AI for banking, insurance, asset management, and fintech — built to survive a regulator's examination.
Every AI system we deploy in financial services is designed with FINRA Rule 3110, SR 11-7, EU AI Act high-risk classification, OCC model risk guidance, and NAIC AI bulletins in view. Not retrofitted for compliance. Architected for it from the start.
AI is already inside your systems. The question is whether it is governed.
Across banking, insurance, and asset management, AI is no longer experimental. KYC and AML systems are processing millions of identity checks daily. Credit scoring models are making lending decisions affecting hundreds of thousands of applicants. Claims triage systems are routing insurance decisions without human review of every case. Trade surveillance systems are monitoring for market manipulation in real time.
The regulatory frameworks have caught up. FINRA Rule 3110 supervisory obligations now explicitly cover AI in investment advisory workflows. SR 11-7 requires model validation and documentation for any model influencing financial decisions. The EU AI Act classifies credit scoring, fraud detection, and insurance pricing as high-risk AI — with full compliance required by August 2026. The organizations that have been moving fast on AI deployment without governance infrastructure are now facing examination exposure.
Six AI systems designed for the financial services environment.
KYC and AML Automation
AI that processes identity verification, sanctions screening, and transaction monitoring at scale — with a full audit trail for every decision, explainable outputs for regulatory examination, and a human review queue for exceptions. 10x faster AML investigations. Compliant with FinCEN guidance and FATF recommendations.
RERIGHT service: Governance Audit + RAG Implementation + Document AICredit Scoring with Explainability
Credit decision models that produce ECOA-compliant adverse action notices for every decline. Not a black box. Every decision traceable to specific factors, documented, auditable. Designed for SR 11-7 model risk management requirements.
RERIGHT service: AI Governance Audit + Governance PlaybookInsurance Document AI Pipeline
Claims forms, policy documents, adjuster notes, and loss runs processed automatically. Classification, extraction, routing, and archiving without human review of every document. Claims payouts in hours instead of days. Full audit trail for state regulatory compliance.
RERIGHT service: Fintech & Document AIInvestment Advisory Compliance Monitor
Real-time monitoring of AI-assisted investment recommendations against FINRA Rule 3110 supervisory requirements. Flags recommendations outside defined parameters for human review before client delivery. Maintains the documentation trail regulators expect.
RERIGHT service: AI Governance + RAG SystemsFinancial Document RAG System
A RAG architecture that makes K-1s, contracts, regulatory filings, and policy documents searchable and queryable — with citation-level attribution so every answer is traceable to a specific document section. Built for environments where hallucination is a compliance failure.
RERIGHT service: RAG ImplementationMiddleware Replacement for Core Banking
The integration layer between core banking, CRM, servicing, and reporting systems — currently running on MuleSoft, SAP PI/PO, or IBM DataStage — replaced with an AI agent mesh at 20% of the cost. Same integrations. No license renewal.
RERIGHT service: Middleware ReplacementThe regulations that govern AI in financial services. What they require. When.
FINRA Rule 3110
Supervisory systems for AI-assisted investment recommendations. Documentation of oversight processes. Examination-ready audit trails.
In effect now.Federal Reserve SR 11-7
Model validation, documentation, ongoing monitoring, and governance for any model influencing financial decisions.
In effect. Applies to AI models as explicitly as statistical models.EU AI Act — High Risk Classification
Conformity assessment, risk management documentation, bias testing, human oversight, and technical documentation for AI systems used in credit, insurance, and employment decisions.
High-risk system obligations fully enforceable August 2026.OCC AI Guidance
Model risk management frameworks covering AI, explainability requirements, ongoing performance monitoring.
In effect.NAIC Model AI Bulletin
Governance frameworks for AI used in insurance underwriting, claims, and pricing. Documentation of how AI decisions are made and reviewed.
Adopted in multiple states. Expanding.The people inside financial services organizations who drive these engagements.
Chief Risk Officer — responsible for model risk governance, regulatory examination readiness, SR 11-7 compliance
Chief Compliance Officer — responsible for FINRA, OCC, NAIC, and EU AI Act compliance frameworks
Chief Data Officer — responsible for data governance, data lineage, and AI training data management
Chief Technology Officer — responsible for the architecture and integration of AI systems across the technology stack