policies, model validation standards, and data governance rules tailored to your regulatory environment.

Roles & Accountability

Clear ownership structures—from board-level oversight to model owners—so every AI decision has a responsible party.

Review & Approval Processes

Stage-gate workflows for AI deployment: risk assessment, testing, approval, monitoring, and retirement.

Audit & Documentation

Structured documentation that demonstrates compliance to examiners, auditors, and stakeholders.

Aligned to Industry Standards

NIST AI Risk Management Framework (AI RMF 1.0)
ISO/IEC 42001 — AI Management System
OCC Model Risk Management (SR 11-7 / OCC 2011-12)
FFIEC Guidance on AI/ML in Financial Services
HHS AI Strategy and HIPAA AI Considerations
EU AI Act high-risk classification mapping

Build Governance Before Regulators Require It

A complimentary governance assessment identifies your gaps and provides a clear roadmap to examiner-ready AI governance.

Request an AI Compliance Readiness Assessment

Frequently Asked Questions

What is an AI governance framework?

An AI governance framework is a structured system of policies, roles, processes, and controls that guide how an organization develops, deploys, and monitors AI systems. It ensures accountability, regulatory compliance, and responsible AI use across the organization.

Do companies need AI governance policies?

Yes. Organizations using AI—especially in regulated industries—need governance policies to manage risk, satisfy regulatory expectations, and maintain stakeholder trust. Regulators including OCC, FFIEC, and the FTC increasingly expect documented AI governance comparable to existing risk management programs.

How do you prepare for AI regulation?

Start by inventorying all AI systems and classifying them by risk level. Build governance policies, assign accountability roles, implement testing and monitoring processes, and document everything. Organizations that build governance proactively are better positioned when regulations formalize.

Keep Going