Fixed Fee · 3 Weeks · $7,500

AI Compliance
Readiness Assessment

Know exactly where your AI exposure is before your examiner asks the question you can't answer. Built for regulated institutions across Financial Services, Capital Markets, Insurance, and Healthcare.

See It In Action ↗ See Deliverables
3
Week Delivery
$7,500
Fixed · No Scope Creep
27
Years BFSI Depth
3
Deliverables Included
OCC, FDIC, NCUA, CFPB, SEC, FINRA, NAIC, and CMS examiners are now actively asking about AI governance. Most regulated institutions — banks, insurers, capital markets firms, and health systems — have no documented AI governance framework. This assessment gives you one — before the examination.
The Problem

Your AI exposure is larger than you think.

Vendors use AI in your name. Staff use consumer AI tools. Loan decisioning has ML models. Most institutions don't know where the risk actually lives.

Regulatory Visibility
Hidden AI Inventory
Third-party vendors — core banking, loan origination, AML screening, fraud detection — have introduced AI features into your environment. Most compliance teams don't have a complete inventory of what AI is operating in their name.
Governance Gap
No Documented Framework
FFIEC, FinCEN, OCC, and CFPB are publishing AI guidance. Examination teams are beginning to reference it. Most institutions have no AI governance policy, no model oversight register, and no staff AI use protocol.
Compliance Exposure
Fair Lending & BSA Risk
AI in underwriting, fraud screening, and AML creates explainability obligations (ECOA, Reg B) and adverse action documentation requirements that standard compliance programs were not designed to address.
What You Get

Three deliverables. Three weeks.

A complete written assessment — not a framework exercise. Specific to your institution, your vendors, and your examination context.

01
Week 1
AI Compliance Inventory
A complete map of every AI/ML system operating in your institution — internal builds, third-party vendor AI, and staff-adopted consumer AI — cross-referenced with the regulatory frameworks each system touches.
Discovery interviews: compliance officer, CTO, loan operations (3–4 sessions)
Vendor AI disclosure review and contract analysis
Regulatory mapping: BSA/AML · ECOA/Reg B · UDAAP · GLBA · state requirements
Staff AI tool usage documentation (ChatGPT, Copilot, vendor-embedded AI)
✓
Delivered: Structured AI inventory + regulatory exposure map — the documentation your examiner will ask for first.
02
Week 2
Risk Exposure Scorecard
Each AI use case scored against examination risk — with a clear priority ranking of where your institution is most exposed and where examiners are most likely to focus attention during their review.
Risk-scored matrix: High / Medium / Low examination vulnerability by use case
Fair lending AI explainability gap analysis (adverse action, disparate impact)
Third-party AI vendor oversight adequacy review
Comparison against current FFIEC AI examination expectations
Model validation requirements assessment (SR 11-7 applicability)
✓
Delivered: Executive risk scorecard — prioritized by examination severity, not theoretical compliance theory.
03
Week 3
Remediation Roadmap + Board Summary
A prioritized action plan your compliance team can execute immediately — plus a board-ready summary that demonstrates AI governance awareness to examiners, directors, and regulators.
30-day quick wins: policy templates, documentation gaps, vendor notification letters
90-day structural remediation: model validation, vendor contract amendments
12-month strategic roadmap: AI governance program build
Board-ready 2-page executive summary — written for directors, not compliance teams
AI Governance Policy draft (fully editable, jurisdiction-appropriate)
✓
Delivered: Written report + 60-min leadership readout + 30-day follow-up Q&A. You walk away with an examination-ready answer.
Engagement Timeline

Start to finish in 21 days.

Day 1–2
Kickoff & Scoping
90-min intake call
Document sharing
Stakeholder scheduling
Engagement agreement
Week 1–2
Assessment & Analysis
Discovery interviews (3–4)
Vendor document review
Risk scoring & mapping
Regulatory cross-check
Week 3
Delivery & Readout
Full written report
60-min leadership readout
Board summary delivered
Policy template handoff
Investment
Fixed-Fee Engagement
$7,500
All-inclusive · No retainer · No scope creep
Included in every engagement
✓
3-week delivery, start to written report
✓
Full AI Compliance Inventory (documented)
✓
Risk Exposure Scorecard by use case
✓
Remediation Roadmap (30/90/12-month)
✓
AI Governance Policy draft (editable)
✓
Board-ready 2-page executive summary
✓
60-minute leadership readout call
✓
30-day follow-up Q&A window (email)
See It In Action ↗ →
50% at engagement start · 50% at written delivery
Who This Is For

Your institution if…

Financial Services. Your bank, credit union, or lending institution has AI embedded in credit decisioning, fraud detection, or AML screening — and no documented governance program when examiners ask.
Capital Markets. Your trading firm, asset manager, or broker-dealer uses algorithmic or AI-assisted execution and compliance surveillance — and needs audit-ready model governance before the next FINRA or SEC review.
Insurance. Your carrier or MGA is deploying AI across underwriting, claims triage, or compliance monitoring — and state insurance AI regulations and NAIC principles are creating new documentation obligations.
Healthcare. Your health system or revenue cycle operation uses AI for prior authorization, coding, or clinical decision support — and HIPAA, FDA, and CMS transparency rules require documented AI oversight.
Board starting to ask questions. Directors are reading about AI governance and leadership doesn't yet have structured, documented answers for the audit committee — across any regulated vertical.
Why CAIBots

The experience behind the assessment.

27
Years BFSI technology
& compliance depth
$8B+
Enterprise FS deals
structured & closed
45%
Win rate on major
financial institution mandates
T1
Banking · Insurance
Capital Markets · Wealth
Get Started

Ready to know where you stand?

The assessment begins with a 30-minute no-obligation discovery call. We map your institution's AI footprint, confirm scope, and — only if there's a clear fit — move forward. Decision within 48 hours.

See It In Action ↗ Email Directly
Typically scheduled within 48 hours
Princeton, NJ · Serving institutions nationwide
Frameworks FFIEC AI Guidance SR 11-7 BSA / AML ECOA / Reg B UDAAP GLBA OCC Guidance NCUA CFPB EU AI Act