Is Your GenAI Implementation Compliance-Ready?

In financial services, compliance isn’t just a box to check – it’s the foundation of trust. Every client interaction, marketing message or piece of content must align with broad regulatory requirements and your company’s particular internal guardrails. None of this changes when GenAI enters the workflow. If anything, the risks are magnified.

GenAI can generate faster, but it can also generate errors. Without the right controls, you risk introducing misstatements, unapproved claims and even regulatory breaches into the market. That’s why every AI-enabled process in your content and message development workflow needs to be designed with compliance and human oversight built in from the start – to ensure there is no erosion of trust.

Ask yourself these five questions:

Does my AI have visibility into compliance rules? If the model doesn’t “know” your regulatory framework, how can it be trusted to stay within it?

Where is the human in the loop? Have you defined clear points where compliance officers or legal reviewers step in?

Are your approval workflows AI-ready? Can AI-generated content be routed automatically into the same systems and safety checks as human-created content?

Do you have an audit trail? If challenged, could you show how GenAI content was created, reviewed and approved?

Are your employees trained? Tools alone don’t ensure compliance – people need to know how to use them responsibly.

Build compliance into your GenAI workflows from the start. You’ll move faster, with the confidence to innovate fearlessly – and avoid having to backfill processes (or explain embarrassing oversights) later.