04 · Treat and evidence · Financial services

Evaluate findings and remediation

Controls must protect customers before launch and create evidence that Risk, Compliance and the accountable executive can rely on.

FINANCIAL SERVICES WORKING CONTEXT

Set financial-services controls

A regulated firm is using AI in a process that can affect customer access, pricing or treatment. Consumer outcomes, model risk and explainability are board concerns.

Evidence bar

Validation sign-off
Customer communication and redress process
Monitoring dashboard thresholds

REVIEW CHECKPOINTS

Findings Register

Require independent validation before material releaseCreate manual review and customer challenge controlsSet monitoring thresholds for drift, complaints and overridesSeparate fact, risk and recommendationAssign realistic owners and datesValidate closure evidence

Findings Register

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Finding rating