Don't Let AI Become Your Biggest Regulatory Risk.
AI & Regulatory Resilience
The deployment of Artificial Intelligence (AI) in finance has changed the game, but it's also created significant regulatory exposure under the FCA's Consumer Duty and the Senior Managers & Certification Regime (SM&CR). The risk of AI deployment rests entirely on your firm's competence to govern it.
Welcome to the Clarendon resource hub We've distilled the critical compliance and governance frameworks you need to not just use AI, but to use it responsibly, accountably, and profitably. This is where you turn existential risk into a quantifiable, auditable compliance advantage.
The FCA AI Competency Gap Analysis Checklist
Is your firm's AI usage compliant with the FCA's core principles? This 10-point framework is a rapid diagnostic tool to identify the most critical accountability gaps that could expose your firm under SM&CR and the Consumer Duty.
The AI Portfolio Risk Audit: 10 Critical Checks
Designed for CIOs, Portfolio Directors, and Analysts . f you note even one "No" in checks 1, 2, or 7, your firm has an immediate, quantifiable exposure.
The Enterprise AI Governance Audit
The FCA now treats AI as an enterprise risk under its existing principles. This audit gives senior leaders, including SMF 16/17, a clear view of AI use across the organisation. It highlights governance gaps, strengthens accountability under SM&CR, and ensures AI driven processes meet PRIN 2, 3 and 7 as well as Consumer Duty requirements demonstrating full regulatory resilience at board level.
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Essential Knowledge
The Financial Professionals AI Glossary
You can't govern what you can't define. This glossary ensures your Compliance, Risk, and IT teams use a shared, FCA compliant language to discuss risk.
The Ready to Implement AI Governance Framework
A comprehensive template to establish principles and procedures explicitly aligned with the FCA Consumer Duty SM&CR and UK GDPR for immediate internal deployment.
AI Risk Evaluation Toolkit
A systematic, seven-section approach to evaluate AI-related risks.
Ready to Close Your Firms AI Competence Gap?
If your checklists and audits show 'No' responses, you need more than just a mandate, you need to equip your team with the knowledge and tools to implement controls safely.
The CPD Accredited AI Literacy Toolkit for Financial Professionals provides the sector specific training and governance framework required to answer "YES" to all those crucial questions, giving you a robust audit trail.
Mandatory Training Modules that map AI usage directly to Consumer Duty principles.
Ready-to-Use Policy Templates that satisfy PRIN 3 documentation requirements.
Contact us today at: Louis@clarendon.ie to discuss your firm's AI governance and training needs.