Governance Guide
AI Compliance Audit Checklist for Regulated Industries (2026)
Regulated industries face specific AI compliance requirements from HIPAA, FINRA, GDPR, and sector regulators. This checklist maps AI controls to regulatory obligations with evidence requirements.
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Implementation Steps
- Map AI system components to sector-specific regulatory requirements.
- Verify data handling compliance: PHI for healthcare, PII for finance, client data for legal.
- Test consent management and opt-out mechanisms for each regulated workflow.
- Document audit trail requirements and retention policy alignment.
Frequently Asked Questions
What AI compliance requirements apply to healthcare?
Healthcare AI must comply with HIPAA data handling, PHI access controls, consent management, audit trails, and FDA guidance on AI medical devices. Regular security assessments are required.
How does GDPR affect AI compliance for EU operations?
GDPR requires AI systems to implement data minimization, consent mechanisms, right-to-deletion, algorithmic transparency, and human oversight for automated decisions affecting individuals.
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