AI Governance & Compliance
FINRA AI Governance
Compliance Package
Complete AI governance compliance for broker-dealers and RIAs. Governance framework, risk assessment, policy templates, staff training, and 12 months of ongoing support — delivered in 4–6 weeks.
AI Is Moving Faster Than Your Compliance Program
Your advisors use ChatGPT for client emails. Your ops team deployed an AI document processor. Your portfolio analytics run on machine learning models. But when FINRA asks how you govern all of it — what do you show them?
Regulatory Uncertainty
FINRA's AI expectations are evolving fast. Most firms don't know what 'adequate AI oversight' looks like until an examiner tells them they failed.
Documentation Gaps
Your firm uses AI tools daily — but can you produce a model inventory, validation records, and bias testing results by Friday? Most can't.
No Clear Ownership
Who owns AI governance at your firm? If the answer involves a shrug, FINRA examiners will notice. Accountability gaps are enforcement triggers.
Trusted by Financial Services Firms
“Ghost Consulting turned our ad-hoc AI usage into a documented, defensible governance program. When our FINRA exam came, we were ready.”
— Chief Compliance Officer, Mid-Market Broker-Dealer
Everything You Need for FINRA-Ready AI Governance — $7,500
Fixed-fee engagement. No hourly billing surprises. You get a complete governance program, not a generic template.
AI Governance Framework
- Board-level AI governance charter
- Role-based accountability matrix (RACI)
- AI use-case approval workflow
- Vendor AI risk evaluation criteria
- Model lifecycle management process
Comprehensive Risk Assessment
- Full AI tool and model inventory
- Risk classification by use-case (high/medium/low)
- Third-party AI vendor risk mapping
- Data lineage and privacy impact analysis
- Gap analysis against FINRA expectations
Policy & Documentation Templates
- AI Acceptable Use Policy
- Model Validation & Testing Procedures
- Bias Detection & Fairness Monitoring Plan
- Human Oversight & Escalation Protocols
- Incident Response Playbook for AI failures
Staff Training Program
- Compliance team AI governance training (live)
- Front-office AI usage guidelines
- Recorded training modules for onboarding
- Quarterly compliance update briefings
- Exam preparation guidance
12-Month Ongoing Support
- Dedicated compliance advisor
- Regulatory update alerts and impact analysis
- Quarterly governance review sessions
- Pre-exam readiness check
- Priority response for compliance questions
How It Works
From kickoff to exam-ready in 4–6 weeks. No disruption to your operations.
Discovery
We inventory every AI tool, model, and vendor your firm uses. No stone unturned.
Framework
We build your governance charter, accountability matrix, and approval workflows.
Documentation
Policies, procedures, and testing protocols — customized to your firm, not boilerplate.
Training & Support
Live training for your team, then 12 months of advisory support and regulatory updates.
Don't Wait for the Exam Letter
Firms that build AI governance proactively face fewer findings, lower remediation costs, and stronger regulator relationships. Start now.
Frequently Asked Questions
Who is this package designed for?
Broker-dealers, RIAs, and dual-registrants that use AI tools — whether for client communications, portfolio analysis, trade surveillance, or back-office automation. If your firm touches AI and is FINRA-regulated, this is for you.
How is this different from your $3,500 FINRA compliance package?
The $3,500 package covers core governance documentation and a 6-month monitoring period. This $7,500 package adds comprehensive risk assessment, full policy template library, live staff training, and 12 months of ongoing advisory support — everything you need for exam-ready compliance.
What's the timeline from kickoff to delivery?
Most engagements complete in 4–6 weeks. We start with discovery and inventory (Week 1–2), build your governance framework and policies (Week 2–4), deliver training and final documentation (Week 4–6), then transition to ongoing support.
Do we need to pause AI usage during the engagement?
No. We work alongside your existing operations. The goal is to build governance around what you're already doing — not to shut things down.
What if FINRA changes its requirements after delivery?
Your 12-month support includes regulatory update alerts. When FINRA publishes new guidance, we assess the impact on your framework and recommend adjustments — no additional fees during the support period.
Can this package help with SEC compliance too?
Yes. FINRA and SEC AI governance expectations overlap significantly. Our framework satisfies both regulators. For SEC-specific requirements (e.g., Reg S-P AI provisions), we can scope additional work if needed.