Practical tools for compliance, risk and technology teams

AI inventory and risk register

A working register of every AI system your institution builds, buys or lets staff use, with a built-in risk tier and a dashboard that shows where the gaps are.

• Inventory with owner, purpose, vendor, oversight and validation status
• Five-question risk scoring that sets a Low, Medium or High tier (you can override it)
• Dashboard: no owner, overdue reviews, vendor AI without audit rights, systems that cannot be stopped quickly
• Scoring guide you can adapt to your own policy

For: Risk, compliance and technology teams building or refreshing an AI inventory.

Prefer software? Try the free AI Register.

What your board should see about AI

A briefing checklist for directors and senior management: what good looks like in ten areas of AI governance, what evidence to ask for, and what to ask at the next meeting.

• 28 checks across accountability, appetite, inventory, customer decisions, validation, data, third parties, monitoring, people and assurance
• Evidence column for management to complete before the meeting
• Ten questions to put to management, and warning signs in a management paper

For: Boards, board risk committees, CEOs, CROs, CCOs and MLROs.

Transaction monitoring effectiveness review

A checklist for testing whether monitoring finds what matters at a reasonable cost: coverage, data, scenarios and thresholds, alert handling and reporting.

• 31 checks across ten areas, from governance and data to tuning, quality assurance and reporting
• Evidence pack list and warning signs
• Looks at both sides of effectiveness: catching the right risk and avoiding wasted effort

For: MLROs, heads of financial crime, compliance testing and internal audit.

Regulator visit readiness

A checklist for the weeks before, the days during and the weeks after a supervisory visit, with a request tracker you can reuse every time.

• 24 checks in four parts: standing readiness, first days after notice, during the visit, and afterwards
• Request tracker template and interview preparation tips
• Written to be adapted to your own supervisor's requirements

For: Compliance, risk and legal teams, and executives who will be interviewed.

Tracking findings after a visit? Try the free Remediation Tracker.