About the Firm
Specialist counsel for AI risk in financial services
We help financial institutions build the governance infrastructure to deploy AI responsibly — and to demonstrate that responsibility to regulators.
Our Story
Built for a regulatory moment that required a specialist
Integrity Compliance Advisors was founded by practitioners who recognized a gap: as financial institutions began deploying AI at scale, the regulatory frameworks governing that deployment were evolving faster than most compliance programs could track.
SR 11-7 — the Federal Reserve's foundational model risk management guidance — was written before large language models existed. The EU AI Act introduced extraterritorial obligations that most U.S. institutions had not yet mapped. Third-party AI vendors were being onboarded through procurement processes designed for software, not probabilistic systems.
We built this firm to close that gap. Our advisors combine deep regulatory knowledge with hands-on experience building and validating AI systems in financial services contexts. We understand what regulators expect because we have been in the examination room. We understand what institutions face because we have built the programs they are now being asked to demonstrate.
Our practice is deliberately narrow. We do not offer general management consulting or broad technology advisory. We focus on AI compliance, model risk management, and the operational risk dimensions of AI deployment in regulated financial institutions. That focus is our value.
Regulatory Frameworks
- SR 11-7 / OCC 2011-12
- EU AI Act
- NIST AI RMF
- SEC AI Guidance
- CFPB Algorithmic Fairness
Practice Areas
- Model Risk Management
- AI Governance
- Third-Party AI Risk
- Operational Risk
- Regulatory Examination Prep
Client Focus
- Regional & Community Banks
- Asset Managers
- Insurance Carriers
- Broker-Dealers
- FinTech Lenders
Our Approach
How we work
01
Regulatory precision
We read the guidance, the examination manuals, and the enforcement actions so our clients don't have to. Every recommendation is grounded in what regulators actually expect — not what sounds reasonable.
02
Practitioner perspective
Our advisors have sat in the examination room, managed model inventories, and built compliance programs from the ground up. We advise from experience, not from theory.
03
Proportionate counsel
A community bank deploying a vendor credit model faces different risks than a global asset manager building proprietary LLMs. We calibrate our advice to the institution, not to a generic framework.
Depth of expertise
Narrow focus. Deep knowledge.
15+
Years combined regulatory experience
50+
AI governance engagements completed
100%
Financial services focus
SR 11-7
Model risk management expertise
EU AI Act
Extraterritorial compliance advisory
NIST RMF
Framework implementation support
Ready to discuss your AI compliance posture?
We offer a complimentary 30-minute scoping conversation for prospective clients. No obligation — just a direct conversation about where your institution stands and what it needs.