AI Adoption · Governance · Compliance — for Regulated Firms
Adopt AI with confidence. From your team’s first workshop to full governance.
Most AI consultants come from tech. I came from inside FCA and SRA-regulated businesses, a decade of it, with a law background and direct work with the FCA at Director level. That’s the difference. I help regulated firms adopt AI practically: train the team, embed it into how the business actually runs, and put the governance and compliance in place so you’re confident, not exposed. Start small with a single workshop, or go end-to-end.
Proven with FCA-regulated firms
What’s possible
What your firm can actually do with AI.
A sense of what advisers and back-office teams use AI for day to day, the same workflows our clients run now. All within clear data boundaries, which is exactly what the training and governance work puts in place.
- Personalised outreach and follow-ups that sound like you, not a template
- Turn a client win into a LinkedIn post or a referral request
- Research a prospect and their business before the first meeting
- Nurture sequences that keep you front of mind
- Structure messy fact-find notes into a clean client summary
- Pull key figures from statements, policies and KFIs in seconds
- First-draft suitability reports, ready for you to check and sign off
- Spot gaps in a client file before it reaches compliance
- Explain a complex product in plain English a client understands
- Turn a dense policy document into a one-page client summary
- Draft clear, warm responses to client queries
- Prepare review-meeting packs in a fraction of the time
- First-pass review of marketing and client docs against a checklist
- Consistent file notes and meeting summaries, drafted in seconds
- Long FCA updates digested into what actually affects your firm
- Audit-ready evidence, organised and easy to retrieve
- Compare providers, products and rates across long documents
- Analyse spreadsheets and client data without the manual slog
- Summarise market and regulatory updates for the team
- Stress-test a recommendation before you put it to a client
- Newsletters, blog posts and social content in your firm’s voice
- Case studies and testimonials written up properly
- Website and landing-page copy that converts
- Turn one idea into a week of content
- Build a structured onboarding journey for every new adviser
- Dedicated chatbots that coach advisers as they grow their career
- Draft job specs, screen CVs and prep interview questions
- Turn handbooks and policies into a searchable internal assistant
- Client-facing chatbots that answer common questions, on-brand
- Internal assistants giving advisers instant answers from your knowledge base
- Custom AI assistants trained on your products, processes and tone
- Triage and route enquiries before they reach a human
The stakes
Get AI adoption wrong, and it costs more than time.
For a regulated firm, AI without governance isn’t a shortcut. It’s exposure. The same tools that drive growth create real liability when they’re adopted without policy, oversight or training. This is exactly what the governance work protects you from.
Regulatory penalties
UK GDPR breaches carry fines up to £17.5m or 4% of global turnover. For firms operating across borders, the EU AI Act adds penalties up to €35m or 7% for the most serious breaches.
FCA scrutiny & Consumer Duty
Unsuitable AI-influenced advice or weak oversight can trigger enforcement, redress and restrictions. You’re expected to evidence good client outcomes, including where AI is involved.
Reputation & client trust
One leaked client file or a hallucinated figure in a report can undo years of trust. In a referral-led business, reputation is the asset you can least afford to risk.
Shadow AI & data leakage
Staff already use AI tools you haven’t sanctioned, pasting client data into systems you can’t see or control. You can’t govern what you can’t measure.
Professional liability
AI output in regulated advice is still your firm’s responsibility. “The AI got it wrong” is not a defence to a client, a regulator, or your PI insurer.
Falling behind
Freeze, and competitors who adopt safely pull ahead on speed, service and cost. The real risk isn’t only moving too fast. It’s standing still.
How we work together
Three ways in. Where you start is up to you.
AI Team Training
The quickest, lowest-cost way in, your team using AI safely and well.
From £3,000
Adoption & Integration
AI moved into production workflows and your tech stack.
From £25,000
Governance & Compliance
Policy, shadow-AI control and FCA/SRA-aligned audit trails.
From £12,000
Part 1 — Entry point
AI Team Training
Hands-on-keyboards. I teach your staff to use AI tools safely and efficiently, fixed scope, fixed price, easy to approve.
- The AI Prompt Playbook — custom, role-specific prompt frameworks for each department (e.g. legal contract triage vs. finance data analysis).
- Data Boundaries Mastery — how AI tools handle data privacy, what should never be pasted in, and mastering secure shared workspaces for internal knowledge sharing.
- Weeks 1–2 · Fundamentals & Guardrails — AI mechanics, reasoning strengths, and UK GDPR / data-masking workflows.
- Weeks 3–4 · Advanced Knowledge Ingestion — using modern AI’s large context window for complex PDFs, spreadsheets and audit analysis, without data leakage.
- Weeks 5–6 · Operationalising Shared Workspaces — multi-prompt team workflows, standard company projects, and workflow delegation.
Part 2 — Premium advisory
AI Adoption, Compliance & Governance
Separate from standard training: hands-on, architectural, outcome-based advisory, typically for the C-suite, CISO, or General Counsel. Priced against liability mitigation and structural enablement, not hours.
- AI Acceptable Use Policy (AUP) — clear corporate parameters for data classification (public vs. restricted) within your AI tools.
- Telemetry & Audit Setup — configuring AI audit and compliance APIs to stream conversation logs and user-activity events into your existing security stack (Microsoft Purview, Okta, Splunk), to eliminate shadow AI.
- Data Protection Impact Assessment (DPIA) — authoring the mandatory UK GDPR documentation for automated data processing.
- AI Readiness Assessment — auditing internal data pipelines and tech-stack suitability for enterprise AI or API tiers.
- Secure Connector Architecture — enterprise connectors so your AI can safely interface with local data repositories and applications (Google Workspace, SQL databases) without exposed API keys.
- Agentic Guardrails — human-in-the-loop review gates for advanced workflows, including security parameters for developer tooling and coding agents.
- Fractional Chief AI Officer — ongoing advisory available as a monthly retainer from £5,000.
Start with a conversation.
No pitch, just a chat about where your firm is with AI, where the risk sits, and the quickest way to get value safely.
