Accelerate Wealth & Asset Management AI With Audit-Ready Governance

RiskAI dynamically maps use cases to MiFID II, the EU AI Act, ISO 23894, NIST AI RMF, and ESMA/SEC/FCA guidance—auto-generating evidence (model cards, tests, approvals) and ensuring robust AI risk management. Reviews are reduced from weeks to days without sacrificing control.

See Control Evidence (Sample) Book a 30-min Risk Review

Built for Wealth & Asset Management

Governance hooks for the highest-exposure investment use cases.

  • Portfolio analytics & optimization: asset allocation, factor tilts, rebalancing signals
  • Client profiling & suitability: KYC, risk tolerance, appropriateness checks
  • Personalization: next-best-action, content and product recommendations
  • GenAI ops: advisor copilots with guardrails, PII controls, response logging

What RiskAI Guarantees for the 2nd Line

  • Dynamocally developed controls for MiFID II, EU AI Act, ISO 23894, NIST AI RMF
  • Model Register for all quant/AI models with ownership, risk tier, lineage, approvals
  • Evidence Builder: model cards, test plans (suitability, performance, fairness), sign-offs, immutable audit log
  • Continuous Monitoring: drift, bias, data quality, conflicts, incidents & escalations
  • Three Lines of Defense workflows with gated approvals and read-only audit workspace

CCRO Outcome Snapshot

10 → 3 weeks
Model review & approval cycle
-60%
Manual evidence preparation
0 major findings
Post-implementation audit
+2–3 rebalances
Faster time-to-production p.a.
How we measure these

Regulatory Coverage

MiFID II / Conduct

Suitability & appropriateness, best execution, governance & disclosure.

EU AI Act

Risk tiers, RMF, transparency, human oversight, post-market monitoring.

ISO 23894 / NIST AI RMF

AI risk management alignment, Govern–Map–Measure–Manage.

Supervisors

ESMA, FCA, SEC/FINRA—evidence formats and inquiry-ready binders.

Internal Governance

Model risk policy, conflicts, change control, approvals, surveillance.

See Mapping (Sample)

Three Lines of Defense, Operationalized

1st Line (PMs/Quants)
Guided intake, auto-controls, documentation generator
2nd Line (Compliance & Risk)
Live dashboards, suitability/best-ex checks, gaps by framework
3rd Line (Internal Audit)
Read-only workspace and exportable audit binder

How It Runs Day-to-Day

  • Approval gates (Design → Validation → Pre-Prod → Prod)
  • Suitability workflows linking client profile to recommendations & disclosures
  • Best execution evidence captured and bound to trades
  • Change management with versioned evidence & rollbacks
  • Monitoring for drift, bias, conflicts, and incidents with SLAs

FAQs for CCROs

How do you evidence suitability for AI-assisted recommendations?

RiskAI binds the client profile, scoring rationale, and advisor override notes into the evidence pack with timestamps and approvals.

How is best execution demonstrated?

We capture data inputs, venue selection, and outcome metrics per policy; artifacts are linked to the relevant trades and model version.

Data residency and subprocessors?

EU/US regions, encryption in transit/at rest, DPA available; current subprocessor list on request.

Who owns portfolio decisions?

You do. RiskAI provides governance tooling and auditable evidence; investment decisions remain with your firm.

Ready to De-Risk Investment AI?

Get a sample audit binder or a regulatory mapping to evaluate in your governance committee.

View Audit Binder (Sample) Book Risk & Controls Deep Dive