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AI Training for Compliance Teams: Building an AI Control Framework That Holds Up

Where AI Governance Sits in the Three Lines Model

Quiz: Where AI Governance Sits in the Three Lines Model

Building and Maintaining an AI System Register

Quiz: Building and Maintaining an AI System Register

Classifying AI Systems by Risk in a Repeatable Way

Quiz: Classifying AI Systems by Risk in a Repeatable Way

Turning Regulatory Duties Into Testable Controls

Quiz: Turning Regulatory Duties Into Testable Controls

Designing Controls With an Owner, a Trigger and an Artefact

Quiz: Designing Controls With an Owner, a Trigger and an Artefact

Second Line Challenge of Model Owners Without Stopping Delivery

Quiz: Second Line Challenge of Model Owners Without Stopping Delivery

AI Policy, Standards and Procedures: What Belongs Where

Quiz: AI Policy, Standards and Procedures: What Belongs Where

Approval Gates: Who Signs Off an AI System and Against What Criteria

Quiz: Approval Gates: Who Signs Off an AI System and Against What Criteria

Monitoring Control Effectiveness Rather Than Control Existence

Quiz: Monitoring Control Effectiveness Rather Than Control Existence

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Quiz: Where AI Governance Sits in the Three Lines Model

AI Training for Compliance Teams: Building an AI Control Framework That Holds Up
Where AI Governance Sits in the Three Lines Model
Quiz: Where AI Governance Sits in the Three Lines Model

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Question 1 of 5

1. Question

In the three lines model, which line owns the deployment and daily operation of an AI system?

Line 1, Operational teams
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Line 2, Compliance and Risk
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Line 3, Internal Audit
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A shared responsibility across all three lines
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Question 2 of 5

2. Question

What is the primary difference between being an AI provider and a user under the EU AI Act?

Providers deploy AI for their own use; users never deploy AI
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Providers create or deploy AI systems; users deploy AI created by others through APIs or services
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Only providers have regulatory obligations
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Users have more regulatory obligations than providers
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Question 3 of 5

3. Question

Who is responsible for raising an issue when an AI system fails to follow compliance standards?

Line 1 operational teams only
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Line 2 compliance function
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Line 3 internal audit only
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The AI system vendor
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Question 4 of 5

4. Question

What document should every line 1 AI system owner be required to maintain as part of governance?

A model training log only
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An entry in a central AI system register
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Email correspondence about the system
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Video footage of the system in use
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Question 5 of 5

5. Question

When a lending algorithm deployed by a financial services firm discriminates against a protected group, who bears primary liability?

The AI model vendor
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The financial services firm that deployed it
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The compliance team
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The internal audit team
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