{"id":13967,"date":"2026-03-11T13:12:27","date_gmt":"2026-03-11T13:12:27","guid":{"rendered":"https:\/\/www.comply.com\/resource\/comply-announces-complyai-establishing-a-responsible-ai-governance-standard-for-regulated-financial-services\/"},"modified":"2026-03-27T13:16:41","modified_gmt":"2026-03-27T13:16:41","slug":"comply-announces-complyai-establishing-a-responsible-ai-governance-standard-for-regulated-financial-services","status":"publish","type":"resource_posts","link":"https:\/\/www.comply.com\/en-gb\/resource\/comply-announces-complyai-establishing-a-responsible-ai-governance-standard-for-regulated-financial-services\/","title":{"rendered":"Comply Announces ComplyAI: Establishing a Responsible AI Governance Standard for Regulated Financial Services"},"content":{"rendered":"<p><span data-contrast=\"none\">NEW YORK, NY \u2013 March 11, 2026 \u2013\u00a0<\/span><a href=\"https:\/\/www.comply.com\/en-gb\/\"><span data-contrast=\"none\">Comply<\/span><\/a><span data-contrast=\"none\">,\u00a0a leading\u00a0AI and\u00a0SaaS provider of compliance\u00a0technology\u00a0and\u00a0consulting for the financial services industry, today announced\u202f<\/span><a href=\"https:\/\/www.comply.com\/en-gb\/solutions\/compliance-program-management\/complyai-2\/\"><b><span data-contrast=\"none\">ComplyAI<\/span><\/b><\/a><span data-contrast=\"none\">,\u00a0a comprehensive framework designed to help firms operationalize responsible AI governance across their compliance programs.<\/span><span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">\u201cCompliance officers are being asked not only how AI supports their programs but how it\u2019s governed,\u201d said\u00a0<\/span><a href=\"https:\/\/www.comply.com\/en-gb\/leadership\/michael-j-stanton\/\"><span data-contrast=\"none\">Michael Stanton<\/span><\/a><span data-contrast=\"none\">, CEO of Comply.\u00a0\u201cEvery AI output must be explainable,\u00a0validated, and defended.\u00a0ComplyAI\u00a0delivers that assurance \u2014 setting a clear standard for responsible AI oversight through expert guidance, transparent documentation, and practical controls aligned with regulatory expectations.\u201d<\/span><span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">As AI adoption accelerates across financial services, regulators are increasing scrutiny.\u00a0The\u00a0<\/span><b><span data-contrast=\"none\">SEC\u2019s 2026 Exam Priorities<\/span><\/b><span data-contrast=\"none\">\u00a0identify\u00a0AI oversight, explainability, and governance as key examination areas.\u00a0At the same time,\u00a0<\/span><a href=\"https:\/\/www.comply.com\/en-gb\/resource\/2026-cco-compliance-leader-insights-report\/\"><b><i><span data-contrast=\"none\">Comply\u2019s 2026 CCO &amp; Compliance Leader Insights Report<\/span><\/i><\/b><\/a><span data-contrast=\"none\">\u00a0shows that nearly seven in ten firms are already using AI in compliance,\u00a0yet only half have formal governance frameworks in place,\u00a0<\/span><span data-contrast=\"auto\">revealing a growing readiness gap<\/span><span data-contrast=\"none\">.<\/span><span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">ComplyAI\u00a0addresses that gap by\u00a0operating\u00a0alongside existing compliance processes, adding structured oversight, documentation, and expert guidance to support responsible AI adoption.<\/span><span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><b><span data-contrast=\"none\">A Dual Approach to Responsible AI in Compliance<\/span><\/b><br \/>\n<span data-contrast=\"none\">ComplyAI combines AI-enabled tools that accelerate compliance workflows and reduce redundant manual tasks with a structured governance model that helps firms document, review, and defend AI-enabled outputs under clear human oversight.\u00a0This architecture is designed to improve output quality and accuracy, ensuring AI-assisted decisions\u00a0remain\u00a0verifiable, explainable, and regulator-ready.<\/span><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559740&quot;:242}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">On the software side,\u00a0ComplyAI\u00a0delivers AI-powered tools such as Policy Guide and Calendar Builder that streamline policy interpretation and task generation, enabling compliance teams to act more efficiently without sacrificing supervisory review.<\/span><br \/>\n<span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" data-aria-posinset=\"1\" data-aria-level=\"1\"><a href=\"https:\/\/www.comply.com\/en-gb\/solutions\/compliance-program-management\/complyai-2\/\"><b><span data-contrast=\"none\">ComplyAI Policy Guide<\/span><\/b><\/a><span data-contrast=\"none\">\u202f\u2013 A single-tenant, policy-bound intelligence layer grounded solely in a firm\u2019s approved internal manuals and supervisory procedures. It delivers real-time, jurisdiction-specific guidance with configurable access controls and full source traceability, enabling compliance officers to provide\u00a0accurate, explainable, and defensible answers.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559739&quot;:120,&quot;335559740&quot;:240}\">\u00a0<\/span><\/li>\n<\/ul>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" data-aria-posinset=\"2\" data-aria-level=\"1\"><b><span data-contrast=\"none\">ComplyAI\u00a0Calendar Builder<\/span><\/b><span data-contrast=\"none\">\u202f\u2013 Automatically scans Policies and Procedures, Written Supervisory Procedures, compliance manuals, firm events, and Form ADV filings to generate structured compliance calendar tasks \u2014 reducing manual interpretation and operational gaps.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559739&quot;:120,&quot;335559740&quot;:240}\">\u00a0<\/span><\/li>\n<\/ul>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" data-aria-posinset=\"3\" data-aria-level=\"1\"><b><span data-contrast=\"none\">AI Governance Task Library<\/span><\/b><span data-contrast=\"none\">\u202f\u2013 Prebuilt compliance calendar tasks informed by\u00a0Comply\u2019s\u00a0regulatory consulting\u00a0expertise, designed to track firmwide AI governance, oversight, testing, and documentation requirements.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559738&quot;:120,&quot;335559739&quot;:120,&quot;335559740&quot;:240}\">\u00a0<\/span><\/li>\n<\/ul>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" data-aria-posinset=\"4\" data-aria-level=\"1\"><b><span data-contrast=\"none\">AI Risk Assessment &amp; Policy Templates<\/span><\/b><span data-contrast=\"none\">\u202f\u2013 Structured tools to evaluate AI exposure and implement documented controls aligned with evolving regulatory expectations.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559738&quot;:120,&quot;335559739&quot;:120,&quot;335559740&quot;:240}\">\u00a0<\/span><\/li>\n<\/ul>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" data-aria-posinset=\"5\" data-aria-level=\"1\"><b><span data-contrast=\"none\">Intelligent Policy Builder<\/span><\/b><span data-contrast=\"none\">\u202f\u2013 Tools to create and update AI policies, continuously informed by regulatory developments and practical supervisory guidance from\u00a0Comply\u2019s\u00a0consulting team.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559738&quot;:120,&quot;335559739&quot;:120,&quot;335559740&quot;:240}\">\u00a0<\/span><\/li>\n<\/ul>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" data-aria-posinset=\"6\" data-aria-level=\"1\"><b><span data-contrast=\"none\">Annual AI Oversight Review Tools<\/span><\/b><span data-contrast=\"none\">\u202f\u2013 Built-in documentation workflows to support supervisory review, performance evaluation, and audit readiness.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559738&quot;:120,&quot;335559739&quot;:120,&quot;335559740&quot;:240}\">\u00a0<\/span><\/li>\n<\/ul>\n<p><b><span data-contrast=\"none\">Expert Oversight, Embedded<\/span><\/b><br \/>\n<span data-contrast=\"none\">ComplyAI Consulting Services\u00a0operate\u00a0alongside the platform to help firms implement AI governance in a structured and defensible way. Advisory support spans firmwide AI risk assessments and mock\u00a0audits,\u00a0governance reviews, technology procurement guidance, and education programs designed to strengthen employee understanding as regulatory expectations evolve.<\/span><br \/>\n<span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559739&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><b><span data-contrast=\"none\">Regulatory-Ready by Design<\/span><\/b><br \/>\n<span data-contrast=\"none\">ComplyAI reflects\u00a0Comply\u2019s\u00a0broader approach to responsible AI: clarity in documentation, confidence in oversight, credibility through\u00a0expertise, and connection between technology and supervisory accountability.<\/span><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559739&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">\u201cAI should strengthen compliance, not complicate it,\u201d said\u00a0<\/span><a href=\"https:\/\/www.comply.com\/en-gb\/leadership\/david-bliss\/\"><span data-contrast=\"none\">David Bliss<\/span><\/a><span data-contrast=\"none\">,\u00a0Chief Product Officer at Comply. \u201cComplyAI\u00a0was built to help firms manage AI with the same rigor they apply to every compliance process \u2014 accurate, auditable, and exam-ready.\u201d<\/span><span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">Available in Q2 2026, ComplyAI Policy Guide enables compliance leaders to benefit from AI innovation without sacrificing governance. ComplyAI Calendar Builder will be released later this year. For the latest updates and access to ComplyAI news and innovations, join the <\/span><a href=\"https:\/\/www3.comply.com\/comply-ai-waitlist\"><span data-contrast=\"none\">ComplyAI\u00a0preview list<\/span><\/a><span data-contrast=\"none\">.<\/span><span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">Visit\u00a0<\/span><a href=\"https:\/\/www.comply.com\/resource\/ai-in-financial-services-what-compliance-needs-to-get-right\/\"><span data-contrast=\"none\">AI in Financial Services:\u00a0What Compliance Needs to Get\u00a0Right<\/span><\/a><span data-contrast=\"none\">\u00a0for on-demand access to\u00a0Comply\u2019s\u00a0recent AI\u00a0webinar.<\/span><span data-ccp-props=\"{&quot;134245417&quot;:false,&quot;201341983&quot;:0,&quot;335559739&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559739&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><b><span data-contrast=\"none\">About Comply<\/span><\/b><br \/>\n<span data-contrast=\"none\">Comply is a global technology\u00a0and services\u00a0leader\u00a0transforming regulatory compliance for financial\u00a0institutions through AI-powered software, data intelligence, and expert advisory services.\u00a0Trusted by more than 5,000 firms \u2014 including broker-dealers, insurers, investment banks,\u00a0private funds, RIAs, and wealth managers \u2014 Comply enables organizations to move\u00a0beyond reactive compliance toward proactive, risk-intelligent operations.<\/span><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335557856&quot;:16777215,&quot;335559739&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-ccp-props=\"{&quot;335557856&quot;:16777215,&quot;335559739&quot;:0}\">\u00a0<\/span><span data-contrast=\"none\">Comply\u00a0combines\u00a0deep regulatory domain\u00a0expertise\u00a0with advanced automation, machine<\/span> <span data-contrast=\"none\">learning, and integrated data solutions\u00a0to\u00a0deliver a unified platform that<\/span> <span data-contrast=\"none\">streamlines oversight and strengthens\u00a0governance across the enterprise. Our technology empowers compliance teams to detect\u00a0risk earlier, adapt to evolving regulations faster, and unlock operational scale with\u00a0confidence.<\/span><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559739&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">With a relentless focus on innovation and client partnership, Comply is building the<\/span> <span data-contrast=\"none\">financial industry\u2019s most intelligent and future-ready compliance ecosystem,\u00a0helping<\/span> <span data-contrast=\"none\">institutions worldwide turn regulatory complexity into strategic advantage.<\/span><br \/>\n<span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335557856&quot;:16777215,&quot;335559739&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"none\">Media\u202fContact<\/span><br \/>\n<a href=\"mailto:PR@Comply.com\"><span data-contrast=\"none\">PR@Comply.com<\/span><\/a><span data-contrast=\"none\">\u00a0<\/span><span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n","protected":false},"author":4,"featured_media":13778,"menu_order":0,"template":"","resource_type_tax":[160],"delivery_method_tax":[],"certification_tax":[],"class_list":["post-13967","resource_posts","type-resource_posts","status-publish","has-post-thumbnail","hentry","resource_type_tax-blog-article"],"acf":{"resource_description":"<p><i><span data-contrast=\"none\">ComplyAI\u00a0unites human\u00a0expertise\u00a0and governed technology to help compliance leaders adopt AI responsibly and defend it confidently<\/span><\/i><span data-ccp-props=\"{&quot;134233117&quot;:true,&quot;134233118&quot;:true,&quot;201341983&quot;:0,&quot;335559740&quot;:240}\">\u00a0<\/span><\/p>\n","resource_button":{"title":"","url":"","target":"","0":""},"resource_date":"","include_bdt_time":false,"resource_location":"","is_press_release":true,"form_headline":"","form_id":"","is_paywall":false,"newsletter_type":"global","resource_feed_group":{"show_section":false,"section_headline":"","more_link":{"title":"","url":"","target":"","0":""},"use_recent_resources":true,"resources":false},"resource_feed_clone":{"resource_feed_group":{"show_section":false,"section_headline":"","more_link":{"title":"","url":"","target":"","0":""},"use_recent_resources":true,"resources":false}},"gate_this_content":false,"form_embed":"","full_content_":"","event_date_":"","new_blue_header":false},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.4 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Comply Announces ComplyAI: Establishing a Responsible AI Governance Standard for Regulated Financial Services | Comply<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.comply.com\/en-gb\/resource\/comply-announces-complyai-establishing-a-responsible-ai-governance-standard-for-regulated-financial-services\/\" \/>\n<meta property=\"og:locale\" content=\"en_GB\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Comply Announces ComplyAI: Establishing a Responsible AI Governance Standard for Regulated Financial Services | Comply\" \/>\n<meta property=\"og:description\" content=\"NEW YORK, NY \u2013 March 11, 2026 \u2013\u00a0Comply,\u00a0a leading\u00a0AI and\u00a0SaaS provider of compliance\u00a0technology\u00a0and\u00a0consulting for the financial services industry, today announced\u202fComplyAI,\u00a0a comprehensive framework designed to help firms operationalize responsible AI governance across their compliance programs.\u00a0 \u201cCompliance officers are being asked not only how AI supports their programs but how it\u2019s governed,\u201d said\u00a0Michael Stanton, CEO of Comply.\u00a0\u201cEvery [&hellip;]\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.comply.com\/en-gb\/resource\/comply-announces-complyai-establishing-a-responsible-ai-governance-standard-for-regulated-financial-services\/\" \/>\n<meta property=\"og:site_name\" content=\"Comply\" \/>\n<meta property=\"article:modified_time\" content=\"2026-03-27T13:16:41+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.comply.com\/wp-content\/uploads\/2026\/02\/Artboard-2-copy-2.png\" \/>\n\t<meta property=\"og:image:width\" content=\"768\" \/>\n\t<meta property=\"og:image:height\" content=\"769\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"Estimated reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"4 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Comply Announces ComplyAI: Establishing a Responsible AI Governance Standard for Regulated Financial Services | Comply","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.comply.com\/en-gb\/resource\/comply-announces-complyai-establishing-a-responsible-ai-governance-standard-for-regulated-financial-services\/","og_locale":"en_GB","og_type":"article","og_title":"Comply Announces ComplyAI: Establishing a Responsible AI Governance Standard for Regulated Financial Services | Comply","og_description":"NEW YORK, NY \u2013 March 11, 2026 \u2013\u00a0Comply,\u00a0a leading\u00a0AI and\u00a0SaaS provider of compliance\u00a0technology\u00a0and\u00a0consulting for the financial services industry, today announced\u202fComplyAI,\u00a0a comprehensive framework designed to help firms operationalize responsible AI governance across their compliance programs.\u00a0 \u201cCompliance officers are being asked not only how AI supports their programs but how it\u2019s governed,\u201d said\u00a0Michael Stanton, CEO of Comply.\u00a0\u201cEvery [&hellip;]","og_url":"https:\/\/www.comply.com\/en-gb\/resource\/comply-announces-complyai-establishing-a-responsible-ai-governance-standard-for-regulated-financial-services\/","og_site_name":"Comply","article_modified_time":"2026-03-27T13:16:41+00:00","og_image":[{"width":768,"height":769,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2026\/02\/Artboard-2-copy-2.png","type":"image\/png"}],"twitter_card":"summary_large_image","twitter_misc":{"Estimated reading time":"4 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