AI governance for Financial Services.
AI deployed inside the controls your examiners already enforce — SOX-grade evidence, SEC and FINRA recordkeeping, trade surveillance, and SR 11-7 model governance. Every model is inventoried, every output is supervised, and regulated data never leaves your environment.
AI that survives an examiner's review
In a bank, broker-dealer, or asset manager, a model is never just a tool — it is an entity your second line has to inventory, validate, and defend. We build AI systems that arrive pre-wired for that reality: SOX control evidence flows automatically, SEC Rule 17a-4 and FINRA 4511 retention is enforced at write time, and the Federal Reserve's SR 11-7 guidance shapes how every model is documented, owned, and challenged.
That posture matters because the failure modes here are regulatory, not just operational. An unsupervised AI-generated client communication is a books-and-records gap. A trading-adjacent model with no validation file is an SR 11-7 finding. We close those gaps by design — surveillance over AI-assisted output, append-only audit trails, and model governance artifacts your CCO and model risk teams can attest to.
Governance built for the second line.
Controls mapped to the regimes that govern trading, advice, and recordkeeping — not bolted on after the fact.
- SOX 404 control evidence
- FINRA 3110 supervision hooks
- 17a-4 WORM recordkeeping
- No data egress to model vendors
- MNPI stays inside the perimeter
- Private endpoints + key control
- Append-only, time-sequenced logs
- Entitlement-aware retrieval
- Information-barrier enforcement
Where governance is non-negotiable in Financial Services
The highest-value AI work in finance sits exactly where supervision and model risk are most demanding:
- Trade and communications surveillance — AI triage of e-comms and trading patterns that must itself be auditable and reproducible for FINRA and SEC review.
- SOX control operation — automated control testing and narrative evidence that ties directly to 404 assertions without manual screenshot collection.
- Model risk under SR 11-7 — inventory, validation files, performance monitoring, and challenger documentation for every model the second line must sign off on.
- Books-and-records integrity — AI-assisted client and research communications captured under 17a-4 and FINRA 4511 with full retention and legal-hold support.
Common questions.
How do you make AI usable under SEC and FINRA recordkeeping rules?
Every prompt, retrieval, and model output is captured to an append-only store that satisfies SEC Rule 17a-4 and FINRA 4511 retention expectations — WORM-backed, time-sequenced, and exportable for examiners. AI-assisted communications route through the same surveillance and books-and-records pipeline as any other supervised channel.
How do AI models fit into our SR 11-7 model risk framework?
We treat every deployed model as a governed model under SR 11-7. That means documented intended use, validation evidence, ongoing performance monitoring, version lineage, and a clear owner and challenger. Your model risk team gets the artifacts they need to inventory, validate, and attest to each system.
Explore related capabilities.
Deploy AI your examiners will accept.
Bring your toughest control, model-risk, or recordkeeping question. In thirty minutes we map how an AI system clears SOX, SEC, FINRA, and SR 11-7 — and leave you with a concrete governance path. Response inside 24 hours.
Experienced within
Markets served.
As an enterprise AI agency, eeko systems delivers production AI systems remote-first across the United States and internationally — including these markets: