What We Do
Fixed-fee, exam-ready advisory for banks, credit unions, asset managers, and capital markets firms
Offering 1
Govern your Artificial Intelligence (AI) with the same rigor examiners expect everywhere else
Best for
- You are deploying or scaling AI, including generative AI, and the board or your regulators are asking how it is governed
- AI is in use, but inventory, risk tiering, model validation, or AI policies are missing, outdated, or inconsistent
- You need to show alignment to recognized standards before an examination, audit, or third-party due diligence review
What you receive
- Current-state assessment against the four National Institute of Standards and Technology (NIST) AI Risk Management Framework functions: Govern, Map, Measure, and Manage
- AI system inventory with risk tiering, plus a governance documentation gap map across policies, standards, and procedures
- AI Management System blueprint aligned to ISO/IEC 42001, with impact assessment templates aligned to ISO/IEC 42005 and a European Union AI Act (EU AI Act) risk-tier mapping where in scope
- Board-ready readout and an operator-ready 30, 60, 90 day roadmap
Two tracks, sold separately. Track A, Governance and Oversight, covers AI governance policy and operating model, AI inventory and intake, risk tiering and appetite, oversight committee and roles across the three lines of defense, third-party AI oversight, impact assessments, regulatory mapping, and board reporting. Track B, Technical and Model Risk, covers the model development lifecycle and documentation, independent validation and testing, data governance and lineage, bias and fairness testing, performance monitoring and drift detection, AI system security, human oversight controls, and secure development practices.
Engagement timeline
Phase 1
AI Governance Assessment
Current-state baseline
Phase 2
Targeted Uplift
Scoped to priority gaps
Phase 3
Program Build-Out
Full operating model
Offering 2
A board-ready controls reality check, calibrated to your charter
Best for
- Upcoming exam or audit within the next 90 to 180 days
- Inconsistent controls or evidence across business and technology
- Repeat findings or themes from prior cycles
What you receive
- Plain-language risk and control maturity snapshot
- Top ten prioritized gaps with remediation actions and suggested owners
- Evidence readiness pack: what evidence, where it lives, who owns it, and the cadence
- Board-ready readout plus a 30, 60, 90 day operator plan
Engagement timeline
Phase 1
Health Check
2 to 6 weeks
Phase 2(optional)
Remediation
Scoped to gaps
Offering 3
Publish-ready documentation that reflects how you actually operate
Best for
- Documentation that no longer reflects current operations
- Unclear ownership across policies, standards, and procedures
- Upcoming exam or audit putting documentation in scope
What you receive
- Publish-ready policies, standards, and procedures
- Clear roles, ownership, and evidence expectations
- Exam-prep pack with examiner request list and evidence map
- 30, 60, 90 day roadmap for the remaining estate
Two tracks, sold separately. Track A covers business and operational documentation. Track B covers technology documentation. Engagements can run in parallel or sequentially based on scope and capacity.
Engagement timeline
Phase 1
Documentation Assessment
1 to 6 weeks
Phase 2
Documentation Sprint
2 to 6 weeks per document
Calibrated to your charter and your stack
Engagements align to the supervisory authority that examines you and the technical frameworks your control environment is built on.
Charter alignment
Work product references the supervisory authority and exam expectations specific to your charter.
- OCC
- FDIC
- Federal Reserve
- NCUA
- CFPB
- SEC
- FINRA
- State Supervisory Authorities
Technical framework flexibility
Technology controls map to the frameworks your second line and examiners already use.
- NIST Cybersecurity Framework
- FFIEC
- CIS Controls v8
- ISO/IEC 27001 / 27002
- COBIT 2019
Industries served
Where DiGi Advisory delivers
Engagements span the financial services sectors where governance, risk, and exam readiness are core operating disciplines.
Banks
Community, mid-sized, and money-center institutions under OCC, FDIC, and Federal Reserve supervision.
Credit Unions
Federally and state-chartered credit unions under NCUA and state supervisory authority oversight.
Asset Managers
Investment management firms, including SEC-registered advisers and wealth management platforms.
Capital Markets
Investment banking, trading, and broker-dealer firms regulated by the SEC, FINRA, and global counterparts.
Trust & Shareholder Services
Trust companies and shareholder services organizations supporting public and private issuers.
Adjacent sectors, including insurance and FinTech, are considered case-by-case based on engagement scope and regulatory framework alignment.
A 15-minute triage call to find the fastest path.
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