Question 1

What is an AI Compliance Assessment?

Accepted Answer

An AI Compliance Assessment evaluates how your organization uses AI tools against applicable regulatory frameworks such as SEC, FINRA, HIPAA, and NIST to identify compliance gaps, data governance risks, and required controls.

Question 2

Which regulations apply to AI use in financial firms?

Accepted Answer

Financial firms using AI must comply with SEC Regulation S-P, FINRA guidelines on algorithmic tools, and emerging AI governance frameworks. Compuwork maps your AI usage to each applicable regulation.

Question 3

How long does the AI Compliance Assessment take?

Accepted Answer

The initial AI Compliance Assessment typically takes 3–5 business days, depending on the number of AI tools in use and the complexity of your environment.

Question 4

Is the AI Compliance Assessment free?

Accepted Answer

Yes, Compuwork offers a complimentary AI Compliance Assessment with no obligation to purchase further services.