AI Governance
The governance foundation, on paper. An AI use policy, a supervision and monitoring approach, an AI vendor due-diligence framework, and a maintained LP DDQ answer bank. For firms that know their stack and need the rules around it, without (yet) the full SEC exam package.
Most firms adopt AI faster than they govern it. Deal data drifts onto personal accounts, nobody has decided what is approved, and the first time anyone writes it down is when an LP DDQ or an examiner asks. This puts the governance in place before the question arrives.
Operational documentation, not legal advice. Vendor-neutral across Microsoft 365 Copilot, ChatGPT Enterprise, Claude, and Gemini, and built to work alongside your counsel and compliance consultants.
By Dr. Leigh Coney, Founder of WorkWise Solutions
Four Documents Your Firm Runs On
Each one is written to be used and shown: by your team day to day, by an allocator running operational due diligence, and by your CCO.
AI Use Policy
Approved tools, prohibited uses, data and MNPI rules, account hygiene, and human-review checkpoints. The document that turns shadow AI into governed adoption.
Supervision & Monitoring Approach
How the firm supervises AI use in practice: what gets reviewed, by whom, and how, using the admin analytics your platform already produces.
AI Vendor Due-Diligence Framework
A repeatable way to evaluate any AI tool before it touches firm data: data handling, retention, security posture, and the input licenses that bind before the vendor's own terms do.
LP DDQ Answer Bank
Maintained answers to the GenAI questions now standard in allocator due-diligence questionnaires, consistent with the policy and ready to paste into the next DDQ.
Where it sits: the AI Readiness Sprint ($8,500) assesses and picks the platform; AI Governance writes the rules; SEC Exam-Ready AI Governance ($12,500) adds the exam apparatus for registered advisers. Assess, govern, exam-proof.
Take AI Governance If...
Your team already uses AI but nobody has written down what is approved or how it is supervised.
An LP DDQ asked about your AI policy and the honest answer was that you do not have one yet.
You already know your stack, so you do not need the full readiness assessment, just the rules around it.
You are not a registered adviser facing an exam, so the full SEC package is more than you need today.
New AI tools keep getting requested and there is no consistent way to vet them.
You want the governance current as tools and rules change, which the AI Operating Partner retainer maintains.
AI Governance FAQ
What does it cost?
$9,500 for the policy, supervision approach, vendor framework, and LP DDQ answer bank.
How is it different from the AI Readiness Sprint?
The AI Readiness Sprint is the assessment and platform decision; AI Governance is the policy and supervision framework. Take either on its own, or both.
How is it different from SEC AI Governance?
SEC Exam-Ready AI Governance ($12,500) is the exam-grade superset: per-tool vendor files, disclosure review, Reg S-P alignment, and a mock exam. AI Governance is the foundation without the exam apparatus.
Is this legal advice?
No. It is operational documentation, built alongside your counsel and compliance consultants, who own the legal interpretation.
Book a Governance Call
A 30-minute call to scope the policy, the supervision approach, and your LP DDQ answers.
Book a Governance CallThe Governance Ladder
AI Readiness Sprint
Where to start, which platform, use-case map, 90-day roadmap. $8,500.
SEC Exam-Ready AI Governance
The exam-grade superset for registered advisers: vendor files, disclosure review, mock exam. $12,500.
AI Operating Partner
The retainer that keeps the policy, vendor files, and DDQ answers current as tools and rules change. From $10,000/mo.