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Industries/Financial Services
Financial Services  ·  AI Governance Policies

AI governance built for financial regulators, not just developers.

Examiners from the OCC, Fed, and SEC don't accept 'the model decided' as an answer. AutoPIL enforces access policy at the data layer and produces a tamper-evident audit trail that maps every AI decision to the governing policy — automatically.

AI Agent Policies — Financial Services

25 policies across consumer banking, fraud investigation, wealth management, risk & compliance, and operations — built for the strict data boundary requirements of retail and institutional finance.

consumer_banking.yaml4 roles
wealth.yaml4 roles
risk_compliance.yaml4 roles
operations.yaml4 roles
All 16 agent roles
customer_serviceloan_underwriterfraud_analystcollections_agentwealth_advisorinvestment_analystkyc_agentintake_agentcompliance_officercredit_risk_analystaml_investigatorcompliance_agentsettlement_agentops_supportdata_pipeline_agentrisk_agent
policies/financial_services/consumer_banking.yaml
policies:
  # Loan underwriter — credit and collateral data; blocked from peer data and internal models
  - name: loan_underwriter_policy
    agent_role: loan_underwriter
    allowed_sources:
      - account_summaries
      - credit_scores
      - loan_history
      - property_valuations
      - income_verification
    denied_sources:
      - other_customer_data
      - internal_risk_models
      - executive_communications
    allowed_tasks:
      - credit_decision
      - collateral_check
      - risk_assessment
    denied_tasks:
      - account_freeze
      - fraud_flag
      - product_recommendation
    max_sensitivity: high
Applicable Regulations — Financial Services
Where AI governance breaks down in Financial Services
Uncontrolled PII access
Customer records and account data accessed without scope limits creates GLBA exposure and SR 11-7 model risk documentation gaps.
AML audit failures
FinCEN and OFAC investigations require demonstrating exactly what data an AI agent accessed and when. AutoPIL makes that trail cryptographic and tamper-evident.
Cross-product data bleed
Wealth management agents accessing consumer banking records — or vice versa — violates segregation requirements. AutoPIL's policy engine blocks it at the retrieval layer.
How to use

One path.
Your industry loaded.

Point policy_path at your industry directory. AutoPIL loads every YAML file recursively — roles, sensitivity rules, and process groups wired up automatically from the directory structure. No additional config needed.

Policies are hot-reloaded at runtime. Extend or override any pre-built policy via the REST API without redeploying your agents or restarting services.

setup.py
from autopil import ContextGuard

# Point at your industry — only those policies load
guard = ContextGuard(
    policy_path="policies/financial_services/",
    audit_db="autopil.db",
)

# policies/financial_services/ — loads recursively
# Switch verticals by changing the path — nothing else changes.

Start with Financial Services.
Extend from there.

Pre-built policies for financial services are included in every AutoPIL trial. Extend or override any rule via the REST API without redeploying.