AI Governance & Controls Advisory

Your AI systems need
governance, not just code.

Most organizations are deploying AI fast. Very few are doing it with proper controls, risk frameworks, or audit readiness. That's the gap we fill — built on 8+ years of Big 4 and Fortune 500 internal audit expertise.

8+
Years in Audit & Controls
Big 4
EY Trained
F500
BD · IFF · Nestlé
NIST
AI RMF Practitioner
Frameworks We Work In
NIST AI RMF ISO/IEC 42001 EU AI Act SR 11-7 Model Risk SOX / ICFR COSO OECD AI Principles Three Lines of Defense
The Problem

AI is moving fast.
Governance isn't.

Organizations deploying AI without a governance framework are exposed — to regulatory risk, model failure, bias, and audit findings that could have been prevented.

No AI Controls Framework

AI systems are being deployed without documented controls, access governance, or override protocols — the same gaps that get flagged in SOX audits.

Model Risk Without Validation

Automated AI decision systems run without systematic testing, bias assessment, or drift monitoring. Regulators are catching up fast.

No Audit Trail for AI Outputs

When an AI model makes a wrong call, who's accountable? Without governance documentation, nobody can answer that question.

Third-Party AI Risk Unmanaged

Vendors are embedding AI into your tools. Most organizations have no framework for assessing or monitoring that exposure.

The answer isn't more engineers.
It's governance.

The same rigor that makes SOX audits work — control design, operating effectiveness testing, segregation of duties — applies directly to AI systems. We know both worlds.

We translate your AI risk into enforceable controls, audit-ready documentation, and board-level reporting that gives your organization confidence to deploy AI responsibly.

  • Map your AI systems to NIST AI RMF and ISO 42001 control families
  • Design AI access controls and override governance protocols
  • Build continuous monitoring for model drift and anomalous outputs
  • Prepare your AI documentation for regulatory exams and internal audits
  • Assess third-party and vendor AI risk against your risk tolerance
What We Do

Services Built for
Responsible AI Deployment

Every engagement starts with a free 15-minute discovery call. We scope exactly what you need — no retainers you don't need, no jargon.

⚖️
02

AI Risk Assessment & Controls Testing

We assess your AI systems the same way we'd assess a SOX control — design, operating effectiveness, exceptions, and remediation. Identify where your AI programs are exposed before regulators or auditors do.

Risk Assessment Controls Testing Gap Analysis
🔍
03

AI Model Risk Governance

Aligned to SR 11-7 and emerging AI model risk standards. We help financial services and regulated organizations establish model inventory, validation protocols, and risk tiering frameworks for AI-driven decision systems.

SR 11-7 Model Inventory Validation
📋
04

AI Audit Readiness & Regulatory Prep

Preparing for an internal audit, regulatory exam, or ISO 42001 certification? We review your AI governance documentation, close the gaps, and prepare your evidence package — so you go in ready, not reactive.

Audit Readiness Documentation EU AI Act
🤝
05

Third-Party & Vendor AI Risk

Your vendors are embedding AI into tools you already use. We assess and document your third-party AI exposure, design vendor risk questionnaires, and build ongoing monitoring protocols aligned to your risk appetite.

Vendor Risk Due Diligence Monitoring
06

Fractional AI Governance Officer

Not ready to hire a full-time AI governance head? We serve as your fractional AI governance function — attending governance committees, reviewing AI use cases, and keeping your program current as regulations evolve.

Fractional Ongoing Advisory Committee Support
The Difference

Why an Auditor
Makes the Best AI Governance Advisor

Most AI governance consultants come from law or technology. We come from internal audit — and that changes everything.

What auditors bringFrom the Audit Playbook

🔒

Segregation of Duties

We built SOD frameworks for SAP across 200+ users. The same logic governs who can access, modify, or override AI models.

📊

Continuous Monitoring

We built Power BI dashboards that caught variances before they became findings. The same approach monitors AI model drift and anomalous outputs.

Control Testing & Validation

We drove a 12% exception rate to under 2% in automated procurement. That's model validation — applied to automated AI decision systems.

📁

Audit Documentation

8 years of SOX ICFR work means we know exactly what auditors and regulators look for — and how to document AI controls to withstand scrutiny.

Applied to AIInto AI Governance

🤖

AI Model Access Controls

Who can train, modify, deploy, or override your AI models? Access governance for AI systems — designed with the rigor of a SOD framework.

📡

AI Output Monitoring

Real-time monitoring for model drift, bias, and anomalous outputs — the AI equivalent of a continuous controls monitoring dashboard.

🧪

Model Validation & Testing

Systematic testing of AI decision systems for systematic failure — the same methodology we used to validate automated financial controls.

📝

Regulatory-Ready Documentation

AI governance documentation built to survive an internal audit, regulatory exam, or ISO 42001 certification review — because we've been on both sides.

Who We Serve

Built for Organizations
Taking AI Seriously

We work with financial services firms, regulated enterprises, funded startups, and growing businesses who understand that AI without governance is a liability.

🏦

Financial Services & Banks

SR 11-7 model risk, AI controls, regulatory exam readiness. We speak your language — SOX, ICFR, second line, RCSA. Let's build your AI governance program before your regulator asks for it.

🏢

Enterprise & Fortune 500

Deploying AI across business units with no governance layer? We design the framework, map your controls, and prepare your documentation — built on experience inside BD, IFF, and Nestlé.

🚀

Funded Startups & Scale-Ups

Building AI products and preparing for your next round or first enterprise sale? We build the AI governance documentation that gives investors and enterprise clients confidence.

⚖️

Professional Services Firms

Law firms, consulting firms, and advisory practices embedding AI into client work. We build the governance overlay that protects your practice and your clients.

🏥

Healthcare & Life Sciences

AI in clinical or operational workflows carries elevated regulatory risk. We map your AI systems to applicable frameworks and build the controls documentation your compliance team needs.

🏪

Growing Businesses

Using AI tools in your operations but not sure what governance means for your size? We right-size the framework — practical controls without enterprise complexity.

About

Credentials & Experience

Big 4 Foundation
EY — Assurance & Technology Risk
Fortune 500 Internal Audit
BD · IFF · Nestlé
Education
MBA & MAcc — Northeastern University
Certifications
ACCA · MBA · MAcc
Specialization
SOX · NIST AI RMF · Model Risk · ISO 42001

Big 4 audit rigor.
Applied to AI governance.

I'm Usman Hamid — an internal audit and controls professional with 8+ years across EY, Becton Dickinson, IFF, and Nestlé. I've spent my career finding what breaks in financial and operational systems before it costs organizations money or reputation.

Now I apply that same lens to AI. As organizations race to deploy AI, the governance infrastructure hasn't kept pace. The result: model failures, regulatory exposure, and audit findings that could have been prevented with the right controls framework from the start.

I'm building a practice at the intersection of Big 4 audit methodology and AI governance — combining deep controls expertise with the emerging frameworks organizations need to deploy AI responsibly. That combination is genuinely rare in the market today.

"Most companies are adopting AI fast. Very few are doing it with proper governance. The gap between those two things is where I work."

How We Work

Simple. Structured. Audit-Grade.

01

Discovery Call

Free 15-minute call to understand your AI landscape, current governance state, and regulatory environment.

02

Gap Assessment

We map your current AI systems and controls against your target framework — NIST AI RMF, ISO 42001, or SR 11-7.

03

Framework & Controls Design

We design the governance framework, policies, and controls — scoped to your size, risk appetite, and regulatory requirements.

04

Implementation & Documentation

We build the documentation, train your team, and deliver an audit-ready package that stands up to scrutiny.

Get Started

Ready to govern your AI the right way?

Book a free 15-minute discovery call. We'll review your AI landscape and tell you exactly what governance looks like for your organization — no pressure, no pitch.

Usually responds within 24 hours · Serving clients nationwide · NJ-based, remote-ready