AI Readiness Audit
Know Where You Stand
Before You Build
A 2-week diagnostic for financial services firms. We assess your AI maturity, map regulatory gaps across SEC, FINRA, and Treasury FS AI RMF, and deliver a prioritized roadmap — so you invest in the right initiatives, in the right order.
What's Included
Four deliverables designed to give your firm clarity, confidence, and a concrete path forward on AI — grounded in regulatory reality.
AI Maturity Assessment
Comprehensive evaluation of your firm's current AI capabilities, data infrastructure, and organizational readiness across every functional area — from client service to portfolio management to compliance.
Regulatory Gap Analysis
Detailed review against SEC, FINRA, and Treasury FS AI RMF requirements. We identify where your firm stands today, what gaps exist, and what regulators will expect at your next examination.
Prioritized Implementation Roadmap
A ranked, phased plan of AI initiatives tailored to your firm's risk appetite and business objectives. Each recommendation includes estimated effort, ROI, compliance considerations, and dependencies.
Executive Summary Report
Boardroom-ready deliverable summarizing findings, risk exposure, opportunities, and recommended next steps. Designed to secure leadership buy-in and inform budget allocation decisions.
How It Works
Four steps over two weeks. Minimal disruption to your team, maximum insight for your leadership.
Discovery Call
90-minute deep dive with your leadership team to understand your firm's goals, current tech stack, regulatory posture, and AI aspirations.
Data Collection
We review your systems, workflows, compliance documentation, and vendor landscape. Structured questionnaires and secure document sharing — no disruption to operations.
Analysis
Our team evaluates AI maturity across 8 dimensions, maps regulatory gaps, and models implementation scenarios ranked by impact and feasibility.
Deliverable
You receive the full audit package: maturity scorecard, regulatory gap report, prioritized roadmap, and executive summary — plus a 60-minute readout session.
Why Ghost
Most consultancies sell generic AI assessments. We built ours for the firms that can't afford to get it wrong.
Framework-Backed Methodology
Our audit is built on established AI maturity frameworks adapted specifically for financial services — not a generic checklist. Every assessment maps to recognized industry standards.
Regulatory Expertise
We work exclusively with financial services firms and understand the nuances of SEC, FINRA, and Treasury AI requirements. Your audit reflects the regulatory reality you actually face.
Boutique Attention
No junior analysts running templates. Your audit is conducted by senior consultants who understand both the technology and the business of wealth management.
Fixed-Fee Engagement
$2,500
One-time fee. Two-week engagement. No hourly billing, no scope creep, no surprises. You know exactly what you're paying and exactly what you're getting.
- AI Maturity Assessment
- Regulatory Gap Analysis (SEC, FINRA, Treasury FS AI RMF)
- Prioritized Implementation Roadmap
- Executive Summary Report
- 60-Minute Readout Session
Ready to See Where You Stand?
The firms that move first on AI governance don't just avoid risk — they unlock competitive advantage. Start with clarity.
Frequently Asked Questions
What size firms is this audit designed for?
The AI Readiness Audit works for RIAs, broker-dealers, and wealth management firms of all sizes — from $200M AUM boutiques to multi-billion dollar enterprises. We calibrate the assessment to your firm's complexity and regulatory profile.
How is this different from the $997 Readiness Audit?
The $2,500 audit is a deeper, more comprehensive engagement. It includes formal regulatory gap analysis against SEC, FINRA, and Treasury FS AI RMF frameworks, a structured AI maturity assessment across 8 dimensions, and a more detailed implementation roadmap with compliance-specific guidance.
What do we need to prepare before the audit?
Minimal preparation required. We'll send a pre-engagement questionnaire and a secure document request list. Most firms spend less than 2 hours on preparation before the discovery call.
Do we need to commit to implementation afterward?
No. The audit is a standalone engagement. You own all deliverables and can execute internally, engage Ghost for implementation, or bring the roadmap to another partner. Many firms use the audit to build their business case before committing to a larger initiative.
Can this audit satisfy regulatory examination requirements?
The audit deliverables — particularly the regulatory gap analysis and maturity assessment — provide documented evidence of AI governance diligence. While no audit guarantees exam outcomes, having these artifacts demonstrates proactive compliance posture to examiners.
What's the exact timeline?
Two weeks from kickoff to final delivery. Discovery call in Week 1, data collection and analysis in Week 1–2, deliverable and readout session at the end of Week 2.