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Financial Services

Financial Services teams operate responsibly with Legalithm.

Deploy AI and compliance programs aligned with ECB, OCC, FCA expectations—complete with automation, evidence, and expert guidance.

Outcomes delivered for financial services leaders.

Reduction in AI audit time
↓ 80%
Implementation timeline
6 weeks
Stakeholder coverage
Legal · Compliance · Risk · AI

Regulatory headwinds we neutralize.

Legalithm provides pre-built workflows, templates, and reporting tailored to the pressures your teams face every day.

Meeting ECB & OCC AI governance expectations

Automate supervisory-compliant risk assessments, validation workflows, and board-ready reporting.

Coordinating Basel and cross-border data controls

Track jurisdictional obligations, localization requirements, and transfer attestations in one workspace.

Documenting algorithmic decisioning for audits

Maintain traceable model lineage, approval evidence, and decision rationales tied to every model change.

Industry-tuned capabilities.

Combine automation, controls, and analytics designed specifically for your governance program.

Model governance aligned with SR 11-7

Centralize AI/ML inventory, risk tiering, and validation packs aligned to supervisory guidance.

Stress testing & model validation workflows

Run scenario testing, challenger models, and sign-offs with immutable audit logs and reviewer attestations.

Regulator-ready evidence automation

Assemble FINRA, OCC, and internal audit packages instantly with mapped controls and supporting documentation.

Standing up your program with Legalithm.

  1. Assess & prioritize

    Weeks 1-2

    Inventory AI systems, regulatory scope, and operational risks unique to financial services.

  2. Configure playbooks

    Weeks 3-4

    Activate industry templates, localize policies, and connect evidence sources for continuous assurance.

  3. Enable stakeholders

    Weeks 5-6

    Train legal, compliance, risk, and AI teams on their dedicated workspaces and approval workflows.

  4. Monitor & prove

    Ongoing

    Automate reporting for regulators and leadership while surfacing improvements with analytics.

Financial Services customers in their own words.

“With Legalithm we reduced AI model audit prep from months to days, while satisfying ECB and OCC expectations for transparency.” — Chief Compliance Officer, Global Retail Bank

Financial Services resources & playbooks

Financial services AI governance blueprint

Guide

Playbook for aligning AI model risk management with SR 11-7 and EU guidelines.

View resource →

Webinar: Automating Basel & GDPR evidence

Webinar

How leading banks standardize cross-border compliance in a single platform.

View resource →

Checklist: AI audit readiness

Checklist

Critical documentation and controls to gather before regulator examinations.

View resource →

Download industry checklist

See the key milestones and best practices for building compliant AI programs in your industry.

Financial Services Compliance Solution — Legalithm