AI Compliance Audit
Understand your AI compliance position before regulatory questions arise
Why Audit AI Compliance
Most UK businesses now use AI tools in some capacity—whether formally sanctioned or adopted informally by staff seeking productivity gains. This creates governance questions that merit careful evaluation, particularly for regulated industries or organizations processing sensitive information.
An AI compliance audit provides clarity on your current position, identifies specific areas requiring attention, and establishes a baseline for ongoing governance. It addresses questions your board, clients, insurers, or regulators may reasonably ask about AI use within your organization.
A comprehensive assessment of how your organization uses AI tools
The audit works by identifying specific compliance considerations under UK GDPR, industry regulations, and professional standards. We quantify potential regulatory exposure, discover undocumented AI usage, and provide a prioritized remediation roadmap tailored to your business context.
Discovery and Scoping
Understanding your environment.
Stakeholder Interviews
Conversations with leadership, IT, compliance, and representative staff to understand AI adoption patterns, business objectives, and governance concerns.
Documentation Review
Examination of existing policies, data protection documentation, vendor agreements, and any AI governance materials currently in place.
Technical Assessment
Network traffic analysis, application inventory, and system logs to identify AI tool usage—including services staff may use informally.confidentiality obligations.
Risk Assessment
Identifying Specific Compliance Considerations
Data Protection Analysis
Evaluation against UK GDPR principles: lawfulness, purpose limitation, data minimization, accuracy, storage limitation, security, and accountability. Assessment of data processing agreements with AI service providers.
Industry-Specific Requirements
Analysis of compliance with sector regulations—FCA requirements for financial services, SRA standards for legal practices, CQC obligations for healthcare, or other applicable frameworks.
Information Security
Assessment of technical and organizational measures protecting data shared with AI services. Evaluation of access controls, audit logging, and incident response capabilities.
Remediation Roadmap
Prioritised action plan
We provide specific, prioritized recommendations addressing identified gaps.
Each recommendation includes implementation guidance, estimated effort, and expected risk reduction—enabling informed decision-making about remediation investments.
Issues creating significant regulatory exposure or violating fundamental requirements
Important compliance gaps requiring attention but not creating immediate crisis
Enhancements improving governance maturity and reducing residual risk
Advanced capabilities positioning you ahead of regulatory expectations
Frequently asked questions.
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Minimal. We require approximately 4-6 hours of leadership time (interviews, findings presentation), 2-3 hours from IT staff (technical assessment coordination), and brief conversations with representative users. Most work occurs through documentation review and technical analysis requiring no staff involvement.
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Typically, yes. Most organizations discover some informal AI adoption—staff using personal ChatGPT accounts, browser extensions with AI features, or productivity tools incorporating AI capabilities. This visibility is valuable for governance planning.
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We use ICO's published penalty calculation methodology and precedents from similar cases. Estimates reflect potential maximum exposure if regulatory action occurred—not predictions of likely enforcement. They provide context for prioritizing remediation investments.
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No. The audit assesses current practice to inform future governance. We may recommend immediate risk reduction measures for critical issues, but wholesale prohibition is rarely appropriate or effective.
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Absolutely. The roadmap includes specific guidance enabling internal implementation. Many recommendations involve policy development, staff training, or process changes requiring no external assistance. We're available if you prefer support, but there's no obligation.
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Most organizations benefit from annual audits, particularly as AI capabilities and regulatory expectations evolve rapidly. Some regulated industries may require more frequent assessment. The initial audit establishes baseline; subsequent reviews assess progress and identify new considerations.