Shadow AI Compliance · Wealth Management

Your staff is using AI
you don't
know about.

Your advisors use Copilot. Your analysts use ChatGPT. Your compliance team suspects half the firm is using tools they've never heard of — and they're probably right. Olakai detects every AI tool across your firm. Faction deploys it and makes you audit-ready in 60 days.

Book a 30-Min Demo → See How It Works
🔍 Shadow AI Detected
✅ Audit-Ready in 60 Days
🏦 SEC & FINRA Aligned
Faction × Olakai
Shadow AI Compliance Layer
Wealth Management · Private Cloud Deployment
60
Days to Audit-Ready
630+
AI Apps Monitored
3–5×
More AI Than Expected
  • Detects all AI tools — approved and shadow — across every endpoint
  • Captures prompt-level activity from Claude, Copilot, ChatGPT & more
  • Private cloud deployment — your data never leaves your infrastructure
  • On-demand audit reports for SEC examinations and SOC 2
  • Covers 630+ AI tools — approved, shadow, and quietly buried in SaaS
$5K
One-Time Install
$999
Flat Monthly · No Seats
$17K
Year 1 All-In
SEC AI Guidance Aligned
FINRA Audit Ready
SOC 2 Type II Support
40% of FS Staff Use Unsanctioned AI
Private Cloud Deployment
Microsoft Copilot Integration
Google Workspace Integration
Claude & ChatGPT Monitoring
630+ AI Tools Catalogued
No Per-Seat Pricing
SEC AI Guidance Aligned
FINRA Audit Ready
SOC 2 Type II Support
40% of FS Staff Use Unsanctioned AI
Private Cloud Deployment
Microsoft Copilot Integration
Google Workspace Integration
Claude & ChatGPT Monitoring
630+ AI Tools Catalogued
No Per-Seat Pricing
The Problem

Shadow AI is already inside your firm.

Nearly 40% of financial services employees use unsanctioned AI tools. Over 60% of enterprise AI usage happens outside IT's visibility. When regulators ask, you need a defensible answer.

40%
of financial services employees use unsanctioned AI tools
60%
of enterprise AI usage happens outside IT's visibility
76%
of organizations say shadow AI is getting worse, not better
⚖️
Regulatory Exposure
The SEC and FINRA are actively developing AI oversight requirements. Firms without documentation of AI governance face examination risk today — not in five years.
🔒
Client Data at Risk
Employees paste client financial data into unapproved AI tools — no DLP controls, no training opt-outs, no retention policies. Every unauthorized tool is a potential data leak.
📋
No Audit Trail
Without monitoring, your firm cannot produce evidence of AI governance for SOC 2 audits or regulatory examinations. "We didn't know" is not a compliance strategy.
🌐
Invisible Tools
Employees use browser-based AI tools that bypass your security stack entirely — no installs, no approvals, no visibility. Undisclosed third-party data sharing that bypasses vendor management.
The Solution

From audit anxiety to audit confidence.

Olakai deploys inside your existing cloud environment — your data never leaves your infrastructure. Faction handles every step. You're audit-ready in 60 days.

01
Setup
Private Cloud Deployment
Faction installs Olakai inside your AWS, Azure, or GCP environment. Your data never leaves your infrastructure. Full setup in 2–4 weeks.
02
Connect
HR & Directory Sync
Employees are pulled automatically from your HR system, Google Workspace, or Microsoft Active Directory. No manual data entry.
03
Monitor
AI Activity Tracking
Olakai detects and logs every AI tool your staff uses — approved or shadow — across 630+ catalogued apps including ChatGPT, Copilot, Claude, Gemini, and Harvey.
04
Report
Audit-Ready Reports
Generate compliance reports on demand. When an auditor or examiner asks about AI usage, you have a complete, defensible record — ready in minutes.
Pricing

Simple. Flat. No surprises.

No per-seat counting. No variable fees as your headcount grows. One install, one monthly subscription.

One-Time
Setup & Deployment
$5,000
flat fee · Faction-deployed
  • Private cloud deployment (AWS / Azure / GCP)
  • HR system or Active Directory integration
  • Google Workspace or Microsoft 365 sync
  • Browser extension deployment via MDM
  • Go-live testing and staff orientation
  • Named Faction deployment lead — single point of contact
Faction issues a separate SOW for installation. Olakai issues the software license.
Recurring Monthly
AI Monitoring Subscription
$999
flat monthly · no seats · no surprises
  • Shadow AI detection across all tools & endpoints
  • Full activity logging with context and timestamps
  • On-demand compliance & audit reports
  • SEC, FINRA, and SOC 2 documentation support
  • Prompt-level capture for Claude, Copilot & ChatGPT
  • Ongoing monitoring, alerting & platform updates
Year 1 all-in: $16,988. Year 2+: $11,988/yr recurring.
Right Fit

Built for boutique wealth management firms.

The goal isn't to block every AI tool — it's to see them, measure them, and govern the ones that matter. Built for firms managing $250M–$5B who need to move from shadow AI risk to controlled adoption.

Great Fit ✓

You're ready if...

  • You manage client assets and face fiduciary AI governance obligations
  • Your staff uses AI tools you haven't formally approved or inventoried
  • A regulator or auditor has asked — or will ask — about your AI oversight program
  • You want visibility into what AI your team is actually using before locking down policy
  • You've had conversations about AI risk but haven't implemented monitoring
  • You want to move fast — 60 days to audit-ready is your timeline
Consider Alternatives

Not the right tool if...

  • You're a 2,000-person enterprise — this is built for boutique (10–150 employees)
  • Your IT team wants to build a custom monitoring layer in-house
  • You have zero AI usage across your firm — start with an assessment instead
  • You need a full AI strategy and transformation, not just compliance monitoring
  • Your primary concern is AI training and enablement, not governance
How We Compare

Why not just use a generic security tool?

Security-based network monitoring tools weren't built for AI governance. Here's how this solution compares.

Dimension Network Sniffer Tools Generic Compliance Software Faction & Olakai
AI-Specific Coverage Incidental — not built for AI Checkbox governance, no AI depth ✓ Purpose-Built 630+ AI app catalog
Prompt-Level Visibility None None ✓ Included Claude, Copilot, ChatGPT
Deployment Model Network-level (IT-heavy) SaaS (data leaves your environment) ✓ Private Cloud Your infra, your data
Audit Reports Manual export, not compliance-framed Generic — not AI-specific ✓ On-Demand SEC & FINRA aligned
Implementation Weeks of IT configuration Self-serve, little support ✓ Faction-Led 60-day managed deployment
Pricing $2,500+/mo + IT resource cost Per-seat ($30–$60/user/mo) ✓ $999 Flat No seats, no surprises
The Partnership

One solution. Two specialists.

Olakai is the technology. Faction is the deployment arm. Together, we cover everything from the technical installation to the compliance narrative you need for your next examination.

Faction × Olakai

Faction is the official certified deployment partner for Olakai in the wealth management vertical. We handle implementation, configuration, staff orientation, and the ongoing relationship with your firm. Olakai is the AI monitoring platform — purpose-built for ROI analytics and shadow AI governance across your entire AI stack.

Two contracts. Two specialists. One seamless outcome: your firm is audit-ready in 60 days.

Explore More From Faction

Shadow AI compliance is one piece of the puzzle. Faction builds AI-powered products using our proprietary AI-Directed Engineering Methodology — from rapid MVPs to full-stack platforms.

← Faction Homepage Our Methodology All Services Matt Murphy AI ↗
Ready to Get Compliant

Know what's running
in your firm.

Book a 30-minute demo. We'll show you exactly what Olakai detects, walk through a real audit report, and scope your 60-day deployment.

Book a 30-Min Demo → Talk to Faction First
Not ready to commit? Start with a free 20-minute discovery call — we'll tell you honestly whether this solution fits your firm. Schedule the call →