The AI Compliance Checklist - Preparing for the Year Ahead
- Peter Gross
- Dec 8, 2025
- 2 min read
Updated: Jan 1
Click the image below to download the PDF.
Scrutiny of AI products and services and regulatory compliance will be a core theme of 2026 for the financial services industry. This blueprint allows teams to get started today with the adoption of AI compliance best-practices ahead of any internal governance structures being fully operational.
"The AI Compliance Blueprint: A Checklist for Product & Technology Teams” combines regulatory requirements into one simple for assessing your AI implementations.
Key Imperatives Addressed (the ones your management are probably most worried about):
UK Focus: Aligned with the expectations of the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) - including the Consumer Duty.
Auditability: Integrates the four cross-cutting imperatives that regulators often scrutinise: Third-Party Risk, Security, Documentation, and Jurisdictional Compliance.
Algorithmic Disgorgement: Directly tackles the existential threat of regulators mandating the complete deletion of AI models and their underlying data if trained on improperly sourced or non-compliant data.
Use the quieter Christmas period to review your existing and planned AI deployments to get ahead with…
Gap Analysis: Use the checklist to assess your existing and planned AI deployments today - even ahead of mandated internal policies and standards.
Actionable Plan: Build your bespoke remediation action plan.
Compliance by Design: Embed compliance directly into the development lifecycle, ensuring you avoid costly rework and the need to retrofit controls later.
Completing this during this now ensures your team hits the ground running in January.
Download the "The AI Compliance Blueprint" now and embed compliance into your development lifecycle today - not retrofit it later.
Important Notes:
The blueprint is a first draft to accelerate compliance. Product and technology teams must remain agile and aware that internal developments (new policies, standards, and procedures) from senior leadership may supersede and change your specific requirements.
Whilst this checklist is focused primarily on UK Financial Services it can be used as the basis for application across other locations and industry’s.
