A vertical application of the review method
AI agent governance for financial services
Financial institutions need to know not only what an agent can do, but who authorized it, what evidence exists, and what happens when the workflow leaves its expected path.
Where the review helps
Customer and advisor workflows
Trace retrieval, recommendations, communications, and approvals where inaccurate or unauthorized output can affect a customer.
Operations and servicing
Review agents that update records, initiate cases, move work between teams, or call internal and external tools.
Risk and control evidence
Test whether owners can explain permissions, oversight, exceptions, decisions, and changes after the fact.
Vendor and platform decisions
Give architecture, security, risk, and product teams a common view of boundaries before a pilot or production gate.
Questions the review answers
- Can the agent access or change more than the workflow requires?
- Are human approval and escalation points clear, enforced, and observable?
- Can untrusted instructions, retrieved content, or another agent influence a consequential action?
- Can the institution reconstruct the authorization and evidence state at decision time?
- Who owns the control when the model, tools, policies, or data change?
What this is not
This is an independent architecture and controls assessment for an agreed workflow. It is not a compliance attestation, legal opinion, certification, penetration test, or substitute for the institution’s risk, model-governance, information-security, privacy, or audit functions.
Start with a high-impact workflow
Bring one agent, one business process, and the launch or risk decision you need to make.
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